format in case study

How to write a case study — examples, templates, and tools

It’s a marketer’s job to communicate the effectiveness of a product or service to potential and current customers to convince them to buy and keep business moving. One of the best methods for doing this is to share success stories that are relatable to prospects and customers based on their pain points, experiences, and overall needs.

That’s where case studies come in. Case studies are an essential part of a content marketing plan. These in-depth stories of customer experiences are some of the most effective at demonstrating the value of a product or service. Yet many marketers don’t use them, whether because of their regimented formats or the process of customer involvement and approval.

A case study is a powerful tool for showcasing your hard work and the success your customer achieved. But writing a great case study can be difficult if you’ve never done it before or if it’s been a while. This guide will show you how to write an effective case study and provide real-world examples and templates that will keep readers engaged and support your business.

In this article, you’ll learn:

What is a case study?

How to write a case study, case study templates, case study examples, case study tools.

A case study is the detailed story of a customer’s experience with a product or service that demonstrates their success and often includes measurable outcomes. Case studies are used in a range of fields and for various reasons, from business to academic research. They’re especially impactful in marketing as brands work to convince and convert consumers with relatable, real-world stories of actual customer experiences.

The best case studies tell the story of a customer’s success, including the steps they took, the results they achieved, and the support they received from a brand along the way. To write a great case study, you need to:

• Celebrate the customer and make them — not a product or service — the star of the story.
• Craft the story with specific audiences or target segments in mind so that the story of one customer will be viewed as relatable and actionable for another customer.
• Write copy that is easy to read and engaging so that readers will gain the insights and messages intended.
• Follow a standardized format that includes all of the essentials a potential customer would find interesting and useful.
• Support all of the claims for success made in the story with data in the forms of hard numbers and customer statements.

Case studies are a type of review but more in depth, aiming to show — rather than just tell — the positive experiences that customers have with a brand. Notably, 89% of consumers read reviews before deciding to buy, and 79% view case study content as part of their purchasing process. When it comes to B2B sales, 52% of buyers rank case studies as an important part of their evaluation process.

Telling a brand story through the experience of a tried-and-true customer matters. The story is relatable to potential new customers as they imagine themselves in the shoes of the company or individual featured in the case study. Showcasing previous customers can help new ones see themselves engaging with your brand in the ways that are most meaningful to them.

Besides sharing the perspective of another customer, case studies stand out from other content marketing forms because they are based on evidence. Whether pulling from client testimonials or data-driven results, case studies tend to have more impact on new business because the story contains information that is both objective (data) and subjective (customer experience) — and the brand doesn’t sound too self-promotional.

Case studies are unique in that there’s a fairly standardized format for telling a customer’s story. But that doesn’t mean there isn’t room for creativity. It’s all about making sure that teams are clear on the goals for the case study — along with strategies for supporting content and channels — and understanding how the story fits within the framework of the company’s overall marketing goals.

Here are the basic steps to writing a good case study.

1. Identify your goal

Start by defining exactly who your case study will be designed to help. Case studies are about specific instances where a company works with a customer to achieve a goal. Identify which customers are likely to have these goals, as well as other needs the story should cover to appeal to them.

The answer is often found in one of the buyer personas that have been constructed as part of your larger marketing strategy. This can include anything from new leads generated by the marketing team to long-term customers that are being pressed for cross-sell opportunities. In all of these cases, demonstrating value through a relatable customer success story can be part of the solution to conversion.

2. Choose your client or subject

Who you highlight matters. Case studies tie brands together that might otherwise not cross paths. A writer will want to ensure that the highlighted customer aligns with their own company’s brand identity and offerings. Look for a customer with positive name recognition who has had great success with a product or service and is willing to be an advocate.

The client should also match up with the identified target audience. Whichever company or individual is selected should be a reflection of other potential customers who can see themselves in similar circumstances, having the same problems and possible solutions.

Some of the most compelling case studies feature customers who:

• Switch from one product or service to another while naming competitors that missed the mark.
• Experience measurable results that are relatable to others in a specific industry.
• Represent well-known brands and recognizable names that are likely to compel action.
• Advocate for a product or service as a champion and are well-versed in its advantages.

Whoever or whatever customer is selected, marketers must ensure they have the permission of the company involved before getting started. Some brands have strict review and approval procedures for any official marketing or promotional materials that include their name. Acquiring those approvals in advance will prevent any miscommunication or wasted effort if there is an issue with their legal or compliance teams.

3. Conduct research and compile data

Substantiating the claims made in a case study — either by the marketing team or customers themselves — adds validity to the story. To do this, include data and feedback from the client that defines what success looks like. This can be anything from demonstrating return on investment (ROI) to a specific metric the customer was striving to improve. Case studies should prove how an outcome was achieved and show tangible results that indicate to the customer that your solution is the right one.

This step could also include customer interviews. Make sure that the people being interviewed are key stakeholders in the purchase decision or deployment and use of the product or service that is being highlighted. Content writers should work off a set list of questions prepared in advance. It can be helpful to share these with the interviewees beforehand so they have time to consider and craft their responses. One of the best interview tactics to keep in mind is to ask questions where yes and no are not natural answers. This way, your subject will provide more open-ended responses that produce more meaningful content.

4. Choose the right format

There are a number of different ways to format a case study. Depending on what you hope to achieve, one style will be better than another. However, there are some common elements to include, such as:

• An engaging headline
• A subject and customer introduction
• The unique challenge or challenges the customer faced
• The solution the customer used to solve the problem
• The results achieved
• Data and statistics to back up claims of success
• A strong call to action (CTA) to engage with the vendor

It’s also important to note that while case studies are traditionally written as stories, they don’t have to be in a written format. Some companies choose to get more creative with their case studies and produce multimedia content, depending on their audience and objectives. Case study formats can include traditional print stories, interactive web or social content, data-heavy infographics, professionally shot videos, podcasts, and more.

5. Write your case study

We’ll go into more detail later about how exactly to write a case study, including templates and examples. Generally speaking, though, there are a few things to keep in mind when writing your case study.

• Be clear and concise. Readers want to get to the point of the story quickly and easily, and they’ll be looking to see themselves reflected in the story right from the start.
• Provide a big picture. Always make sure to explain who the client is, their goals, and how they achieved success in a short introduction to engage the reader.
• Construct a clear narrative. Stick to the story from the perspective of the customer and what they needed to solve instead of just listing product features or benefits.
• Leverage graphics. Incorporating infographics, charts, and sidebars can be a more engaging and eye-catching way to share key statistics and data in readable ways.
• Offer the right amount of detail. Most case studies are one or two pages with clear sections that a reader can skim to find the information most important to them.
• Include data to support claims. Show real results — both facts and figures and customer quotes — to demonstrate credibility and prove the solution works.

6. Promote your story

Marketers have a number of options for distribution of a freshly minted case study. Many brands choose to publish case studies on their website and post them on social media. This can help support SEO and organic content strategies while also boosting company credibility and trust as visitors see that other businesses have used the product or service.

Marketers are always looking for quality content they can use for lead generation. Consider offering a case study as gated content behind a form on a landing page or as an offer in an email message. One great way to do this is to summarize the content and tease the full story available for download after the user takes an action.

Sales teams can also leverage case studies, so be sure they are aware that the assets exist once they’re published. Especially when it comes to larger B2B sales, companies often ask for examples of similar customer challenges that have been solved.

Now that you’ve learned a bit about case studies and what they should include, you may be wondering how to start creating great customer story content. Here are a couple of templates you can use to structure your case study.

Template 1 — Challenge-solution-result format

• Start with an engaging title. This should be fewer than 70 characters long for SEO best practices. One of the best ways to approach the title is to include the customer’s name and a hint at the challenge they overcame in the end.
• Create an introduction. Lead with an explanation as to who the customer is, the need they had, and the opportunity they found with a specific product or solution. Writers can also suggest the success the customer experienced with the solution they chose.
• Present the challenge. This should be several paragraphs long and explain the problem the customer faced and the issues they were trying to solve. Details should tie into the company’s products and services naturally. This section needs to be the most relatable to the reader so they can picture themselves in a similar situation.
• Share the solution. Explain which product or service offered was the ideal fit for the customer and why. Feel free to delve into their experience setting up, purchasing, and onboarding the solution.
• Explain the results. Demonstrate the impact of the solution they chose by backing up their positive experience with data. Fill in with customer quotes and tangible, measurable results that show the effect of their choice.
• Ask for action. Include a CTA at the end of the case study that invites readers to reach out for more information, try a demo, or learn more — to nurture them further in the marketing pipeline. What you ask of the reader should tie directly into the goals that were established for the case study in the first place.

Template 2 — Data-driven format

• Start with an engaging title. Be sure to include a statistic or data point in the first 70 characters. Again, it’s best to include the customer’s name as part of the title.
• Create an overview. Share the customer’s background and a short version of the challenge they faced. Present the reason a particular product or service was chosen, and feel free to include quotes from the customer about their selection process.
• Present data point 1. Isolate the first metric that the customer used to define success and explain how the product or solution helped to achieve this goal. Provide data points and quotes to substantiate the claim that success was achieved.
• Present data point 2. Isolate the second metric that the customer used to define success and explain what the product or solution did to achieve this goal. Provide data points and quotes to substantiate the claim that success was achieved.
• Present data point 3. Isolate the final metric that the customer used to define success and explain what the product or solution did to achieve this goal. Provide data points and quotes to substantiate the claim that success was achieved.
• Summarize the results. Reiterate the fact that the customer was able to achieve success thanks to a specific product or service. Include quotes and statements that reflect customer satisfaction and suggest they plan to continue using the solution.
• Ask for action. Include a CTA at the end of the case study that asks readers to reach out for more information, try a demo, or learn more — to further nurture them in the marketing pipeline. Again, remember that this is where marketers can look to convert their content into action with the customer.

While templates are helpful, seeing a case study in action can also be a great way to learn. Here are some examples of how Adobe customers have experienced success.

Juniper Networks

One example is the Adobe and Juniper Networks case study , which puts the reader in the customer’s shoes. The beginning of the story quickly orients the reader so that they know exactly who the article is about and what they were trying to achieve. Solutions are outlined in a way that shows Adobe Experience Manager is the best choice and a natural fit for the customer. Along the way, quotes from the client are incorporated to help add validity to the statements. The results in the case study are conveyed with clear evidence of scale and volume using tangible data.

The story of Lenovo’s journey with Adobe is one that spans years of planning, implementation, and rollout. The Lenovo case study does a great job of consolidating all of this into a relatable journey that other enterprise organizations can see themselves taking, despite the project size. This case study also features descriptive headers and compelling visual elements that engage the reader and strengthen the content.

Tata Consulting

When it comes to using data to show customer results, this case study does an excellent job of conveying details and numbers in an easy-to-digest manner. Bullet points at the start break up the content while also helping the reader understand exactly what the case study will be about. Tata Consulting used Adobe to deliver elevated, engaging content experiences for a large telecommunications client of its own — an objective that’s relatable for a lot of companies.

Case studies are a vital tool for any marketing team as they enable you to demonstrate the value of your company’s products and services to others. They help marketers do their job and add credibility to a brand trying to promote its solutions by using the experiences and stories of real customers.

When you’re ready to get started with a case study:

• Think about a few goals you’d like to accomplish with your content.
• Make a list of successful clients that would be strong candidates for a case study.
• Reach out to the client to get their approval and conduct an interview.
• Gather the data to present an engaging and effective customer story.

Adobe can help

There are several Adobe products that can help you craft compelling case studies. Adobe Experience Platform helps you collect data and deliver great customer experiences across every channel. Once you’ve created your case studies, Experience Platform will help you deliver the right information to the right customer at the right time for maximum impact.

To learn more, watch the Adobe Experience Platform story .

Keep in mind that the best case studies are backed by data. That’s where Adobe Real-Time Customer Data Platform and Adobe Analytics come into play. With Real-Time CDP, you can gather the data you need to build a great case study and target specific customers to deliver the content to the right audience at the perfect moment.

Watch the Real-Time CDP overview video to learn more.

Finally, Adobe Analytics turns real-time data into real-time insights. It helps your business collect and synthesize data from multiple platforms to make more informed decisions and create the best case study possible.

Request a demo to learn more about Adobe Analytics.

https://business.adobe.com/blog/perspectives/b2b-ecommerce-10-case-studies-inspire-you

https://business.adobe.com/blog/basics/business-case

https://business.adobe.com/blog/basics/what-is-real-time-analytics

How to Write a Case Study: Bookmarkable Guide & Template

Published: November 30, 2023

Earning the trust of prospective customers can be a struggle. Before you can even begin to expect to earn their business, you need to demonstrate your ability to deliver on what your product or service promises.

Sure, you could say that you're great at X or that you're way ahead of the competition when it comes to Y. But at the end of the day, what you really need to win new business is cold, hard proof.

One of the best ways to prove your worth is through a compelling case study. In fact, HubSpot’s 2020 State of Marketing report found that case studies are so compelling that they are the fifth most commonly used type of content used by marketers.

Below, I'll walk you through what a case study is, how to prepare for writing one, what you need to include in it, and how it can be an effective tactic. To jump to different areas of this post, click on the links below to automatically scroll.

Case Study Definition

Case study templates, how to write a case study.

• How to Format a Case Study

Business Case Study Examples

A case study is a specific challenge a business has faced, and the solution they've chosen to solve it. Case studies can vary greatly in length and focus on several details related to the initial challenge and applied solution, and can be presented in various forms like a video, white paper, blog post, etc.

In professional settings, it's common for a case study to tell the story of a successful business partnership between a vendor and a client. Perhaps the success you're highlighting is in the number of leads your client generated, customers closed, or revenue gained. Any one of these key performance indicators (KPIs) are examples of your company's services in action.

When done correctly, these examples of your work can chronicle the positive impact your business has on existing or previous customers and help you attract new clients.

Free Case Study Templates

Showcase your company's success using these three free case study templates.

• Data-Driven Case Study Template
• Product-Specific Case Study Template
• General Case Study Template

You're all set!

Click this link to access this resource at any time.

Why write a case study? 

I know, you’re thinking “ Okay, but why do I need to write one of these? ” The truth is that while case studies are a huge undertaking, they are powerful marketing tools that allow you to demonstrate the value of your product to potential customers using real-world examples. Here are a few reasons why you should write case studies. 

1. Explain Complex Topics or Concepts

Case studies give you the space to break down complex concepts, ideas, and strategies and show how they can be applied in a practical way. You can use real-world examples, like an existing client, and use their story to create a compelling narrative that shows how your product solved their issue and how those strategies can be repeated to help other customers get similar successful results.  

2. Show Expertise

Case studies are a great way to demonstrate your knowledge and expertise on a given topic or industry. This is where you get the opportunity to show off your problem-solving skills and how you’ve generated successful outcomes for clients you’ve worked with. 

3. Build Trust and Credibility

In addition to showing off the attributes above, case studies are an excellent way to build credibility. They’re often filled with data and thoroughly researched, which shows readers you’ve done your homework. They can have confidence in the solutions you’ve presented because they’ve read through as you’ve explained the problem and outlined step-by-step what it took to solve it. All of these elements working together enable you to build trust with potential customers.

4. Create Social Proof

Using existing clients that have seen success working with your brand builds social proof . People are more likely to choose your brand if they know that others have found success working with you. Case studies do just that — putting your success on display for potential customers to see. 

All of these attributes work together to help you gain more clients. Plus you can even use quotes from customers featured in these studies and repurpose them in other marketing content. Now that you know more about the benefits of producing a case study, let’s check out how long these documents should be. 

How long should a case study be?

The length of a case study will vary depending on the complexity of the project or topic discussed. However, as a general guideline, case studies typically range from 500 to 1,500 words. 

Whatever length you choose, it should provide a clear understanding of the challenge, the solution you implemented, and the results achieved. This may be easier said than done, but it's important to strike a balance between providing enough detail to make the case study informative and concise enough to keep the reader's interest.

The primary goal here is to effectively communicate the key points and takeaways of the case study. It’s worth noting that this shouldn’t be a wall of text. Use headings, subheadings, bullet points, charts, and other graphics to break up the content and make it more scannable for readers. We’ve also seen brands incorporate video elements into case studies listed on their site for a more engaging experience. 

Ultimately, the length of your case study should be determined by the amount of information necessary to convey the story and its impact without becoming too long. Next, let’s look at some templates to take the guesswork out of creating one. 

To help you arm your prospects with information they can trust, we've put together a step-by-step guide on how to create effective case studies for your business with free case study templates for creating your own.

Tell us a little about yourself below to gain access today:

And to give you more options, we’ll highlight some useful templates that serve different needs. But remember, there are endless possibilities when it comes to demonstrating the work your business has done.

1. General Case Study Template

Do you have a specific product or service that you’re trying to sell, but not enough reviews or success stories? This Product Specific case study template will help.

This template relies less on metrics, and more on highlighting the customer’s experience and satisfaction. As you follow the template instructions, you’ll be prompted to speak more about the benefits of the specific product, rather than your team’s process for working with the customer.

4. Bold Social Media Business Case Study Template

You can find templates that represent different niches, industries, or strategies that your business has found success in — like a bold social media business case study template.

In this template, you can tell the story of how your social media marketing strategy has helped you or your client through collaboration or sale of your service. Customize it to reflect the different marketing channels used in your business and show off how well your business has been able to boost traffic, engagement, follows, and more.

5. Lead Generation Business Case Study Template

It’s important to note that not every case study has to be the product of a sale or customer story, sometimes they can be informative lessons that your own business has experienced. A great example of this is the Lead Generation Business case study template.

If you’re looking to share operational successes regarding how your team has improved processes or content, you should include the stories of different team members involved, how the solution was found, and how it has made a difference in the work your business does.

Now that we’ve discussed different templates and ideas for how to use them, let’s break down how to create your own case study with one.

• Get started with case study templates.
• Determine the case study's objective.
• Establish a case study medium.
• Find the right case study candidate.
• Contact your candidate for permission to write about them.
• Ensure you have all the resources you need to proceed once you get a response.
• Download a case study email template.
• Define the process you want to follow with the client.
• Ensure you're asking the right questions.
• Layout your case study format.
• Publish and promote your case study.

1. Get started with case study templates.

Telling your customer's story is a delicate process — you need to highlight their success while naturally incorporating your business into their story.

If you're just getting started with case studies, we recommend you download HubSpot's Case Study Templates we mentioned before to kickstart the process.

2. Determine the case study's objective.

All business case studies are designed to demonstrate the value of your services, but they can focus on several different client objectives.

Your first step when writing a case study is to determine the objective or goal of the subject you're featuring. In other words, what will the client have succeeded in doing by the end of the piece?

The client objective you focus on will depend on what you want to prove to your future customers as a result of publishing this case study.

Your case study can focus on one of the following client objectives:

• Complying with government regulation
• Lowering business costs
• Becoming profitable
• Generating more leads
• Closing on more customers
• Generating more revenue
• Expanding into a new market
• Becoming more sustainable or energy-efficient

3. Establish a case study medium.

Next, you'll determine the medium in which you'll create the case study. In other words, how will you tell this story?

Case studies don't have to be simple, written one-pagers. Using different media in your case study can allow you to promote your final piece on different channels. For example, while a written case study might just live on your website and get featured in a Facebook post, you can post an infographic case study on Pinterest and a video case study on your YouTube channel.

Here are some different case study mediums to consider:

Written Case Study

Consider writing this case study in the form of an ebook and converting it to a downloadable PDF. Then, gate the PDF behind a landing page and form for readers to fill out before downloading the piece, allowing this case study to generate leads for your business.

Video Case Study

Plan on meeting with the client and shooting an interview. Seeing the subject, in person, talk about the service you provided them can go a long way in the eyes of your potential customers.

Infographic Case Study

Use the long, vertical format of an infographic to tell your success story from top to bottom. As you progress down the infographic, emphasize major KPIs using bigger text and charts that show the successes your client has had since working with you.

Podcast Case Study

Podcasts are a platform for you to have a candid conversation with your client. This type of case study can sound more real and human to your audience — they'll know the partnership between you and your client was a genuine success.

4. Find the right case study candidate.

Writing about your previous projects requires more than picking a client and telling a story. You need permission, quotes, and a plan. To start, here are a few things to look for in potential candidates.

Product Knowledge

It helps to select a customer who's well-versed in the logistics of your product or service. That way, he or she can better speak to the value of what you offer in a way that makes sense for future customers.

Remarkable Results

Clients that have seen the best results are going to make the strongest case studies. If their own businesses have seen an exemplary ROI from your product or service, they're more likely to convey the enthusiasm that you want prospects to feel, too.

One part of this step is to choose clients who have experienced unexpected success from your product or service. When you've provided non-traditional customers — in industries that you don't usually work with, for example — with positive results, it can help to remove doubts from prospects.

Recognizable Names

While small companies can have powerful stories, bigger or more notable brands tend to lend credibility to your own. In fact, 89% of consumers say they'll buy from a brand they already recognize over a competitor, especially if they already follow them on social media.

Customers that came to you after working with a competitor help highlight your competitive advantage and might even sway decisions in your favor.

5. Contact your candidate for permission to write about them.

To get the case study candidate involved, you have to set the stage for clear and open communication. That means outlining expectations and a timeline right away — not having those is one of the biggest culprits in delayed case study creation.

Most importantly at this point, however, is getting your subject's approval. When first reaching out to your case study candidate, provide them with the case study's objective and format — both of which you will have come up with in the first two steps above.

To get this initial permission from your subject, put yourself in their shoes — what would they want out of this case study? Although you're writing this for your own company's benefit, your subject is far more interested in the benefit it has for them.

Benefits to Offer Your Case Study Candidate

Here are four potential benefits you can promise your case study candidate to gain their approval.

Brand Exposure

Explain to your subject to whom this case study will be exposed, and how this exposure can help increase their brand awareness both in and beyond their own industry. In the B2B sector, brand awareness can be hard to collect outside one's own market, making case studies particularly useful to a client looking to expand their name's reach.

Employee Exposure

Allow your subject to provide quotes with credits back to specific employees. When this is an option for them, their brand isn't the only thing expanding its reach — their employees can get their name out there, too. This presents your subject with networking and career development opportunities they might not have otherwise.

Product Discount

This is a more tangible incentive you can offer your case study candidate, especially if they're a current customer of yours. If they agree to be your subject, offer them a product discount — or a free trial of another product — as a thank-you for their help creating your case study.

Backlinks and Website Traffic

Here's a benefit that is sure to resonate with your subject's marketing team: If you publish your case study on your website, and your study links back to your subject's website — known as a "backlink" — this small gesture can give them website traffic from visitors who click through to your subject's website.

Additionally, a backlink from you increases your subject's page authority in the eyes of Google. This helps them rank more highly in search engine results and collect traffic from readers who are already looking for information about their industry.

6. Ensure you have all the resources you need to proceed once you get a response.

So you know what you’re going to offer your candidate, it’s time that you prepare the resources needed for if and when they agree to participate, like a case study release form and success story letter.

Let's break those two down.

Case Study Release Form

This document can vary, depending on factors like the size of your business, the nature of your work, and what you intend to do with the case studies once they are completed. That said, you should typically aim to include the following in the Case Study Release Form:

• A clear explanation of why you are creating this case study and how it will be used.
• A statement defining the information and potentially trademarked information you expect to include about the company — things like names, logos, job titles, and pictures.
• An explanation of what you expect from the participant, beyond the completion of the case study. For example, is this customer willing to act as a reference or share feedback, and do you have permission to pass contact information along for these purposes?
• A note about compensation.

Success Story Letter

As noted in the sample email, this document serves as an outline for the entire case study process. Other than a brief explanation of how the customer will benefit from case study participation, you'll want to be sure to define the following steps in the Success Story Letter.

7. Download a case study email template.

While you gathered your resources, your candidate has gotten time to read over the proposal. When your candidate approves of your case study, it's time to send them a release form.

A case study release form tells you what you'll need from your chosen subject, like permission to use any brand names and share the project information publicly. Kick-off this process with an email that runs through exactly what they can expect from you, as well as what you need from them. To give you an idea of what that might look like, check out this sample email:

8. Define the process you want to follow with the client.

Before you can begin the case study, you have to have a clear outline of the case study process with your client. An example of an effective outline would include the following information.

The Acceptance

First, you'll need to receive internal approval from the company's marketing team. Once approved, the Release Form should be signed and returned to you. It's also a good time to determine a timeline that meets the needs and capabilities of both teams.

The Questionnaire

To ensure that you have a productive interview — which is one of the best ways to collect information for the case study — you'll want to ask the participant to complete a questionnaire before this conversation. That will provide your team with the necessary foundation to organize the interview, and get the most out of it.

The Interview

Once the questionnaire is completed, someone on your team should reach out to the participant to schedule a 30- to 60-minute interview, which should include a series of custom questions related to the customer's experience with your product or service.

The Draft Review

After the case study is composed, you'll want to send a draft to the customer, allowing an opportunity to give you feedback and edits.

The Final Approval

Once any necessary edits are completed, send a revised copy of the case study to the customer for final approval.

Once the case study goes live — on your website or elsewhere — it's best to contact the customer with a link to the page where the case study lives. Don't be afraid to ask your participants to share these links with their own networks, as it not only demonstrates your ability to deliver positive results and impressive growth, as well.

9. Ensure you're asking the right questions.

Before you execute the questionnaire and actual interview, make sure you're setting yourself up for success. A strong case study results from being prepared to ask the right questions. What do those look like? Here are a few examples to get you started:

• What are your goals?
• What challenges were you experiencing before purchasing our product or service?
• What made our product or service stand out against our competitors?
• What did your decision-making process look like?
• How have you benefited from using our product or service? (Where applicable, always ask for data.)

Keep in mind that the questionnaire is designed to help you gain insights into what sort of strong, success-focused questions to ask during the actual interview. And once you get to that stage, we recommend that you follow the "Golden Rule of Interviewing." Sounds fancy, right? It's actually quite simple — ask open-ended questions.

If you're looking to craft a compelling story, "yes" or "no" answers won't provide the details you need. Focus on questions that invite elaboration, such as, "Can you describe ...?" or, "Tell me about ..."

In terms of the interview structure, we recommend categorizing the questions and flowing them into six specific sections that will mirror a successful case study format. Combined, they'll allow you to gather enough information to put together a rich, comprehensive study.

Open with the customer's business.

The goal of this section is to generate a better understanding of the company's current challenges and goals, and how they fit into the landscape of their industry. Sample questions might include:

• How long have you been in business?
• How many employees do you have?
• What are some of the objectives of your department at this time?

Cite a problem or pain point.

To tell a compelling story, you need context. That helps match the customer's need with your solution. Sample questions might include:

• What challenges and objectives led you to look for a solution?
• What might have happened if you did not identify a solution?
• Did you explore other solutions before this that did not work out? If so, what happened?

Discuss the decision process.

Exploring how the customer decided to work with you helps to guide potential customers through their own decision-making processes. Sample questions might include:

• How did you hear about our product or service?
• Who was involved in the selection process?
• What was most important to you when evaluating your options?

Explain how a solution was implemented.

The focus here should be placed on the customer's experience during the onboarding process. Sample questions might include:

• How long did it take to get up and running?
• Did that meet your expectations?
• Who was involved in the process?

Explain how the solution works.

The goal of this section is to better understand how the customer is using your product or service. Sample questions might include:

• Is there a particular aspect of the product or service that you rely on most?
• Who is using the product or service?

End with the results.

In this section, you want to uncover impressive measurable outcomes — the more numbers, the better. Sample questions might include:

• How is the product or service helping you save time and increase productivity?
• In what ways does that enhance your competitive advantage?
• How much have you increased metrics X, Y, and Z?

10. Lay out your case study format.

When it comes time to take all of the information you've collected and actually turn it into something, it's easy to feel overwhelmed. Where should you start? What should you include? What's the best way to structure it?

To help you get a handle on this step, it's important to first understand that there is no one-size-fits-all when it comes to the ways you can present a case study. They can be very visual, which you'll see in some of the examples we've included below, and can sometimes be communicated mostly through video or photos, with a bit of accompanying text.

Here are the sections we suggest, which we'll cover in more detail down below:

• Title: Keep it short. Develop a succinct but interesting project name you can give the work you did with your subject.
• Subtitle: Use this copy to briefly elaborate on the accomplishment. What was done? The case study itself will explain how you got there.
• Executive Summary : A 2-4 sentence summary of the entire story. You'll want to follow it with 2-3 bullet points that display metrics showcasing success.
• About the Subject: An introduction to the person or company you served, which can be pulled from a LinkedIn Business profile or client website.
• Challenges and Objectives: A 2-3 paragraph description of the customer's challenges, before using your product or service. This section should also include the goals or objectives the customer set out to achieve.
• How Product/Service Helped: A 2-3 paragraph section that describes how your product or service provided a solution to their problem.
• Results: A 2-3 paragraph testimonial that proves how your product or service specifically benefited the person or company and helped achieve its goals. Include numbers to quantify your contributions.
• Supporting Visuals or Quotes: Pick one or two powerful quotes that you would feature at the bottom of the sections above, as well as a visual that supports the story you are telling.
• Future Plans: Everyone likes an epilogue. Comment on what's ahead for your case study subject, whether or not those plans involve you.
• Call to Action (CTA): Not every case study needs a CTA, but putting a passive one at the end of your case study can encourage your readers to take an action on your website after learning about the work you've done.

When laying out your case study, focus on conveying the information you've gathered in the most clear and concise way possible. Make it easy to scan and comprehend, and be sure to provide an attractive call-to-action at the bottom — that should provide readers an opportunity to learn more about your product or service.

11. Publish and promote your case study.

Once you've completed your case study, it's time to publish and promote it. Some case study formats have pretty obvious promotional outlets — a video case study can go on YouTube, just as an infographic case study can go on Pinterest.

But there are still other ways to publish and promote your case study. Here are a couple of ideas:

Lead Gen in a Blog Post

As stated earlier in this article, written case studies make terrific lead-generators if you convert them into a downloadable format, like a PDF. To generate leads from your case study, consider writing a blog post that tells an abbreviated story of your client's success and asking readers to fill out a form with their name and email address if they'd like to read the rest in your PDF.

Then, promote this blog post on social media, through a Facebook post or a tweet.

Published as a Page on Your Website

As a growing business, you might need to display your case study out in the open to gain the trust of your target audience.

Rather than gating it behind a landing page, publish your case study to its own page on your website, and direct people here from your homepage with a "Case Studies" or "Testimonials" button along your homepage's top navigation bar.

Format for a Case Study

The traditional case study format includes the following parts: a title and subtitle, a client profile, a summary of the customer’s challenges and objectives, an account of how your solution helped, and a description of the results. You might also want to include supporting visuals and quotes, future plans, and calls-to-action.

Image Source

The title is one of the most important parts of your case study. It should draw readers in while succinctly describing the potential benefits of working with your company. To that end, your title should:

• State the name of your custome r. Right away, the reader must learn which company used your products and services. This is especially important if your customer has a recognizable brand. If you work with individuals and not companies, you may omit the name and go with professional titles: “A Marketer…”, “A CFO…”, and so forth.
• State which product your customer used . Even if you only offer one product or service, or if your company name is the same as your product name, you should still include the name of your solution. That way, readers who are not familiar with your business can become aware of what you sell.
• Allude to the results achieved . You don’t necessarily need to provide hard numbers, but the title needs to represent the benefits, quickly. That way, if a reader doesn’t stay to read, they can walk away with the most essential information: Your product works.

The example above, “Crunch Fitness Increases Leads and Signups With HubSpot,” achieves all three — without being wordy. Keeping your title short and sweet is also essential.

2. Subtitle

Your subtitle is another essential part of your case study — don’t skip it, even if you think you’ve done the work with the title. In this section, include a brief summary of the challenges your customer was facing before they began to use your products and services. Then, drive the point home by reiterating the benefits your customer experienced by working with you.

The above example reads:

“Crunch Fitness was franchising rapidly when COVID-19 forced fitness clubs around the world to close their doors. But the company stayed agile by using HubSpot to increase leads and free trial signups.”

We like that the case study team expressed the urgency of the problem — opening more locations in the midst of a pandemic — and placed the focus on the customer’s ability to stay agile.

3. Executive Summary

The executive summary should provide a snapshot of your customer, their challenges, and the benefits they enjoyed from working with you. Think it’s too much? Think again — the purpose of the case study is to emphasize, again and again, how well your product works.

The good news is that depending on your design, the executive summary can be mixed with the subtitle or with the “About the Company” section. Many times, this section doesn’t need an explicit “Executive Summary” subheading. You do need, however, to provide a convenient snapshot for readers to scan.

In the above example, ADP included information about its customer in a scannable bullet-point format, then provided two sections: “Business Challenge” and “How ADP Helped.” We love how simple and easy the format is to follow for those who are unfamiliar with ADP or its typical customer.

4. About the Company

Readers need to know and understand who your customer is. This is important for several reasons: It helps your reader potentially relate to your customer, it defines your ideal client profile (which is essential to deter poor-fit prospects who might have reached out without knowing they were a poor fit), and it gives your customer an indirect boon by subtly promoting their products and services.

Feel free to keep this section as simple as possible. You can simply copy and paste information from the company’s LinkedIn, use a quote directly from your customer, or take a more creative storytelling approach.

In the above example, HubSpot included one paragraph of description for Crunch Fitness and a few bullet points. Below, ADP tells the story of its customer using an engaging, personable technique that effectively draws readers in.

5. Challenges and Objectives

The challenges and objectives section of your case study is the place to lay out, in detail, the difficulties your customer faced prior to working with you — and what they hoped to achieve when they enlisted your help.

In this section, you can be as brief or as descriptive as you’d like, but remember: Stress the urgency of the situation. Don’t understate how much your customer needed your solution (but don’t exaggerate and lie, either). Provide contextual information as necessary. For instance, the pandemic and societal factors may have contributed to the urgency of the need.

Take the above example from design consultancy IDEO:

“Educational opportunities for adults have become difficult to access in the United States, just when they’re needed most. To counter this trend, IDEO helped the city of South Bend and the Drucker Institute launch Bendable, a community-powered platform that connects people with opportunities to learn with and from each other.”

We love how IDEO mentions the difficulties the United States faces at large, the efforts its customer is taking to address these issues, and the steps IDEO took to help.

6. How Product/Service Helped

This is where you get your product or service to shine. Cover the specific benefits that your customer enjoyed and the features they gleaned the most use out of. You can also go into detail about how you worked with and for your customer. Maybe you met several times before choosing the right solution, or you consulted with external agencies to create the best package for them.

Whatever the case may be, try to illustrate how easy and pain-free it is to work with the representatives at your company. After all, potential customers aren’t looking to just purchase a product. They’re looking for a dependable provider that will strive to exceed their expectations.

In the above example, IDEO describes how it partnered with research institutes and spoke with learners to create Bendable, a free educational platform. We love how it shows its proactivity and thoroughness. It makes potential customers feel that IDEO might do something similar for them.

The results are essential, and the best part is that you don’t need to write the entirety of the case study before sharing them. Like HubSpot, IDEO, and ADP, you can include the results right below the subtitle or executive summary. Use data and numbers to substantiate the success of your efforts, but if you don’t have numbers, you can provide quotes from your customers.

We can’t overstate the importance of the results. In fact, if you wanted to create a short case study, you could include your title, challenge, solution (how your product helped), and result.

8. Supporting Visuals or Quotes

Let your customer speak for themselves by including quotes from the representatives who directly interfaced with your company.

Visuals can also help, even if they’re stock images. On one side, they can help you convey your customer’s industry, and on the other, they can indirectly convey your successes. For instance, a picture of a happy professional — even if they’re not your customer — will communicate that your product can lead to a happy client.

In this example from IDEO, we see a man standing in a boat. IDEO’s customer is neither the man pictured nor the manufacturer of the boat, but rather Conservation International, an environmental organization. This imagery provides a visually pleasing pattern interrupt to the page, while still conveying what the case study is about.

9. Future Plans

This is optional, but including future plans can help you close on a more positive, personable note than if you were to simply include a quote or the results. In this space, you can show that your product will remain in your customer’s tech stack for years to come, or that your services will continue to be instrumental to your customer’s success.

Alternatively, if you work only on time-bound projects, you can allude to the positive impact your customer will continue to see, even after years of the end of the contract.

10. Call to Action (CTA)

Not every case study needs a CTA, but we’d still encourage it. Putting one at the end of your case study will encourage your readers to take an action on your website after learning about the work you've done.

It will also make it easier for them to reach out, if they’re ready to start immediately. You don’t want to lose business just because they have to scroll all the way back up to reach out to your team.

To help you visualize this case study outline, check out the case study template below, which can also be downloaded here .

You drove the results, made the connection, set the expectations, used the questionnaire to conduct a successful interview, and boiled down your findings into a compelling story. And after all of that, you're left with a little piece of sales enabling gold — a case study.

To show you what a well-executed final product looks like, have a look at some of these marketing case study examples.

1. "Shopify Uses HubSpot CRM to Transform High Volume Sales Organization," by HubSpot

What's interesting about this case study is the way it leads with the customer. This reflects a major HubSpot value, which is to always solve for the customer first. The copy leads with a brief description of why Shopify uses HubSpot and is accompanied by a short video and some basic statistics on the company.

Notice that this case study uses mixed media. Yes, there is a short video, but it's elaborated upon in the additional text on the page. So, while case studies can use one or the other, don't be afraid to combine written copy with visuals to emphasize the project's success.

2. "New England Journal of Medicine," by Corey McPherson Nash

When branding and design studio Corey McPherson Nash showcases its work, it makes sense for it to be visual — after all, that's what they do. So in building the case study for the studio's work on the New England Journal of Medicine's integrated advertising campaign — a project that included the goal of promoting the client's digital presence — Corey McPherson Nash showed its audience what it did, rather than purely telling it.

Notice that the case study does include some light written copy — which includes the major points we've suggested — but lets the visuals do the talking, allowing users to really absorb the studio's services.

3. "Designing the Future of Urban Farming," by IDEO

Here's a design company that knows how to lead with simplicity in its case studies. As soon as the visitor arrives at the page, he or she is greeted with a big, bold photo, and two very simple columns of text — "The Challenge" and "The Outcome."

Immediately, IDEO has communicated two of the case study's major pillars. And while that's great — the company created a solution for vertical farming startup INFARM's challenge — it doesn't stop there. As the user scrolls down, those pillars are elaborated upon with comprehensive (but not overwhelming) copy that outlines what that process looked like, replete with quotes and additional visuals.

4. "Secure Wi-Fi Wins Big for Tournament," by WatchGuard

Then, there are the cases when visuals can tell almost the entire story — when executed correctly. Network security provider WatchGuard can do that through this video, which tells the story of how its services enhanced the attendee and vendor experience at the Windmill Ultimate Frisbee tournament.

5. Rock and Roll Hall of Fame Boosts Social Media Engagement and Brand Awareness with HubSpot

In the case study above , HubSpot uses photos, videos, screenshots, and helpful stats to tell the story of how the Rock and Roll Hall of Fame used the bot, CRM, and social media tools to gain brand awareness.

6. Small Desk Plant Business Ups Sales by 30% With Trello

This case study from Trello is straightforward and easy to understand. It begins by explaining the background of the company that decided to use it, what its goals were, and how it planned to use Trello to help them.

It then goes on to discuss how the software was implemented and what tasks and teams benefited from it. Towards the end, it explains the sales results that came from implementing the software and includes quotes from decision-makers at the company that implemented it.

7. Facebook's Mercedes Benz Success Story

Facebook's Success Stories page hosts a number of well-designed and easy-to-understand case studies that visually and editorially get to the bottom line quickly.

Each study begins with key stats that draw the reader in. Then it's organized by highlighting a problem or goal in the introduction, the process the company took to reach its goals, and the results. Then, in the end, Facebook notes the tools used in the case study.

Showcasing Your Work

You work hard at what you do. Now, it's time to show it to the world — and, perhaps more important, to potential customers. Before you show off the projects that make you the proudest, we hope you follow these important steps that will help you effectively communicate that work and leave all parties feeling good about it.

Editor's Note: This blog post was originally published in February 2017 but was updated for comprehensiveness and freshness in July 2021.

Don't forget to share this post!

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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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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. Request ' write my case study ' assistance from our service.

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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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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16 case study examples (+ 3 templates to make your own)

I like to think of case studies as a business's version of a resume. It highlights what the business can do, lends credibility to its offer, and contains only the positive bullet points that paint it in the best light possible.

Imagine if the guy running your favorite taco truck followed you home so that he could "really dig into how that burrito changed your life." I see the value in the practice. People naturally prefer a tried-and-true burrito just as they prefer tried-and-true products or services.

To help you showcase your success and flesh out your burrito questionnaire, I've put together some case study examples and key takeaways.

What is a case study?

A case study is an in-depth analysis of how your business, product, or service has helped past clients. It can be a document, a webpage, or a slide deck that showcases measurable, real-life results.

For example, if you're a SaaS company, you can analyze your customers' results after a few months of using your product to measure its effectiveness. You can then turn this analysis into a case study that further proves to potential customers what your product can do and how it can help them overcome their challenges.

It changes the narrative from "I promise that we can do X and Y for you" to "Here's what we've done for businesses like yours, and we can do it for you, too."

16 case study examples 

While most case studies follow the same structure, quite a few try to break the mold and create something unique. Some businesses lean heavily on design and presentation, while others pursue a detailed, stat-oriented approach. Some businesses try to mix both.

There's no set formula to follow, but I've found that the best case studies utilize impactful design to engage readers and leverage statistics and case details to drive the point home. A case study typically highlights the companies, the challenges, the solution, and the results. The examples below will help inspire you to do it, too.

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People love a good farm-to-table coffee story, and boy am I one of them. But I've shared this case study with you for more reasons than my love of coffee. I enjoyed this study because it was written as though it was a letter.

In this case study, the founder of Volcanica Coffee talks about the journey from founding the company to personally struggling with learning and applying digital marketing to finding and enlisting AdRoll's services.

It felt more authentic, less about AdRoll showcasing their worth and more like a testimonial from a grateful and appreciative client. After the story, the case study wraps up with successes, milestones, and achievements. Note that quite a few percentages are prominently displayed at the top, providing supporting evidence that backs up an inspiring story.

Takeaway: Highlight your goals and measurable results to draw the reader in and provide concise, easily digestible information.

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This Airtable case study on Taylor Guitars comes as close as one can to an optimal structure. It features a video that represents the artistic nature of the client, highlighting key achievements and dissecting each element of Airtable's influence.

It also supplements each section with a testimonial or quote from the client, using their insights as a catalyst for the case study's narrative. For example, the case study quotes the social media manager and project manager's insights regarding team-wide communication and access before explaining in greater detail.

Takeaway: Highlight pain points your business solves for its client, and explore that influence in greater detail.

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My favorite part of Figma's case study is highlighting why EndeavourX chose its solution. You'll notice an entire section on what Figma does for teams and then specifically for EndeavourX.

It also places a heavy emphasis on numbers and stats. The study, as brief as it is, still manages to pack in a lot of compelling statistics about what's possible with Figma.

Takeaway: Showcase the "how" and "why" of your product's differentiators and how they benefit your customers.

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Zapier's case study leans heavily on design, using graphics to present statistics and goals in a manner that not only remains consistent with the branding but also actively pushes it forward, drawing users' eyes to the information most important to them. 

The graphics, emphasis on branding elements, and cause/effect style tell the story without requiring long, drawn-out copy that risks boring readers. Instead, the cause and effect are concisely portrayed alongside the client company's information for a brief and easily scannable case study.

Takeaway: Lean on design to call attention to the most important elements of your case study, and make sure it stays consistent with your branding.

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In true OpenAI fashion, this case study is a block of text. There's a distinct lack of imagery, but the study features a narrated video walking readers through the product.

The lack of imagery and color may not be the most inviting, but utilizing video format is commendable. It helps thoroughly communicate how OpenAI supported Ironclad in a way that allows the user to sit back, relax, listen, and be impressed. 

Takeaway: Get creative with the media you implement in your case study. Videos can be a very powerful addition when a case study requires more detailed storytelling.

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GitHub's case study on Shopify is a light read. It addresses client pain points and discusses the different aspects its product considers and improves for clients. It touches on workflow issues, internal systems, automation, and security. It does a great job of representing what one company can do with GitHub.

To drive the point home, the case study features colorful quote callouts from the Shopify team, sharing their insights and perspectives on the partnership, the key issues, and how they were addressed.

Takeaway: Leverage quotes to boost the authoritativeness and trustworthiness of your case study. 

7 . .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} Audible and Contentful

Contentful's case study on Audible features almost every element a case study should. It includes not one but two videos and clearly outlines the challenge, solution, and outcome before diving deeper into what Contentful did for Audible. The language is simple, and the writing is heavy with quotes and personal insights.

This case study is a uniquely original experience. The fact that the companies in question are perhaps two of the most creative brands out there may be the reason. I expected nothing short of a detailed analysis, a compelling story, and video content. 

Takeaway: Inject some brand voice into the case study, and create assets that tell the story for you.

8 . .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} Zoom and Asana

Asana's case study on Zoom is longer than the average piece and features detailed data on Zoom's growth since 2020. Instead of relying on imagery and graphics, it features several quotes and testimonials. 

It's designed to be direct, informative, and promotional. At some point, the case study reads more like a feature list. There were a few sections that felt a tad too promotional for my liking, but to each their own burrito.

Takeaway: Maintain a balance between promotional and informative. You want to showcase the high-level goals your product helped achieve without losing the reader.

9 . .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} Hickies and Mailchimp

I've always been a fan of Mailchimp's comic-like branding, and this case study does an excellent job of sticking to their tradition of making information easy to understand, casual, and inviting.

It features a short video that briefly covers Hickies as a company and Mailchimp's efforts to serve its needs for customer relationships and education processes. Overall, this case study is a concise overview of the partnership that manages to convey success data and tell a story at the same time. What sets it apart is that it does so in a uniquely colorful and brand-consistent manner.

Takeaway: Be concise to provide as much value in as little text as possible.

10. .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} NVIDIA and Workday

The gaming industry is notoriously difficult to recruit for, as it requires a very specific set of skills and experience. This case study focuses on how Workday was able to help fill that recruitment gap for NVIDIA, one of the biggest names in the gaming world.

Though it doesn't feature videos or graphics, this case study stood out to me in how it structures information like "key products used" to give readers insight into which tools helped achieve these results.

Takeaway: If your company offers multiple products or services, outline exactly which ones were involved in your case study, so readers can assess each tool.

11. .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} KFC and Contentful

I'm personally not a big KFC fan, but that's only because I refuse to eat out of a bucket. My aversion to the bucket format aside, Contentful follows its consistent case study format in this one, outlining challenges, solutions, and outcomes before diving into the nitty-gritty details of the project.

Say what you will about KFC, but their primary product (chicken) does present a unique opportunity for wordplay like "Continuing to march to the beat of a digital-first drum(stick)" or "Delivering deep-fried goodness to every channel."

Takeaway: Inject humor into your case study if there's room for it and if it fits your brand. 

12. .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} Intuit and Twilio

Twilio does an excellent job of delivering achievements at the very beginning of the case study and going into detail in this two-minute read. While there aren't many graphics, the way quotes from the Intuit team are implemented adds a certain flair to the study and breaks up the sections nicely.

It's simple, concise, and manages to fit a lot of information in easily digestible sections.

Takeaway: Make sure each section is long enough to inform but brief enough to avoid boring readers. Break down information for each section, and don't go into so much detail that you lose the reader halfway through.

13. .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} Spotify and Salesforce

Salesforce created a video that accurately summarizes the key points of the case study. Beyond that, the page itself is very light on content, and sections are as short as one paragraph.

I especially like how information is broken down into "What you need to know," "Why it matters," and "What the difference looks like." I'm not ashamed of being spoon-fed information. When it's structured so well and so simply, it makes for an entertaining read.

14. .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} Benchling and Airtable

Benchling is an impressive entity in its own right. Biotech R&D and health care nuances go right over my head. But the research and digging I've been doing in the name of these burritos (case studies) revealed that these products are immensely complex. 

And that's precisely why this case study deserves a read—it succeeds at explaining a complex project that readers outside the industry wouldn't know much about.

Takeaway: Simplify complex information, and walk readers through the company's operations and how your business helped streamline them.

15. .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} Chipotle and Hubble

The concision of this case study is refreshing. It features two sections—the challenge and the solution—all in 316 words. This goes to show that your case study doesn't necessarily need to be a four-figure investment with video shoots and studio time. 

Sometimes, the message is simple and short enough to convey in a handful of paragraphs.

Takeaway: Consider what you should include instead of what you can include. Assess the time, resources, and effort you're able and willing to invest in a case study, and choose which elements you want to include from there.

16. .css-yjptlz-Link{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-yjptlz-Link[data-color='ocean']{color:#3d4592;}.css-yjptlz-Link[data-color='ocean']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='white']{color:#fffdf9;}.css-yjptlz-Link[data-color='white']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-color='primary']{color:#3d4592;}.css-yjptlz-Link[data-color='primary']:hover{color:#2b2358;}.css-yjptlz-Link[data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-yjptlz-Link[data-color='secondary']{color:#fffdf9;}.css-yjptlz-Link[data-color='secondary']:hover{color:#a8a5a0;}.css-yjptlz-Link[data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-yjptlz-Link[data-weight='inherit']{font-weight:inherit;}.css-yjptlz-Link[data-weight='normal']{font-weight:400;}.css-yjptlz-Link[data-weight='bold']{font-weight:700;} Hudl and Zapier

I may be biased, but I'm a big fan of seeing metrics and achievements represented in branded graphics. It can be a jarring experience to navigate a website, then visit a case study page and feel as though you've gone to a completely different website.

The case study is essentially the summary, and the blog article is the detailed analysis that provides context beyond X achievement or Y goal.

Takeaway: Keep your case study concise and informative. Create other resources to provide context under your blog, media or press, and product pages.

3 case study templates

Now that you've had your fill of case studies (if that's possible), I've got just what you need: an infinite number of case studies, which you can create yourself with these case study templates.

Case study template 1

If you've got a quick hit of stats you want to show off, try this template. The opening section gives space for a short summary and three visually appealing stats you can highlight, followed by a headline and body where you can break the case study down more thoroughly. This one's pretty simple, with only sections for solutions and results, but you can easily continue the formatting to add more sections as needed.

Case study template 2

For a case study template with a little more detail, use this one. Opening with a striking cover page for a quick overview, this one goes on to include context, stakeholders, challenges, multiple quote callouts, and quick-hit stats. 

Case study template 3

Whether you want a little structural variation or just like a nice dark green, this template has similar components to the last template but is designed to help tell a story. Move from the client overview through a description of your company before getting to the details of how you fixed said company's problems.

Tips for writing a case study

Examples are all well and good, but you don't learn how to make a burrito just by watching tutorials on YouTube without knowing what any of the ingredients are. You could , but it probably wouldn't be all that good.

Have an objective: Define your objective by identifying the challenge, solution, and results. Assess your work with the client and focus on the most prominent wins. You're speaking to multiple businesses and industries through the case study, so make sure you know what you want to say to them.

Focus on persuasive data: Growth percentages and measurable results are your best friends. Extract your most compelling data and highlight it in your case study.

Use eye-grabbing graphics: Branded design goes a long way in accurately representing your brand and retaining readers as they review the study. Leverage unique and eye-catching graphics to keep readers engaged. 

Simplify data presentation: Some industries are more complex than others, and sometimes, data can be difficult to understand at a glance. Make sure you present your data in the simplest way possible. Make it concise, informative, and easy to understand.

Use automation to drive results for your case study

A case study example is a source of inspiration you can leverage to determine how to best position your brand's work. Find your unique angle, and refine it over time to help your business stand out. Ask anyone: the best burrito in town doesn't just appear at the number one spot. They find their angle (usually the house sauce) and leverage it to stand out.

Case study FAQ

Got your case study template? Great—it's time to gather the team for an awkward semi-vague data collection task. While you do that, here are some case study quick answers for you to skim through while you contemplate what to call your team meeting.

What is an example of a case study?

An example of a case study is when a software company analyzes its results from a client project and creates a webpage, presentation, or document that focuses on high-level results, challenges, and solutions in an attempt to showcase effectiveness and promote the software.

How do you write a case study?

To write a good case study, you should have an objective, identify persuasive and compelling data, leverage graphics, and simplify data. Case studies typically include an analysis of the challenge, solution, and results of the partnership.

What is the format of a case study?

While case studies don't have a set format, they're often portrayed as reports or essays that inform readers about the partnership and its results. 

Related reading:

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Hachem Ramki

Hachem is a writer and digital marketer from Montreal. After graduating with a degree in English, Hachem spent seven years traveling around the world before moving to Canada. When he's not writing, he enjoys Basketball, Dungeons and Dragons, and playing music for friends and family.

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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.

Prevent plagiarism, run a free check.

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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Blog Graphic Design 15+ Professional Case Study Examples [Design Tips + Templates]

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

Written by: Alice Corner Jan 12, 2023

Have you ever bought something — within the last 10 years or so — without reading its reviews or without a recommendation or prior experience of using it?

If the answer is no — or at least, rarely — you get my point.

Positive reviews matter for selling to regular customers, and for B2B or SaaS businesses, detailed case studies are important too.

Wondering how to craft a compelling case study ? No worries—I’ve got you covered with 15 marketing case study templates , helpful tips, and examples to ensure your case study converts effectively.

Click to jump ahead:

• What is a Case Study?

Business Case Study Examples

Simple case study examples.

• Marketing Case Study Examples

Sales Case Study Examples

• Case Study FAQs

What is a case study?

A case study is an in-depth, detailed analysis of a specific real-world situation. For example, a case study can be about an individual, group, event, organization, or phenomenon. The purpose of a case study is to understand its complexities and gain insights into a particular instance or situation.

In the context of a business, however, case studies take customer success stories and explore how they use your product to help them achieve their business goals.

As well as being valuable marketing tools , case studies are a good way to evaluate your product as it allows you to objectively examine how others are using it.

It’s also a good way to interview your customers about why they work with you.

Related: What is a Case Study? [+6 Types of Case Studies]

Marketing Case Study Template

A marketing case study showcases how your product or services helped potential clients achieve their business goals. You can also create case studies of internal, successful marketing projects. A marketing case study typically includes:

• Company background and history
• The challenge
• How you helped
• Specific actions taken
• Visuals or Data
• Client testimonials

Here’s an example of a marketing case study template:

Whether you’re a B2B or B2C company, business case studies can be a powerful resource to help with your sales, marketing, and even internal departmental awareness.

Business and business management case studies should encompass strategic insights alongside anecdotal and qualitative findings, like in the business case study examples below.

Conduct a B2B case study by researching the company holistically

When it comes to writing a case study, make sure you approach the company holistically and analyze everything from their social media to their sales.

Think about every avenue your product or service has been of use to your case study company, and ask them about the impact this has had on their wider company goals.

In business case study examples like the one above, we can see that the company has been thought about holistically simply by the use of icons.

By combining social media icons with icons that show in-person communication we know that this is a well-researched and thorough case study.

This case study report example could also be used within an annual or end-of-year report.

Highlight the key takeaway from your marketing case study

To create a compelling case study, identify the key takeaways from your research. Use catchy language to sum up this information in a sentence, and present this sentence at the top of your page.

This is “at a glance” information and it allows people to gain a top-level understanding of the content immediately. 

You can use a large, bold, contrasting font to help this information stand out from the page and provide interest.

Learn  how to choose fonts  effectively with our Venngage guide and once you’ve done that.

Upload your fonts and  brand colors  to Venngage using the  My Brand Kit  tool and see them automatically applied to your designs.

The heading is the ideal place to put the most impactful information, as this is the first thing that people will read.

In this example, the stat of “Increase[d] lead quality by 90%” is used as the header. It makes customers want to read more to find out how exactly lead quality was increased by such a massive amount.

If you’re conducting an in-person interview, you could highlight a direct quote or insight provided by your interview subject.

Pick out a catchy sentence or phrase, or the key piece of information your interview subject provided and use that as a way to draw a potential customer in.

Use charts to visualize data in your business case studies

Charts are an excellent way to visualize data and to bring statistics and information to life. Charts make information easier to understand and to illustrate trends or patterns.

Making charts is even easier with Venngage.

In this consulting case study example, we can see that a chart has been used to demonstrate the difference in lead value within the Lead Elves case study.

Adding a chart here helps break up the information and add visual value to the case study. 

Using charts in your case study can also be useful if you’re creating a project management case study.

You could use a Gantt chart or a project timeline to show how you have managed the project successfully.

Use direct quotes to build trust in your marketing case study

To add an extra layer of authenticity you can include a direct quote from your customer within your case study.

According to research from Nielsen , 92% of people will trust a recommendation from a peer and 70% trust recommendations even if they’re from somebody they don’t know.

So if you have a customer or client who can’t stop singing your praises, make sure you get a direct quote from them and include it in your case study.

You can either lift part of the conversation or interview, or you can specifically request a quote. Make sure to ask for permission before using the quote.

This design uses a bright contrasting speech bubble to show that it includes a direct quote, and helps the quote stand out from the rest of the text.

This will help draw the customer’s attention directly to the quote, in turn influencing them to use your product or service.

Less is often more, and this is especially true when it comes to creating designs. Whilst you want to create a professional-looking, well-written and design case study – there’s no need to overcomplicate things.

These simple case study examples show that smart clean designs and informative content can be an effective way to showcase your successes.

Use colors and fonts to create a professional-looking case study

Business case studies shouldn’t be boring. In fact, they should be beautifully and professionally designed.

This means the normal rules of design apply. Use fonts, colors, and icons to create an interesting and visually appealing case study.

In this case study example, we can see how multiple fonts have been used to help differentiate between the headers and content, as well as complementary colors and eye-catching icons.

Marketing case study examples

Marketing case studies are incredibly useful for showing your marketing successes. Every successful marketing campaign relies on influencing a consumer’s behavior, and a great case study can be a great way to spotlight your biggest wins.

In the marketing case study examples below, a variety of designs and techniques to create impactful and effective case studies.

Show off impressive results with a bold marketing case study

Case studies are meant to show off your successes, so make sure you feature your positive results prominently. Using bold and bright colors as well as contrasting shapes, large bold fonts, and simple icons is a great way to highlight your wins.

In well-written case study examples like the one below, the big wins are highlighted on the second page with a bright orange color and are highlighted in circles.

Making the important data stand out is especially important when attracting a prospective customer with marketing case studies.

Use a simple but clear layout in your case study

Using a simple layout in your case study can be incredibly effective, like in the example of a case study below.

Keeping a clean white background, and using slim lines to help separate the sections is an easy way to format your case study.

Making the information clear helps draw attention to the important results, and it helps improve the  accessibility of the design .

Business case study examples like this would sit nicely within a larger report, with a consistent layout throughout.

Use visuals and icons to create an engaging and branded business case study

Nobody wants to read pages and pages of text — and that’s why Venngage wants to help you communicate your ideas visually.

Using icons, graphics, photos, or patterns helps create a much more engaging design. 

With this Blue Cap case study icons, colors, and impactful pattern designs have been used to create an engaging design that catches your eye.

Use a monochromatic color palette to create a professional and clean case study

Let your research shine by using a monochromatic and minimalistic color palette.

By sticking to one color, and leaving lots of blank space you can ensure your design doesn’t distract a potential customer from your case study content.

In this case study on Polygon Media, the design is simple and professional, and the layout allows the prospective customer to follow the flow of information.

The gradient effect on the left-hand column helps break up the white background and adds an interesting visual effect.

Did you know you can generate an accessible color palette with Venngage? Try our free accessible color palette generator today and create a case study that delivers and looks pleasant to the eye:

Add long term goals in your case study

When creating a case study it’s a great idea to look at both the short term and the long term goals of the company to gain the best understanding possible of the insights they provide.

Short-term goals will be what the company or person hopes to achieve in the next few months, and long-term goals are what the company hopes to achieve in the next few years.

Check out this modern pattern design example of a case study below:

In this case study example, the short and long-term goals are clearly distinguished by light blue boxes and placed side by side so that they are easy to compare.

Use a strong introductory paragraph to outline the overall strategy and goals before outlining the specific short-term and long-term goals to help with clarity.

This strategy can also be handy when creating a consulting case study.

Use data to make concrete points about your sales and successes

When conducting any sort of research stats, facts, and figures are like gold dust (aka, really valuable).

Being able to quantify your findings is important to help understand the information fully. Saying sales increased 10% is much more effective than saying sales increased.

While sales dashboards generally tend it make it all about the numbers and charts, in sales case study examples, like this one, the key data and findings can be presented with icons. This contributes to the potential customer’s better understanding of the report.

They can clearly comprehend the information and it shows that the case study has been well researched.

Use emotive, persuasive, or action based language in your marketing case study

Create a compelling case study by using emotive, persuasive and action-based language when customizing your case study template.

In this well-written case study example, we can see that phrases such as “Results that Speak Volumes” and “Drive Sales” have been used.

Using persuasive language like you would in a blog post. It helps inspire potential customers to take action now.

Keep your potential customers in mind when creating a customer case study for marketing

82% of marketers use case studies in their marketing  because it’s such an effective tool to help quickly gain customers’ trust and to showcase the potential of your product.

Why are case studies such an important tool in content marketing?

By writing a case study you’re telling potential customers that they can trust you because you’re showing them that other people do.

Not only that, but if you have a SaaS product, business case studies are a great way to show how other people are effectively using your product in their company.

In this case study, Network is demonstrating how their product has been used by Vortex Co. with great success; instantly showing other potential customers that their tool works and is worth using.

Related: 10+ Case Study Infographic Templates That Convert

Case studies are particularly effective as a sales technique.

A sales case study is like an extended customer testimonial, not only sharing opinions of your product – but showcasing the results you helped your customer achieve.

Make impactful statistics pop in your sales case study

Writing a case study doesn’t mean using text as the only medium for sharing results.

You should use icons to highlight areas of your research that are particularly interesting or relevant, like in this example of a case study:

Icons are a great way to help summarize information quickly and can act as visual cues to help draw the customer’s attention to certain areas of the page.

In some of the business case study examples above, icons are used to represent the impressive areas of growth and are presented in a way that grabs your attention.

Use high contrast shapes and colors to draw attention to key information in your sales case study

Help the key information stand out within your case study by using high contrast shapes and colors.

Use a complementary or contrasting color, or use a shape such as a rectangle or a circle for maximum impact.

This design has used dark blue rectangles to help separate the information and make it easier to read.

Coupled with icons and strong statistics, this information stands out on the page and is easily digestible and retainable for a potential customer.

Case Study Examples Summary

Once you have created your case study, it’s best practice to update your examples on a regular basis to include up-to-date statistics, data, and information.

You should update your business case study examples often if you are sharing them on your website .

It’s also important that your case study sits within your brand guidelines – find out how Venngage’s My Brand Kit tool can help you create consistently branded case study templates.

Case studies are important marketing tools – but they shouldn’t be the only tool in your toolbox. Content marketing is also a valuable way to earn consumer trust.

Case Study FAQ

Why should you write a case study.

Case studies are an effective marketing technique to engage potential customers and help build trust.

By producing case studies featuring your current clients or customers, you are showcasing how your tool or product can be used. You’re also showing that other people endorse your product.

In addition to being a good way to gather positive testimonials from existing customers , business case studies are good educational resources and can be shared amongst your company or team, and used as a reference for future projects.

How should you write a case study?

To create a great case study, you should think strategically. The first step, before starting your case study research, is to think about what you aim to learn or what you aim to prove.

You might be aiming to learn how a company makes sales or develops a new product. If this is the case, base your questions around this.

You can learn more about writing a case study  from our extensive guide.

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

Some good questions you could ask would be:

• Why do you use our tool or service?
• How often do you use our tool or service?
• What does the process of using our product look like to you?
• If our product didn’t exist, what would you be doing instead?
• What is the number one benefit you’ve found from using our tool?

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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."

Writing A Case Study

A Complete Case Study Writing Guide With Examples

People also read

Simple Case Study Format for Students to Follow

Understand the Types of Case Study Here

Brilliant Case Study Examples and Templates For Your Help

Many writers find themselves grappling with the challenge of crafting persuasive and engaging case studies. 

The process can be overwhelming, leaving them unsure where to begin or how to structure their study effectively. And, without a clear plan, it's tough to show the value and impact in a convincing way.

But don’t worry!

In this blog, we'll guide you through a systematic process, offering step-by-step instructions on crafting a compelling case study. 

Along the way, we'll share valuable tips and illustrative examples to enhance your understanding. So, let’s get started.

• 1. What is a Case Study? 
• 2. Types of Case Studies
• 3. How To Write a Case Study - 9 Steps
• 4. Case Study Methods
• 5. Case Study Format
• 6. Case Study Examples
• 7. Benefits and Limitations of Case Studies

What is a Case Study? 

A case study is a detailed analysis and examination of a particular subject, situation, or phenomenon. It involves comprehensive research to gain a deep understanding of the context and variables involved. 

Typically used in academic, business, and marketing settings, case studies aim to explore real-life scenarios, providing insights into challenges, solutions, and outcomes. They serve as valuable tools for learning, decision-making, and showcasing success stories.

Tough Essay Due? Hire Tough Writers!

Types of Case Studies

Case studies come in various forms, each tailored to address specific objectives and areas of interest. Here are some of the main types of case studies :

• Illustrative Case Studies: These focus on describing a particular situation or event, providing a detailed account to enhance understanding.
• Exploratory Case Studies: Aimed at investigating an issue and generating initial insights, these studies are particularly useful when exploring new or complex topics.
• Explanatory Case Studies: These delve into the cause-and-effect relationships within a given scenario, aiming to explain why certain outcomes occurred.
• Intrinsic Case Studies: Concentrating on a specific case that holds intrinsic value, these studies explore the unique qualities of the subject itself.
• Instrumental Case Studies: These are conducted to understand a broader issue and use the specific case as a means to gain insights into the larger context.
• Collective Case Studies: Involving the study of multiple cases, this type allows for comparisons and contrasts, offering a more comprehensive view of a phenomenon or problem.

How To Write a Case Study - 9 Steps

Crafting an effective case study involves a structured approach to ensure clarity, engagement, and relevance. 

Here's a step-by-step guide on how to write a compelling case study:

Step 1: Define Your Objective

Before diving into the writing process, clearly define the purpose of your case study. Identify the key questions you want to answer and the specific goals you aim to achieve. 

Whether it's to showcase a successful project, analyze a problem, or demonstrate the effectiveness of a solution, a well-defined objective sets the foundation for a focused and impactful case study.

Step 2: Conduct Thorough Research

Gather all relevant information and data related to your chosen case. This may include interviews, surveys, documentation, and statistical data. 

Ensure that your research is comprehensive, covering all aspects of the case to provide a well-rounded and accurate portrayal. 

The more thorough your research, the stronger your case study's foundation will be.

Step 3: Introduction: Set the Stage

Begin your case study with a compelling introduction that grabs the reader's attention. Clearly state the subject and the primary issue or challenge faced. 

Engage your audience by setting the stage for the narrative, creating intrigue, and highlighting the significance of the case.

Step 4: Present the Background Information

Provide context by presenting the background information of the case. Explore relevant history, industry trends, and any other factors that contribute to a deeper understanding of the situation. 

This section sets the stage for readers, allowing them to comprehend the broader context before delving into the specifics of the case.

Step 5: Outline the Challenges Faced

Identify and articulate the challenges or problems encountered in the case. Clearly define the obstacles that needed to be overcome, emphasizing their significance. 

This section sets the stakes for your audience and prepares them for the subsequent exploration of solutions.

Step 6: Detail the Solutions Implemented

Describe the strategies, actions, or solutions applied to address the challenges outlined. Be specific about the decision-making process, the rationale behind the chosen solutions, and any alternatives considered. 

This part of the case study demonstrates problem-solving skills and showcases the effectiveness of the implemented measures.

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Step 7: Showcase Measurable Results

Present tangible outcomes and results achieved as a direct consequence of the implemented solutions. Use data, metrics, and success stories to quantify the impact. 

Whether it's increased revenue, improved efficiency, or positive customer feedback, measurable results add credibility and validation to your case study.

Step 8: Include Engaging Visuals

Enhance the readability and visual appeal of your case study by incorporating relevant visuals such as charts, graphs, images, and infographics. 

Visual elements not only break up the text but also provide a clearer representation of data and key points, making your case study more engaging and accessible.

Step 9: Provide a Compelling Conclusion

Wrap up your case study with a strong and conclusive summary. Revisit the initial objectives, recap key findings, and emphasize the overall success or significance of the case. 

This section should leave a lasting impression on your readers, reinforcing the value of the presented information.

Case Study Methods

The methods employed in case study writing are diverse and flexible, catering to the unique characteristics of each case. Here are common methods used in case study writing:

Conducting one-on-one or group interviews with individuals involved in the case to gather firsthand information, perspectives, and insights.

• Observation

Directly observing the subject or situation to collect data on behaviors, interactions, and contextual details.

• Document Analysis

Examining existing documents, records, reports, and other written materials relevant to the case to gather information and insights.

• Surveys and Questionnaires

Distributing structured surveys or questionnaires to relevant stakeholders to collect quantitative data on specific aspects of the case.

• Participant Observation

Combining direct observation with active participation in the activities or events related to the case to gain an insider's perspective.

• Triangulation

Using multiple methods (e.g., interviews, observation, and document analysis) to cross-verify and validate the findings, enhancing the study's reliability.

• Ethnography

Immersing the researcher in the subject's environment over an extended period, focusing on understanding the cultural context and social dynamics.

Case Study Format

Effectively presenting your case study is as crucial as the content itself. Follow these formatting guidelines to ensure clarity and engagement:

• Opt for fonts that are easy to read, such as Arial, Calibri, or Times New Roman.
• Maintain a consistent font size, typically 12 points for the body text.
• Aim for double-line spacing to maintain clarity and prevent overwhelming the reader with too much text.
• Utilize bullet points to present information in a concise and easily scannable format.
• Use numbered lists when presenting a sequence of steps or a chronological order of events.
• Bold or italicize key phrases or important terms to draw attention to critical points.
• Use underline sparingly, as it can sometimes be distracting in digital formats.
• Choose the left alignment style.
• Use hierarchy to distinguish between different levels of headings, making it easy for readers to navigate.

If you're still having trouble organizing your case study, check out this blog on case study format for helpful insights.

Case Study Examples

If you want to understand how to write a case study, examples are a fantastic way to learn. That's why we've gathered a collection of intriguing case study examples for you to review before you begin writing.

Case Study Research Example

Case Study Template

Case Study Introduction Example

Amazon Case Study Example

Business Case Study Example

APA Format Case Study Example

Psychology Case Study Example

Medical Case Study Example

UX Case Study Example

Looking for more examples? Check out our blog on case study examples for your inspiration!

Benefits and Limitations of Case Studies

Case studies are a versatile and in-depth research method, providing a nuanced understanding of complex phenomena. 

However, like any research approach, case studies come with their set of benefits and limitations. Some of them are given below:

Tips for Writing an Effective Case Study

Here are some important tips for writing a good case study:

• Clearly articulate specific, measurable research questions aligned with your objectives.
• Identify whether your case study is exploratory, explanatory, intrinsic, or instrumental.
• Choose a case that aligns with your research questions, whether it involves an individual case or a group of people through multiple case studies.
• Explore the option of conducting multiple case studies to enhance the breadth and depth of your findings.
• Present a structured format with clear sections, ensuring readability and alignment with the type of research.
• Clearly define the significance of the problem or challenge addressed in your case study, tying it back to your research questions.
• Collect and include quantitative and qualitative data to support your analysis and address the identified research questions.
• Provide sufficient detail without overwhelming your audience, ensuring a comprehensive yet concise presentation.
• Emphasize how your findings can be practically applied to real-world situations, linking back to your research objectives.
• Acknowledge and transparently address any limitations in your study, ensuring a comprehensive and unbiased approach.

To sum it up, creating a good case study involves careful thinking to share valuable insights and keep your audience interested. 

Stick to basics like having clear questions and understanding your research type. Choose the right case and keep things organized and balanced.

Remember, your case study should tackle a problem, use relevant data, and show how it can be applied in real life. Be honest about any limitations, and finish with a clear call-to-action to encourage further exploration.

However, if you are having issues understanding how to write a case study, it is best to hire MyPerfectWords.com 's Professional service.  Hiring our custom essay service will ensure that you will get the best grades on your essay without any stress of a deadline. 

So be sure to check out case study writing service online and stay up to the mark with your grades. 

Frequently Asked Questions

What is the purpose of a case study.

The objective of a case study is to do intensive research on a specific matter, such as individuals or communities. It's often used for academic purposes where you want the reader to know all factors involved in your subject while also understanding the processes at play.

What are the sources of a case study?

Some common sources of a case study include:

• Archival records
• Direct observations and encounters
• Participant observation
• Facts and statistics
• Physical artifacts

What is the sample size of a case study?

A normally acceptable size of a case study is 30-50. However, the final number depends on the scope of your study and the on-ground demographic realities.

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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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Case Study Research Method in Psychology

Saul Mcleod, PhD

Editor-in-Chief for Simply Psychology

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

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

Learn about our Editorial Process

Olivia Guy-Evans, MSc

Associate Editor for Simply Psychology

BSc (Hons) Psychology, MSc Psychology of Education

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

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

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

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

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

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

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

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

 Famous Case Studies

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

Clinical Case Studies

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

Child Psychology Case Studies

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

Types of Case Studies

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

Where Do You Find Data for a Case Study?

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

1. Primary sources

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

2. Secondary sources

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

3. Archival records

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

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

4. Organizational records

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

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

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

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

How do I Write a Case Study in Psychology?

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

1. Introduction

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

2. Case Presentation

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

3. Management and Outcome

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

4. Discussion

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

5. Additional Items

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

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

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

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

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

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

Limitations

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Further Information

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

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How capital expenditure management can drive performance

One of the quickest and most effective ways for organizations to preserve cash is to reexamine their capital investments. The past two years have offered a fascinating look into how different sectors have weathered the COVID-19 storm: from the necessarily capital expenditure–starved airport industry to the cresting wave of public-sector investments in renewable infrastructure and anticipation of the next mining supercycle. Indeed, companies that reduce spending on capital projects can both quickly release significant cash and increase ROIC, the most important metric of financial value creation (Exhibit 1).

This strategy is even more vital in competitive markets, where ROIC is perilously close to cost of capital. In our experience, organizations that focus on actions across the whole project life cycle, the capital project portfolio, and the necessary foundational enablers can reduce project costs and timelines by up to 30 percent to increase ROIC by 2 to 4 percent. Yet managing capital projects is complex, and many organizations struggle to extract cost savings. In addition, ill-considered cuts to key projects in a portfolio may actually jeopardize future operating performance and outcomes. This dynamic reinforces the age-old challenge for executives as they carefully allocate marginal dollars toward value creation.

Companies can improve their odds of success by focusing on areas of the project life cycle— capital strategy and portfolio optimization , project development and value improvement, and project delivery and construction—while investing in foundational enablers.

Cracking the code on capital expenditure management

Despite the importance of capital expenditure management in executing business strategy, preserving cash, and maximizing ROIC, most companies struggle in this area for two primary reasons. First, capital expenditure is often not a core business; instead, organizations focus on operating performance, where they have extensive institutional knowledge. When it comes to capital projects, executives rely on a select few people with experience in capital delivery. Second, capital performance is typically a black box. Executives find it difficult to understand and predict the performance of individual projects and the capital project portfolio as a whole.

Across industries, we see companies struggle to deliver projects on time and on schedule (Exhibit 2). In fact, cost and schedule overruns compared with original estimates frequently exceed 50 percent. Notably, these occur in both the public and private sectors.

The COVID-19 pandemic has accelerated and magnified these challenges. Governments are increasingly viewing infrastructure spending as a tool for economic stimulus, which amplifies the cyclical nature of capital expenditure deployments. At the same time, some organizations have had to make drastic cutbacks in capital projects because of difficult economic conditions. The reliance on just a few experienced people when travel restrictions necessitated a remote-operating model further increased the complexity. As a result, only a few organizations have been able to maintain a through-cycle perspective.

In addition, current inflation could put an end to the historically low interest rates that companies are enjoying for financing their projects. As the cost of capital goes up, discipline in managing large projects will become increasingly important.

Improving capital expenditure management

In our experience, the organizational drivers that impede capital expenditure management affect all stages of a project life cycle, from portfolio management to project execution and commissioning. Best-in-class capital development and delivery require companies to outperform in three main areas, supported by several foundational enablers (Exhibit 3).

Recipes for capturing value

Companies can transform the life cycle of a capital expenditure project by focusing on three areas: capital strategy and portfolio optimization, project development and value improvement, and project delivery and construction. While the savings potential applies to each area on a stand-alone basis, their impact has some overlap. In our experience, companies that deploy these best practices are able to save 15 to 30 percent of a project’s cost.

Capital strategy and portfolio optimization

The greatest opportunity to influence a project’s outcome comes at its start. Too often, organizations commit to projects without a proper understanding of business needs, incurring significant expense to deliver an outcome misaligned with the overall strategy. Indeed, a failure to adequately recognize, price, and manage the inherent risks of project delivery is a recurring issue in the industry. Organizations can address this challenge by following a systematic three-step approach:

Assess the current state of capital projects and portfolio. It’s essential to identify strengths, areas of improvement, and the value at stake. To do so, organizations must build a transparent and rigorously tested baseline and capital budget, which should provide a clear understanding of the overall capital expenditure budget for the coming years as well as accurate cost and time forecasts for an organization’s portfolio of capital projects.

Ensure capital allocation is linked to overall company strategy. This step involves reviewing sources and uses of cash and ensuring allocated capital is linked to strategy. Companies must set an enterprise-wide strategy , assess the current portfolio against the relevant market with forward-looking assessments and cash flow simulation, and review sources and uses of cash to determine the amount of capital available. Particular focus should be given to environmental, social, and governance (ESG) considerations—by both proactively managing risks and capturing the full upside opportunity of new projects—because sustainability is becoming a real source of shareholder value (Exhibit 4). With this knowledge, organizations can identify internal and external opportunities to strengthen their portfolio based on affordability and strategic objectives.

Optimize the capital portfolio to increase company-wide ROIC. Executives should distinguish between projects that are existing or committed, planned and necessary (for legal, regulatory, or strategic requirements), and discretionary. They can do so by challenging a project’s justification, classifications, benefit estimates, and assumptions to ensure they are realistic. This analysis helps companies to define and calibrate their portfolios by prioritizing projects based on KPIs and discussing critical projects not in the portfolio. Executives can then verify that the portfolio is aligned with the business strategy, risk profile, and funding constraints.

For example, a commercial vehicle manufacturer recently undertook a rigorous review of its project portfolio. After establishing a detailed baseline covering several hundred planned projects in one data set, the manufacturer classified the projects into two categories: must-have and discretionary. It also considered strategic realignment in light of a shift to e-mobility and the implications on investments in internal-combustion-engine vehicles. Last, it scrutinized individual maintenance projects to reduce their scope. Overall, the manufacturer uncovered opportunities to decrease its capital expenditure budget by as much as 20 percent. This strict review process became part of its annual routine.

Project development and value improvement

While value-engineering exercises are common, we find that 5 to 15 percent of additional value is typically left on the table. Too often, organizations focus on technical systems and incremental improvements. Instead, executives should consider the full life cycle cost across several areas:

Sourcing the right projects with the right partners. Companies must ensure they are sourcing the right projects by aligning on prioritization criteria and identifying the sectors to play in based on their strategy. Once these selections are made, organizations can use benchmarking and advanced-analytics tools to accelerate project timelines and improve planning. Building the right consortium of contractors and partners at the outset and establishing governance and reporting can have a huge impact. Best-in-class teams secure the optimal financing, which can include public and private sources, by assessing the economic, legal, and operational implications for each option.

A critical success factor is a strong tendering office, which focuses on choosing better projects. It can increase the likelihood of winning through better partnerships and customer insights and enhance the profitability of bids with creative solutions for reducing cost and risk. Best-in-class tendering offices identify projects aligned with the company’s strategy, have a clear understanding of success factors, develop effective partnerships across the value chain, and implement a risk-adjusted approach to pricing.

Achieve the full potential of the preconstruction project value. Companies can take a range of actions to strengthen capital effectiveness. For example, they should consider the project holistically, including technical systems, management systems, and mindsets and behaviors. To ensure they create value across all stages of the project life cycle, organizations should design contract and procurement interventions early in the project. An emphasis on existing ideas and proven solutions can help companies avoid getting bogged down in developing new solutions. For instance, a minimum-technical-solution approach can be used to identify the highest-value projects by challenging technical requirements once macro-elements are confirmed.

Companies should also seek to formalize dedicated systems and processes to support decision making and combat bias. We have identified five types of biases to which organizations should pay close attention (Exhibit 5). For instance, interest biases should be addressed by increasing transparency in decision making and aligning on explicit decision criteria before assessing the project. Stability biases can also be harmful. We have seen it too many times: companies have a number of underperforming projects that just won’t die and that take up valuable and already limited available resources. Organizations should invest in quickly determining when to halt projects—and actually stop them.

Setting up a system to take action in a nonbiased way is a crucial element of best-in-class portfolio optimization. Changing the burden of proof can also help. One energy company counterbalanced the natural desire of executives to hang on to underperforming assets with a systematic process for continually upgrading the company’s portfolio. Every year, the CEO asked the corporate-planning team to identify 3 to 5 percent of the company’s assets that could be divested. The divisions could retain any assets placed in this group but only if they could demonstrate a compelling turnaround program for them. The burden of proof was on the business units to prove that an asset should be retained, rather than just assuming it should.

An effective governance system ensures that all ideas generated from project value improvements are subject to robust tracking and follow-up. Further, the adoption of innovative digital and technological solutions can enhance standardization, modularization, transparency, and efficiency. A power company recently explored options to phase out coal-powered energy using a project value improvement methodology and a minimum technical solution. The process helped to articulate options to maximize ROI and minimize greenhouse-gas emissions. An analysis of each option, using an idea bank of more than 2,000 detailed ideas, let the company find solutions to reduce investment on features with little value added, reallocate spending to more efficient technologies, and better adjust capacity configurations with business needs. Ultimately, the company reduced capital costs by 30 percent while increasing CO 2 abatement by the same amount.

Designing the right project organization. An open, collaborative, and result-focused environment enabled by stringent performance management processes is critical for success, regardless of the contractual arrangement between owners and contractors. Improving capital project practices is possible only if companies measure those practices and understand where they stand compared with their peers. The organization should be designed with a five-year capital portfolio in mind and built by developing structures for project archetypes and modeling the resources required to deliver the capital plan. A rigorous stage-gate process of formal reviews should also be implemented to verify the quality of projects moving forward. Too many projects are rushed through phases with no formal review of their deliverables, leading to a highly risky execution phase, which usually results in delays and cost overruns.

As successful organizations demonstrate, addressing organizational health in project teams is as important as performance initiatives. McKinsey research has found that the healthiest organizations generate three times higher returns than companies in the bottom quartile and more than 60 percent higher returns compared with companies in the middle two quartiles. 1 Scott Keller and Bill Schaninger, Beyond Performance 2.0: A Proven Approach to Leading Large-Scale Change , second edition, Hoboken, NJ: Wiley, 2019.

Project delivery and construction

Since the root causes of poor performance—project complexity, data quality, execution capabilities, and incentives and mindsets—can be difficult to identify and act on, organizations can benefit from taking the following actions across project delivery and construction dimensions.

Optimize the project execution plan. Organizations should embrace principles of operations science to develop an optimized configuration for the production system, as well as set a competitive and realistic baseline for the project. This execution plan identifies the execution options that could be deployed on the project and key decisions that need to be made. Companies should also break the execution plan into its microproduction systems and visualize the complicated schedule. Approaching capital projects as systems allows companies to apply operations science across process design, capacity, inventory, and variability.

Contract, claims, and change orders management. While claims are quite common on capital projects, proactive management can keep them under control and allow owners to retain significant value. Focusing on claims avoidance when drafting terms and conditions can head off many claims before they arise. In addition, partnering with contractors creates a more collaborative environment, making them less inclined to pursue an aggressive claims strategy. To manage change orders on a project, companies should address their contract management capability, project execution change management, and project closeout negotiation support. A European chemical company planning to build greenfield infrastructure in a new Asian geography recently employed this approach. It reduced risk on the project by bringing together bottom-up, integrated planning and performance management with targeted lean-construction interventions. By doing so, the company reduced the project’s duration by a year, achieved on-time delivery, and stayed within its €1 billion budget.

Enablers of the capital transformation

These three value capture areas must be supported by a capable organization with the right tools and processes—what we call the “transformational chassis.” To establish this infrastructure, organizations should focus on several activities.

Performance management

The best organizations institute a performance management system to implement a cascading set of project review meetings focused on assessing the progress of value-creation initiatives. Building on a foundation of quality data, the right performance conversations must take place at all levels of the organization.

Companies should also be prepared to reexamine their stage-gate governance system to shift from an assurance mindset (often drowning in bureaucracy and needless reporting) to an investor mindset. Critical value-enabling activities should be defined at each stage of the project life cycle, supported by a playbook of best practices for execution and implemented by a project review board. While governance processes exist, they often involve reporting without decision making or are not focused on the right outcomes—for example, ensuring that the investment decision and thesis remain valid through a project’s life. Quite often, companies provide incentives for project managers to execute an outdated project plan rather than deliver against the organization’s needs and goals.

Creating project transparency is also critical. Companies should establish a digital nerve center—or control tower—that collects field-level data to establish a single source of truth and implement predictive analytics. Equally important, companies must address capability building to ensure that the team has a solid understanding of the baseline and embraces data-based decision making.

Companies should stand up delivery teams that integrate owner and contractor groups across disciplines and institute a consistent and effective project management rhythm that can identify risks and opportunities over a project’s duration. Once delivery teams prioritize the biggest opportunities, dedicated capacity should be allocated to solve a project’s most challenging problems. Finally, companies should build and deploy comprehensive programs that improve culture and workforce capabilities throughout the organization, including the front line.

Capital analytics

Many organizations struggle to get a clear view of how projects are performing, which limits the possibility for timely interventions, decision making, and resource planning. By digitalizing the performance management of construction projects using timely and transparent project data, companies can track value capture and leading indicators while making data available across the enterprise. Using a single source of truth can reduce delivery risk, increase responsiveness, and enable a more proactive approach to the identification of issues and the capture of opportunities. The most advanced projects build automated, real-time control towers that consolidate information across systems, engineering disciplines, project sites, contractors, and broader stakeholders. The ability to integrate data sets speeds decision making, unlocks further insights, and promotes collaborative problem solving between the company that owns the capital project and the engineering, procurement, and construction company.

Ways of working

In many cases, executives are unwilling to engage in comprehensive capital reviews because they lack a sufficient understanding of capital management processes, and project managers can be afraid to expose this lack of proficiency. Agile practices can facilitate rapid and effective decision making by bringing together cross-functional project teams. Under this approach, organizations establish daily stand-ups, weekly showcases, and fortnightly sprints to help eliminate silos and maintain a focus on top priorities. Agility must be supported by an organizational structure, well-developed team capabilities, and an investment mindset. Organizations should also build skills and establish a culture of cooperation to optimize their capital investments.

We do recognize that getting capital expenditure management right feels like a lot to do well. And although many of these tasks are somehow done by a slew of companies, pockets of organizational excellence can be undermined instantly (and sometimes existentially) by one big project that goes wrong or a strategic misfire that pushes an organization from being a leader to a laggard in the investment cycle. In some ways, capital expenditure management leaders face similar challenges to those in other functions that have already undergone major productivity improvements: often these challenges are not technical problems but instead relate to how people work together toward a common goal.

Yet we believe organizations have a significant opportunity to fundamentally improve project outcomes by rethinking traditional approaches to project delivery. Sustainable improvements can be achieved by resizing the project portfolio, optimizing the cash flows for individual projects, and improving and reducing individual project delivery risk.

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Flood vulnerability assessment in rural and urban informal settlements: case study of Karonga District and Lilongwe City in Malawi

• Original Paper
• Open access
• Published: 24 May 2024

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• Isaac Kadono Mwalwimba 1 ,
• Mtafu Manda 2 &
• Cosmo Ngongondo 3  

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Flood vulnerability assessment (FVA) informs the disaster risk reduction and preparedness process in both rural and urban areas. However, many flood-vulnerable regions like Malawi still lack FVA supporting frameworks in all phases (pre-trans-post disaster). Partly, this is attributed to lack of the evidence-based studies to inform the processes. This study was therefore aimed at assessing households’ flood vulnerability (HFV) in rural and urban informal areas of Malawi, using case studies of Traditional Authority (T/A) Kilupula of Karonga District (KD) and Mtandire Ward in Lilongwe City (LC). A household survey was used to collect data from a sample of 545 household participants. Vulnerability was explored through a combination of underlying vulnerability factors (UVFs)-physical-social-economic-environmental and cultural with vulnerability components (VCs)-exposure-susceptibility and resilience. The UVFs and VCs were agglomerated using binomial multiple logit regression model. Variance inflation  factor (VIF) was used to check the multicollinearity of variables in the regression model. HFV was determined based on the flood vulnerability index (FVI). The data were analysed using Multiple Correspondence Analysis (MCA), artificial neural network (ANN) and STATA. The results reveal a total average score of high vulnerability (0.62) and moderate vulnerability (0.52) on MCA in T/A Kilupula of Karonga District and Mtandire Ward of Lilongwe City respectively. The FVI revealed very high vulnerability on enviroexposure factors (EEFs) ( \(0.9\) ) in LC and \((0.8\) ) in KD, followed by ecoresilience factors (ERFs) (0.8) in KD and \((0.6\) ) in LC and physioexposure factors (PEFs) ( \(0.5)\) in LC besides 0.6 in KD for the combined UVFs and VCs. The study concludes that the determinants of households’ flood vulnerability are place settlement, low-risk knowledge, communication accessibility, lack of early warning systems, and limited access to income of household heads. The study recommends that an FVA framework should be applied to strengthen the political, legal, social, and economic responsibilities of government for building the resilience of communities and supporting planning and decision-making processes in flood risk management.

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1 Introduction

Floods are a natural hazard that many communities have to cope with. Climate change and variability have resulted in changes in terms of the frequency and magnitudes of flood-inducing storms in many regions (Hodgkins et al. 2017 ; Kundzewicz et al. 2019 ). The Emergency Events Database (CRED, 2019) reported that around 50,000 people died and approximately 10% of the world population was affected by floods between 2009 and 2019 (Moreira et al. 2021 ). In recent years, the world has deviated from flood hazard control to flood vulnerability assessments (Ndanusa et al. 2022; Ran et al. 2018). This is because the vulnerability of a community partly induces floods to become disasters (Nong and Sathyna 2020 ; Salami et al. 2017 ) and such assessments are important in strategic decision-making and planning (de Risi et al. 2013 ). Consequently, vulnerability assessment has become a primary component of flood hazard mitigation, preparedness and management (Ndanusa et al. 2022). Based on the findings of many studies in the assessment of flood vulnerability, it has been noted that several studies have not combined indicators of UVFs and VCs in their assessments. Those that have combined the indicators (Karagiorgos et al. 2016 ; Mwale 2014 ; Nazeer and Bork 2021 ) have not gone further to propose FVA frameworks to support decision-making, creating a gap which has been addressed in this current study. Anwana and Oluwatobi ( 2023 ) provided a review of the literature on flood vulnerability in informal settlements globally and in South Africa, in particular. Their review found a distinct knowledge gap in flood vulnerability studies. In the Ibadan metropolis area of Nigeria, Salami et al. ( 2017 ) proposed and applied a flood vulnerability assessment framework to provide flood vulnerability assessments of the human settlements and their preparedness to mitigate flood risk. The study established that previous experience of flooding was a key factor in awareness levels, although this awareness was not significantly related to the level of preparedness during flooding. De Risi et al. ( 2013 ) proposed a probabilistic and modular approach to analysing flood vulnerability in informal settlements of Dar es Salaam City in Tanzania. Alam et al. ( 2022 ) conducted a vulnerability assessment based on household views from the Dammar Char in Southeastern Bangladesh by constructing a vulnerability index using quantitative and qualitative data. The study revealed that, on average, the people living in the Dammar Char have a high vulnerability to coastal hazards and disasters. In North-West Khyber Pakhtunkhwa of Pakistan, Nazeer and Bork ( 2019 ) carried out a flood vulnerability assessment through different methodologies of rescaling, weighting and aggregation schemes to construct the flood vulnerability indices. The study found that the weighting scheme had a greater influence on the flood vulnerability ranking compared to data rescaling and aggregation schemes. Oyedele et al. ( 2022 ) analysed vulnerability to flooding in Kogi State of Nigeria as a function of exposure, susceptibility and lack of resilience using 16 sets of indicators. The indicators were normalized and aggregated to compute the flood vulnerability index for the 20 purposively selected communities. The study established that the selected communities had varying levels of risk of flooding, “very high” to “high” vulnerability to flooding. Munyai et al. ( 2019 ) examined flood vulnerability in three rural villages in South Africa’s northern Limpopo Province using a flood vulnerability index. The study revealed that all three villages have a “vulnerability to floods” level, from medium to high vulnerability. While all these studies have assessed flood vulnerability, a framework for guiding its assessment process has been not proposed. The lack of such a framework implies that flood risk reduction is not programmed to address current and future risks. This could be a reason why disaster risk management in Malawi, for example, is described as post-event humanitarian actions and reactive.

The Sentinels-4-African DRR rank Malawi position 11 out of 53 African countries affected by floods from 1927 to 2022 with statistics of 42 events, 948 deaths and 3531, 145 people affected (Danzeglocke et al. 2023). Similarly, the 2011 Climate Change Vulnerability Index by the British Risk Analysis Firm Maplecroft ranks Malawi 15 out of 16 countries with extreme risks to climate change impacts in the world. GOM (2023) indicates that over twenty-five disasters experienced in Malawi have been associated with severe rainfall events in the last decade. For instance, between the periods of 2015–2023, about four major floods induced by tropical cyclones have affected communities. The most destructive was the floods of 11–13 March 2023, influenced by tropical cyclone Freddy (TCF), which killed about 679 people, injured 2178 people, displaced about 563,602 people, and about 511 people were reported missing, including causing several other damages and loss in sectors such as agriculture, infrastructure, food security and health (GOM, 2023). A “state of disaster” was declared on the 13th of March in the districts that were affected by the cyclone namely; Blantyre City and District, Chikwawa District, Chiradzulu District, Mulanje District, Mwanza District, Neno District, Phalombe district, Nsanje district, Thyolo district and Zomba city and district. Relatedly, in January 2022, the passage of a tropical storm named “Ana” over southern Malawi with heavy rainfall caused rivers to overflow, floods and landslides. The flooding affected 19 districts in the southern region and among the heavily affected districts were Chikwawa, Mulanje, Nsanje and Phalombe. The event caused 46 deaths, and 206 injuries, 152,000 people were displaced with several infrastructural damages. The country also experienced the worst cyclone Idai which originated from Mozambique in 2019. This cyclone induced floods which killed 60 people as well as affected 975,000, displaced 86,976 and injured 672 people (PDNA, 2019 ). In January and February 2015, over 1 million people were affected and about US$ 335 million was incurred on infrastructural damage (PDNA, 2015 ). However, floods have been considered largely as a rural manifestation during the past years (Chawawa, 2018 ), with district councils taking the lead in flood management through the development of disaster risk management strategies and policies (Manda and Wanda, 2017 ). This neglect made disaster management policies and strategies to be limited to cities as compared to rural areas. Recently, Lilongwe City has experienced numerous flooding with varying impacts of damage in schools, health centres, shops, houses and loss of lives (LCDRMP, 2017). This increased occurrence and devastating impacts calls for putting measures in place to protect people living in flood-prone areas, including flood risk reduction, prevention, mitigation and management. However, strong measures cannot be put without FVA which is a cornerstone for disaster risk reduction (Munyai et al. 2019 ; Nazeer and Bork 2021 ; Nong and Sathyna 2020 ).

FVA provides a significant opportunity towards identifying factors leading to flooding losses (Lidiu et al. 2018; Nazeer and Bork 2021 ; Ndanusa et al. 2022). FVA is an impetus in which science may help to build a resilient society (Ran et al. 2018; Birkmann et al. 2013 ). In addition, FVA provides metrics that can support decision-making processes and policy interventions (Mwale et al. 2015 ; Ndanusa et al. 2014) and is a proactive task for pre-hazard management and planning activities (Parvin et al. 2022 ). Nazir et al. (2013) argue that FVA provides an association between theoretical conceptions of flood vulnerability and daily administrative processes. Mwale ( 2014 ) holds that vulnerability must be quantified and analysed to identify specific dimensions of vulnerability. Birkmann et al. ( 2013 ) add that the need to understand vulnerability is a primary component of disaster risk reduction at the household and community level and culture of building resilience. Iloka ( 2017 ) highlights that measuring vulnerability helps to determine immediate impacts on lives as well as future impacts of the affected households and communities. The Sendai Framework (2015–2030), an international policy for DRR also emphasises vulnerability assessment as a tool for minimizing the impact of hazards (UNISDR 2017 ). The Sendai Framework posits that vulnerability assessment should be conducted to understand risk in all dimensions of vulnerability, capacity, exposure of persons, hazard characteristics and the environment (UNISDR 2017 ). Birkmann et al. ( 2013 ) suggest that a vulnerability assessment is a prerequisite to reducing any natural hazard's impacts. Therefore, this study was aimed at assessing household flood vulnerability in both rural and urban informal settlements in Malawi. This was achieved by: (1) analysing the variability of households' flood vulnerability (based on physical, social, economic, environmental and cultural factors (2) quantifying household vulnerability to floods in Karonga District and Lilongwe City using multicollinearity analysis of vulnerability factors (physical, social, economic, environmental and cultural) and vulnerability components (exposure, susceptibility and resilience) (3) proposing FVA framework for rural and urban informal settlements, including constructing a multi-hazard vulnerability indicators which is missing in most studies. The study contributes to scanty literature on FVA in developing countries such as Malawi. As many areas of Malawi are flood-prone, the study directly informs decision-making for both preparedness and mitigation measures among the vulnerable communities.

2 Materials and methods

2.1 study approach.

This study carried out flood vulnerability assessment (FVA) using an inductive approach (Abass 2018 ; Kissi et al. 2015 ). The use of an inductive approach allows the study to apply quantitative techniques (Fig.  1 ). These techniques helped to isolate variables and indicators that were significant to contribute to household flood vulnerability.

Methodology layout

2.2 Study area

This study was carried out in Karonga District and Lilongwe City in the northern and central regions of Malawi respectively. Specifically, this study was carried out in Mtandire Ward and Traditional Authority Kilupula in Karonga District and Lilongwe City respectively.

The target flood-prone area of T/A Kilupula in KD was the Lufilya catchment (Fig.  2 ). This study targeted two groups of village headmen (GVH) in T/A Kilupula of the northern part of Karonga district. These include GVH Matani Mwakasangila and Mujulu Gweleweta in Traditional Authority Kilupula. The area of GVH Matani Mwakasangila is found in T/A Kilupula located about 16 km north of Karonga town. GVH Matani Mwakasangila has five Village headmen (VH) namely Eliya Mwakasangila, Matani Mwakasangila, Chipamila, Shalisoni Mwakasangila and Fundi Hamisi. The greater part of the area—Eliya Mwakasangila, Chipamila and Matani Mwakasangila, are bounded by Lake Malawi to the eastern side and the M1 road-Songwe-Tanzania border to the Western side. The other two villages Shalisoni Mwakasangila and Fundi Hamisi are to the Western side of the M1 road. The area has numerous networks of rivers such as Lufilya, Kasisi, Fwira, Ntchowo, and Kasoba.

Map T/A Kilupula in Karonga District showing Villages of Study Area

This catchment of T/A Kilupula was selected based on the frequency of flood occurrence (Table  1 ). Kissi et al. ( 2015 ) indicate that the magnitude of an extreme event is inversely related to its frequency of occurrence. It was also chosen because the nature of their locations is prone to flooding (Mwalwimba 2020 , 2024 ; SEP-2013–2018). This makes the residents vulnerable to flood hazards that cause disaster every year.

The area is dominated by floodplains along the shores of Lake Malawi (SEP-2013–2018). These areas are flat and low-lying areas as such this becomes the pre-requisite to flooding in the event of a heavy downpour (Karonga Met Office 2021). Furthermore, the choice of this area was due to settlement patterns, located in flood plains and issues of culture that have forced the people to occupy dangerous areas and even occupy the protected areas rendering them vulnerable to the effects of flooding (Mwalwimba 2020 ) (Fig.  3 ).

Settlement patterns of households in T/A Kilupula of Karonga District

Lilongwe district hosts the capital city of Malawi. The district became the host of the Capital city in 1975 after it was relocated from Zomba. The district owes its name to the Lilongwe River, which flows across the centre of the district (SEP, 2017–2022). The city has grown tremendously since 2005 when the government relocated all the head offices from Blantyre (SEP 2017 ). This growth has been also amplified by the presence of numerous opportunities in the city like access to socio-economic services and availability of markets for the produced products. This growth has contributed in generating a lot of vulnerable conditions of people to hazards such as floods, accidents, fires, droughts, environmental degradation and disease epidemics (LCDRM 2017) because of increased environmental degradation, and increased conversion of agricultural land into urban infrastructural development. Though hazards in the city overlap and interact in cause and effect, floods are the most frequently occurring hazards that affect many parts of the city (SEP 2017 ). As a category related to water and weather, floods, mostly affect areas like Mtandire (area 56), Kauma, Kaliyeka, Chipasula, Kawale, Nankhaka, Area 22, Kauma, New Shire, Area 25, Kawale, and Mgona in the city (LCDRM 2017) (Fig.  4 ).

Map of Malawi showing the Location of Karonga District and Lilongwe City

Mtandire Ward in Lilongwe City (Fig.  5 ) was chosen because it is an informal settlement, a condition that would likely put residents susceptible to environmental hazards like floods. The records indicate that floods repeated in 2013, 2014, 2015, 2016 and 2017. Data indicates that in February 2017, floods caused a magnitude of the disaster which caused great damage; more than 4000 people were affected including loss of people’s lives. The affected areas were Mtandire, Kauma, New Shire, Area 25, Kawale, Nankhaka and Mgona.

Settlement Patterns in Mtandire Ward of Lilongwe City

2.3 Flood vulnerability

Vulnerability is a complex concept and includes diverse components (Rana et al. 2018). Therefore, vulnerability requires a comprehensive methodology which can help to reveal various components (Moreira et al. 2021 ). Rana et al. (2018) stipulate that there is a lack of integrated methodology that fuses all the components. This study used an indicator-based approach to quantitatively assess household flood vulnerability. As accorded by ISDR (2014), the quantitative approach was useful in establishing indicators of the FVA framework. Kablan et al. ( 2017 ), and Nazeer and Bork ( 2021 ) agree that quantitative indicators are used to predict flood vulnerability. However, variation exists in the selection of the quantitative tools (Kissi et al. 2015 ). For instance, Nazeer and Bork ( 2021 ) applied Pearson’s correlation to predict flood vulnerability. Kissi et al. ( 2015 ) used deductive and inductive approaches to select flood vulnerability indicators. This study used binomial multiple logistical regression to predict household flood vulnerability. The use of this method allowed us to agglomerate the indicators of the UVFs and VCs (Fig.  6 ).

Conceptual framework

2.3.1 Conceptual framework on flood vulnerability

This study developed a conceptual framework based on the understanding that a vulnerability occurs as an intersection of biophysical vulnerability and social vulnerability (Iloka 2017 ; Wisner et al. 2004 , Cutter 2003). This entails that the combination of hazard (floods) and vulnerability to harm society depends on the physical risk and social risk.

This conceptual framework indicates that two forces create vulnerability of households/communities to floods. First, households can be vulnerable to floods when subjected to the underlying vulnerability factors (physical, social, economic, environmental and cultural causes). Each of the causes, physical-social-economic-environmental-cultural, have the indicators that are used to identify households’ vulnerability to floods. Depending on variations that exist among these indicators in terms of their scores, percentages, inertias and probability values, households may be determined and/or predicted their vulnerabilities. The second force is determined by vulnerability components (exposure, susceptibility and resilience) (Kissi et al. 2015 ). Households are vulnerable to floods if they are exposed and susceptible to it and have less resilient to withstand its impacts (Rana et al. 2018). In this study, exposure is portrayed as the extent to which an area that is subject to an assessment falls within the geographical range of the hazard event (Nazeer and Bork 2021 ). This implies that exposure looks at possibility of flooding to impact people and their physical objects (Nazeer and Bork 2021 ) in the location they live. Furthermore, susceptibility means the predisposition of elements at risk (social and cultural) to suffering harm resulting from the levels of fragility conditions (Birkmann et al. 2013 ; Kablan et al. 2017 ; Nazeer and Bork 2021 ). Resilience of households is evaluated based on the capacity of people or society potentially exposed to hazards to adapt, by resisting or changing in order to reach and maintain an acceptable level of functioning and structure (Ndanusa et al. 2022). This is determined by the degree to which the social system is capable of organising itself to increase its capacity for learning from past disasters for better future protection and to improve risk reduction measures as well as to recover from the impact of natural hazard (Birkmann et al. 2013 ; Nazeer and Bork 2021 ). Iloka ( 2017 ) states that low incomes, lack of resources, and unemployment are some of the factors that make vulnerability leading to disasters. This study’s conceptual framework highlights the scenario that the occurrence of hazards (floods) in a community (Lilongwe city and Karonga district) where households are subjected to many characteristics in the vulnerability factors while at the same time the households are exposed and are susceptible to floods, the condition may turn floods to become disasters. It is only when the households have enough resilience and adaptive measures that they can either cope up with or respond quickly to the hazard (floods). Similarly, if the households are not resilient and have fewer adaptive measures, a situation that may increase vulnerability of households to the hazard impact resulting in a devastating disaster. Therefore, lack of adaptive capacity means that the community may be limited to respond to the disaster on time thereby their vulnerability will be always high. This conceptual framework gives a basis that flood vulnerability assessment therefore should examine factors that predict household vulnerability to floods and link them to the composite indicators of vulnerability, including understanding their adaptive capacity that would help them to cope with flood impacts. The assessment, using this framework should analyse several indicators from the underlying vulnerability factors and components of vulnerability to fully identify which of these conditions contribute to vulnerability in a specific location to generate standardised indicators of flood vulnerability assessment.

2.3.2 Indicators of flood vulnerability

Flood vulnerability was explored through the lens of underlying vulnerability factors (UVFs)-physical-social-economic-environmental and cultural (Table  2 ). The physical vulnerability (PV) has been defined as the vulnerability of the physically constructed materials. The indicators were defined as pre-underlying factors that may contribute to the constructed elements (houses & other infrastructures) being vulnerable to flood hazards. Social vulnerability (SV) is looked at by the influences of the variety of social processes which create the vulnerability of households to floods (Joakim 2008 ). Economic vulnerability (EcV) is defined as the influences of economic processes existing in the community i.e. livelihood activities that may or may not contribute to household vulnerability. Environmental vulnerability (EnV) is the vulnerability of the built environment as described by pre-existing conditions like residing in prone areas and use of natural resource base. Cultural vulnerability has been defined as vulnerability influenced by cultural fabric such as beliefs, customs, cultural conflicts and absence of resource ownership.

The vulnerability components (VCs)-exposure-susceptibility and resilience (Table  3 ) were combined by UVFs. Physical and environmental factors linked to exposure (i.e. human settlement damage, house type, location, rivers). Social and cultural factors combined with susceptibility (i.e. community accessibility, flood risk awareness, adaptation mechanisms, warning systems) to determine household vulnerability. Economic factors linked with resilience (i.e. a source of income, the capacity of economic skills and resource skills).

Both the UVFs and VCs were selected based on a thorough review of contemporary frameworks such as Pressure and Released Mode (Wisner et al. 2014 ); Urban Flood Vulnerability Framework (Salami et al. 2017 ); and the Hazard of Place Model (Cutter 1996 ). Since there is no generally acceptable way of selecting vulnerability indicators (Kablan et al. 2014; Nazeer and Bork 2021 ), this study considered the indicators based on a cut-off point of probable value zero to one where zero represents the minimum and one indicates maximum values (Kissi et al. 2015 ; Nazeer and Bork 2021 ; Ndanusa et al. 2022). Data on the UVFs and VCs were collected using a quantitative cross-sectional structured survey questionnaire from 200 and 345 household participants in T/A Kilupula of KD and Mtandire Ward of LC respectively. The questionnaire was programmed in KoBocollect and Android tablets were used to capture the data from household participants. Data were also collected for the elements at risk from each underlying vulnerability component to determine the contribution of vulnerability for the households.

The vulnerability component indicators (Table  3 ) were normalised to have a comparable set of indicators, the study adopted the Min–Max normalisation to convert the values to a linear scale (such as 0–1) (Balica et al 2012 ; Erena et al. 2019; Kissi et al. 2015 ; Nazeer and Bork 2021 ; Ndanusa et al. 2022). Vulnerability increases with an increase in exposure and susceptibility, and it decreases with an increase in Resilience (Kissi et al. 2015 ; Mwale 2014 ; Munyani et al. 2019 ; Nazieer 2021). Therefore, normalisation was based on the assumptions that:

(a) Vulnerability (V) increases as the absolute value of the indicator also increases. In this case, where the functional relationship between the indicator and vulnerability is positive, the normalised indicator is derived using the following equation (Oyedele et al. 2022 ).

(b) Vulnerability (V) decreases with an increasing absolute value of the indicator. Here, when the relationship between vulnerability and the indicator is found to be negative, the data are rescaled by applying the equation (Oyedele et al. 2022 ).

where Xi = normalised value; Xa = actual value; XMax = maximum value; XMin = minimum value for an indicator i (1, 2, 3... n) across the selected communities.

Furthermore, no weight was assigned to the indicators of vulnerability components. The reason for not including weights was that most of the responses during the stakeholders’ engagement were contradictory and highly inflicting. Therefore, to avoid an index value that will mislead the end users, the normalised indicator was aggregated into its respective sub-indices for the final flood vulnerability index. The additive arithmetic function was employed in the aggregation of the indicator into its respective sub-indices (exposure, susceptibility, and lack of resilience) using an equation (Kissi et al. 2015 ; Nazeer and Bork 2021 ; Oyedele et al. 2022 ).

The overall flood value of the vulnerability index was computed with Eq. ( 4 ), an additive function (Nazeer and Bork, 2019 ; Lee and Choi 2018; Oyedele et al. 2022 ).

where SIE means sub-indices exposure, Susceptibility (SIS), and lack of resilience (SILoR) for “n” numbers of indicators in each component of vulnerability.

The study measured the level of vulnerability of the elements at risk in all the underlying vulnerability factors (Table  4 ). These were evaluated based on the constructed scale which modified the Balica et al. ( 2012 ) and was calibrated as (0–0.2) very low vulnerability; (0.2–0.49) moderate vulnerability; (0.5–0.59) vulnerability (0.6–0.79) high vulnerability and (0.8–1) very high vulnerability. However, in the actual data collection tool (household questionnaire survey), Mwalwimba ( 2020 ) measurements scale of “not vulnerable”, “slightly vulnerable”, “vulnerable”, “severely vulnerable” and “do not know” were used and later the percentage obtained during univariate analysis were computed and compared to the weighting scale constructed (Balica et al. 2012 ) (3.10). Ndanusa et al. (2022) argued that a breakdown of the elements at risk poses a serious threat to communities' vulnerability and prosperity. This consequently contributes to the higher vulnerability of the community to hazards.

2.4 Study population and sampling determination

The target flood-prone area of TA Kilupula in KD was selected based on the frequency of flood occurrence. Kissi et al. ( 2015 ) indicate that the magnitude of an extreme event is inversely related to its frequency of occurrence. Whilst, Mtandire Ward in Lilongwe City was chosen because it is an informal settlement. Household participants in Mtandire ward were those specifically in two Group Village Headmen, Chibwe and Chimombo of Senior Chief Ligomeka. These villages are located along the Lingadzi River opposite area 49 (New Gulliver). This study used a total of 10 headmen (VH). The choice of the VH was based on proximity to Lingadzi River. Mtandire has a total population of 66,574 people, but 5000 people are reported to be at risk of floods (MDCP 2010–2021; MPHC 2018). Relatedly, the target population in Karonga district were households of GVH Matani Mwakasangila and Mujulu Gweleweta in Traditional Authority (TA) Kilupula. These household villages share a network of water systems such as Lufilya, Mberere, Ntchowo and Fwira (Mwalwimba 2020 ). This study used a total of 10 village headmen (VH), five from each GVH. The choice of five VH in each GVH was based on the fact that each GVH in T/A Kilupula has a minimum number of five Village Headmen (Karonga Chief Classification 2016). T/A Kilupula has a total population of 78,424 people, with approximately 9500 households at risk of floods (KD-SEP 2013-2018; MPHC 2018).

The sample size (n) for this study was calculated using the formula in Fisher et al. ( 2010 ) as shown in the Eq. ( 5 ). The formula in Eq. ( 5 ) returns the minimum sample size required to ensure the reliability of the results.

In Eq. ( 7 ), Z is the confidence level (1.96 for 95%), p is the proportion of the target households, q = is the alternative (1-P) and d is the power of precision (d = 0.05 at 95%). The formula requires knowing the target population (P) and it also assumes “P” to be 0.5 which is conservative. Therefore, the fact that the number of households prone to floods in T/A Kilupula and Mtandire ward is known, using this formula, 384 and 246 households were obtained from Mtandire ward and T/A Kilupula respectively. The study used 0.5 (50%) to represent “P” in Mtandire Ward and 0.2 (20%) to represent “P’ in T/A Kilupula. The reason for differentiating the “P” was that in the Mtandire ward, the whole area was selected while in T/A Kilupula not all the GVHs were selected and involved in the survey. Furthermore, unlike in T/A Kilupula where the population is sparsely distributed and households were selected based on location to flood-prone areas, in Mtandire ward 50% was used as conservative because of high population density such it was possible to interview many households. During data collection, the researcher managed to collect data from 345 and 200 household participants, representing 90% and 81% of the total sampled in Mtandire ward and T/A Kilupula respectively. The reason for not completing the actual sample size was that the household survey interviewed houses along the buffer zones of Lingadzi and Lufilya rivers and the whole area of the buffer was randomly selected. Therefore, continuing to interview every household in the buffered area would have meant interviewing every household. This would have worked against the rule of simple random sampling strategy and survey ethics (Kissi et al. 2015 ).

2.5 Questionnaire design and administration

This study used a structured household questionnaire survey. This questionnaire captured information that provided the linkages of households’ vulnerability factors, exposure, susceptibility and resilience. Associations of vulnerability factors have been supported in the literature (Kissi et al 2015 ; Mwale 2014 ; Nazeer and Bork 2021 ). Nazeer and Bork ( 2021 ) argue that the issue of double counting of the indicators is an important step to be considered in the formation of composite indicators. The household questionnaire survey was coded in KoBoToolBox. The household questionnaire survey was administered face-to-face with household participants who were above 21 years old. The age parameter was controlled in the KoBoToolBox environment such that the interviewers could not proceed with administering the questionnaire if this question was not answered even if the age entered was below 21. It is also important to note that the attributes of the variable age were not coded because it is a continuous variable hence the ages were manually collected from the participants. Finally, the household questionnaire survey was pretested and piloted in Mchesi and Mwanjasi in LC and KD respectively. Before pretesting and piloting, the research assistants (RAs) were trained to have a common local understanding of the terms that were contained in the questionnaire, specifically vulnerability, floods, resilience, susceptibility, adaptive capacity and exposure.

2.6 Data analysis

To determine variations among the indicator variables of UVFs for the predicted factors, a Minitab statistical test called Multiple Correspondence Analysis (MCA) was computed. MCA produced two outputs called “Indicator Analysis Matrix” and “Column Contribution table”. The column of contribution is used to determine the variations that exist between indicators (Husson 2014). On the other hand, the total inertia in the Analysis of Indicator Matrix (AIM) was averaged for all the five UVFs in LC and KD to obtain a single inertia which was used to determine a multi-correspondence variations of vulnerability factors (MIHVF).The indicators in the assessment that contributed to flood vulnerability were marked with red ink in the measurement scale of important (INT) and very important (VINT). The significance levels between demographics and vulnerability factors were analysed using the single chi-square test and a combined value analysis package. Also, chi-square tests and probability value ( p value) were used to compute significance levels of variables in UVFs and VCs. The formula for chi-square statistics is:

In addition, it follows a with (r−1) (c−1) degrees of freedom. Where

O ij is the observed counts in cell ij; i = 1, 2, 3…..r and j = 1, 2, 3…..c where r is the number of rows and c is the number of columns in an r × c contingency table.

E ij the expected counts in cell ij; i = one, 2, 3…..r and j = 1, 2, 3…..c where r is the number of rows and c is the number of columns in an r × c contingency table.

Those that were significant were computed in the modified binomial multiple logistical regression model using equations. All these were performed in “r” and STATA version 12.

A post-analysis of computed results was carried out using an artificial neural network (ANN). ANN is a machine learning method that stands more independent in comparison than statistical methods (Ludin et al. 2018; Parvin et al. 2022 ). Several studies have used ANN to predict specific events (Mwale 2014 ). Due to its predictive ability, this method was applied in this study as a post-analysis to predict the causes of flood vulnerability of the variables which were statistically tested using a combined P value package between UVFs and VCs. ANN comprises several nodes and interconnected programming elements (Mwale 2014 ; Parvin, et al. 2022 ). It contains input layers, hidden layers and output layers (Ahmadi 2015 ) (Fig.  7 ).

Example of ANN using MLP

The multivariate level used the multiple binomial logistical regression model (Eq.  6 ) (Israel 2013) to predict household flood vulnerability. It utilised a paired comparison model (Hamidi et al. 2020; Chen et al. 2013), in which each UVF was linked with a selected vulnerability component (exposure, susceptibility and resilience). This link is accorded in the studies of Wallen et al. (2014) and Mwale ( 2014 ). This model generated significant levels of physical exposure, social-susceptibility, eco-resilience, enviro-exposure and cultural-susceptibility. Then, the Flood Vulnerability Index (FVI) was applied to determine which factor contributes to vulnerability (Balica et al. 2012 ; Kissi et al. 2015 ). The FVI uses a probability range of 0–1 (Balica et al. 2012 ) where 0 means not vulnerable and 1 means more vulnerable. Using Eq.  1 , the paired attributes were run in r environment through the modified binomial logit multiple regression (Eq.  6 ). However, it would have been significant to use logit-ordered regression since the vulnerability has a certain order (Kissi et al. 2015 ; Hamidi et al., 2020).

where \({y}_{j}\) is a response variable (i.e., as selected from exposure, susceptibility and resilience) \({\beta }_{i}\) is intercepted (values generated by the equation after extraction in r- environment, \({\delta }_{i}\) is predictor variable (selected from physical, social, economic, environmental and cultural), \({O}_{i}\) operator (i.e., measurement scale, less important and very important which considered by the model), \({\epsilon }_{j}\) is an error. This equation was applicable for all the \(UVFs,\) thus parameters in the \(UVFs\) were predicted separately based on the \(VCs\) to which they were associated. The link of UVFs and VCs in the regression model was computed in an implicit relationship showing the predictor and response variables (Table  5 ).

The binomial logit regression model was used based on three assumptions which implied that:

The indicators for UVFs should be measured as a proportional value of household participants involved during the survey. The percentage values should be generated using a scale range with the operator of “ less important ”; “ important ” and “ very important ” to contribute to flood vulnerability”. However, for flood vulnerability determination, a cut-off point should be placed at greater or equal to 50% for each indicator from the operator of the scale range of “important” and “very important”. In this case, all the values generated in the scale of “less important” as responded by the participants should be left out during determination and selection.

The linkage of UVFs and VCs should be based on statistical tests using P-values or correlation (r) or simply any statistical test applicable to the researcher. The values that are significant at a certain confidence level (i.e. 0.05 in this study) should be selected to be included in the framework for specific combinations like Physical Exposure Factors (PEFs), Socio-Susceptibility Factors (SSFs), Eco-Resilience Factors (ERFs), Enviro-Exposure Factors (EEFs) and Cultural-Susceptibility Factors (CSFs). Furthermore, those values significant at an appropriate confidence level should be considered as factors generating flood vulnerability in the studied areas.

Multicollinearity of the UVF and VC variables should be checked using variance independent factor (VIF) to assess the level of correlation in the regression model. It is assumed that a variable with VIF ≥ 10 has higher variance inflation in influencing other response variance and is redundant with other variables. As such, that variable should be dropped. In this study, the VIF process was done in SPSS.

Flood vulnerability index (FVI) was used in the determination of household flood vulnerability based on the output of the analysis of the results. A summarized comparison flood vulnerability index (FVI) probability scale 0 to 1 (Balica et al. 2012 ) has been presented in Table  6 .

Results were presented on spatial distribution maps, computed in ArcGIS 10.8 Desktop. Shapefiles for Malawi administrative boundaries were downloaded from MASDAP (Malawi Spatial Data Application Portal). Then Excel was used to generate the tabulated information and pie charts and later exported the output to ArcMap. The Maps were coloured to show the contribution of each variable to households' flood vulnerability (Fig.  8 ).

Vulnerability levels

3 Results and discussions

3.1 variability of underlying vulnerability factors.

The results of Multiple Correspondence Analysis (MCA) output have been outlined in Tables 7 , 8 , 9 , 10 and 11 , with those with higher quality value (Qual.), inertia, correlation (Corr.) and contribution (Contr.) marked with red ink to depict variation in flood vulnerability.

The results in Table  7 show all the physical variables marked by red ink have larger quality values in Mtandire Ward of LC. However, the results in T/A Kilupula of KD show the greater quality value in the scale of “VINT” for indicator values of poor construction standards for houses (0.551) and lack of construction materials (0.708). Furthermore, the results also indicate a higher correlation (corr.) for poor construction standards for houses in the scale value of “INT” and ‘VINT, accounting for a higher amount of inertia in both rural and urban areas. Construction of roads and other infrastructures (0.234) account for a high contribution to the inertia in Mtandire Ward of LC while poor construction of housing standards account for a higher inertia value (0.201) in both Mtandire Ward of LC and (0.313) and in T/A Kilupula of KD (Table  7 ). The results further established that physical elements at risk on the scale of “severe vulnerable” have the vulnerability thresholds of 0.5 and 0.6 in Mtandire ward and T/A Kilupula respectively.

The results of MCA show a significant contribution of vulnerability with a quality value in the category of social security on the scale of INT (0.506) and VINT (0.500). The results further show a significant contribution of vulnerability in the category of inavailability of health services (0.513) in the scale of INT in LC. In T/A Kilupula of KD, the results show significant quality values on lack of capacity to cope (0.821) in the scale of INT, social security and human rights in the scale of INT and VINT (Table  7 ). While the results of the inert values in Mtandire Ward of LC do not deviate much from the expected, in T/A Kilupula of KD the inert value of lack of capacity to cope (0.124) in scale of INT and social security (0.117) in a scale of VINT deviate from the expected value. The results also indicate a higher correlation (corr.) social security (0.504) and human rights (0.648) and unavailability of health services (0.506) in Mtandire Ward of LC while lack of capacity to cope (0.790) and social security (0.560) have higher Corr in T/A Kilupula of KD accounting higher amount of inertia to contribute to vulnerability. The results further show all the indicator variables in the scale of “INT) contribute higher to the inertia in Mtandire Ward of LC while only lack of capacity to cope (0.2613) and social security (0.2141) contribute higher to the same in T/A Kilupula of KD (Table  8 ).

The results in Table  9 show that lack of markets (0.574) and poverty (0.513) in the scale of “INT” have higher quality value in Mtandire Ward of LC while lack of credit unions and lack of markets showed higher quality value in T/A Kilupula of KD. These results suggest that lack of markets, poverty and lack of credit unions contribute more to household vulnerability to floods than lack of alternative livelihoods. The results further show that all the indicator variables in Mtandire Ward of LC have an inertia value at the expected rate of less than 10% while in T/A Kilupula of KD lack of credit unions (0.103), lack of markets (0.499) and poverty (0.123) display values that deviate from the expected. Similarly, the results show a weak correlation (less than 1) for all the economic indicator variables in Mtandire Ward of LC and only lack of markets (0.499) is close to 1 in T/A Kilupula of KD thereby contributing highly to the inertia. The lack of credit unions and lack of markets account for a high contribution to the inertia, thereby suggesting a high contribution to flood vulnerability. The results also found that the economic elements at risk have a higher vulnerability value in T/A Kilupula (0.55) compared to Mtandire ward (0.33) on the scale of severe vulnerable.

The results in Table  10 show that except for poor land management in T/A Kilupula of KD for scales of INT and VINT, environmental mismanagement and inappropriate use of resources have larger quality values in Mtandire Ward of LC and T/A Kilupula of KD. No indicator variable depicted the unexpected inertia value in Mtandire Ward of LC and T/A Kilupula of KD. In LC, the results further revealed that the correlation is higher for environmental mismanagement (0.524) in the scale of INT, poor land management is also higher in both scales and inappropriate use of resources (0.518) in the scale of INT. However, extensive paving (0.674), environmental mismanagement (0.557) and poor land management (0.677) have higher correlation values close to one. Environmental mismanagement (0.169), poor land management (0.202; 0.104) and inappropriate use of resources (0.152; 0.105) account for high contribution to the inertia in Mtandire Ward of LC while extensive paving (0.1721) and environmental mismanagement (0.137; 0.101) account for higher contributions in T/A Kilupula of KD (Table  10 ). It was also found that environmental elements at risk are more vulnerable in T/A Kilupula of Karonga on a scale of “slightly vulnerable” (Fig. 4.39) compared to the Mtandire ward of Lilongwe City.

The results in Mtandire Ward of LC showed that lack of safety measures (0.551) and lack of personal responsibility (0.632) have high-quality values above the cut-off of 50% while in T/A Kilupula of KD traditional beliefs (0.508), settlements conditions (0.579), lack of safety measures (0.596) and lack of personal responsibility (0.636) have high-quality values. No indicator variable depicted the unexpected inertia value in Mtandire Ward of LC and T/A Kilupula of KD. The results further revealed no strong correlation (close to 1) in Mtandire Ward of LC to contribute to inertial variability. Nevertheless, in T/A Kilupula of KD, the results showed a strong correlation between traditional beliefs (0.506) and poor settlement conditions (0.576). This suggests people living in Mtandire Ward are not aware that they live informally. It was noted that Mtandire Ward is not properly defined as it is part of the Lilongwe City or Lilongwe District. While results show no higher value for contribution (Contr) in Mtandire Ward of LC, traditional beliefs (0.187), settlement conditions (0.199) and language of communication (0.1526) account for high contribution to the inertia in KD (Table  11 ).

Cumulatively, the results of the MCA for all indicators in the category of quality value \(\ge\) 0.50 (50%) revealed an average of “high vulnerability” (0.62) in T/A Kilupula of KD and “moderately vulnerability” (0.52) in Mtandire Ward of LC. Based on individual factors, the results found high physical vulnerability in both T/A Kilupula (0.61) and Mtandire Ward (0.65), high social vulnerability in T/A Kilupula (0.68) compared to moderate social vulnerability in Mtandire Ward (0.58), high economic vulnerability in T/A Kilupula (0.60) compared to moderate economic vulnerability in Mtandire Ward (0.51), high environmental vulnerability in both T/A Kilupula (0.67) and Mtandire Ward (0.68) and moderate cultural vulnerability in T/A Kilupula (0.54) compared to very low cultural vulnerability in Mtandire Ward (0.16).

3.1.1 Artificial neural network: multi-layer Perceptron (MLP)

The results of the ANN in multi-layer perceptron (MLP) to show the relationship between the indicators used in the UVFs and those in the VCs are presented in Tables 12 , 13 , 14 , 15 and 16 .

The results of exposure linked with physical factors reveal that there is a strong relationship between house type with PCS in T/A Kilupula of KD, while in Mtandire Ward of LC the relationship is not very strong (−9.116) (Table  12 ). The relationships of house type with CRFs imply that these contribute to household flood vulnerability. Lack of construction materials (PCMs) has a strong network value in T/A Kilupula of KD compared to Mtandire Ward of LC with a negative value (Table  12 ). The results reveal that houses made up of bamboo followed by those made up of mudstone are strongly associated with PCS in T/A Kilupula of KD. The results further show that houses made up of unburnt bricks are strongly associated with poor settlement conditions in Mtandire Ward of LC. Lack of construction materials has a strong relationship in T/A Kilupula of KD than in Mtandire Ward of LC. Similarly, CRF and AI have a strong relationship with house material type in Mtandire Ward of LC thereby contributing to high household flood vulnerability in LC.

In Table  13 , the results revealed that sex is significant with social vulnerability factors (0.0539), physical vulnerability factors (0.0371), economic vulnerability factors (0.0562) and cultural vulnerability factors (0.0594) in KD while only environmental factors are significant with sex (0.0331) in LC. The result further revealed that marital status is significant with physical vulnerability factors in T/A Kilupula of KD (0.0265), environmental factors (0.0383) and economic factors (0.0497) in Mtandire ward of LC while in T/A Kilupula (0.0526) with cultural factors (Table  13 ). In terms of education, the results established that social factors (0.001), environmental factors (0.0064) and economic factors (0.0235) are significant to education in Mtandire ward of LC while economic factors (0.0378) are significant in T/A Kilupula of KD (Table  13 ). Finally, the results show that cultural factors (0.0075) and economic factors (0.0106) are significant to occupation in T/A Kilupula and Mtandire ward respectively (Table  13 ).

The results show positive and negative outcome of LOC in T/A Kilupula of KD and Mtandire Ward of LC respectively (Table  14 ). These results point to the fact that lack of capacity to cope contributes to household vulnerability in T/A Kilupula of KD than in Mtandire Ward of LC. The results further show that LAL and LS have positive values both in Mtandire Ward of LC and T/A Kilupula of KD, but with greater contribution to household flood vulnerability in Mtandire Ward of LC. Finally, the results reveal that AHS has positive and negative value in T/A Kilupula of KD and Mtandire Ward of LC. This result indicates that AHS contribute to household flood vulnerability in T/A Kilupula of KD compared to Mtandire Ward of LC (Table  14 ).

The results of ANN revealed that all the UVFs for economic factors have positive values in Mtandire Ward of LC and T/A Kilupula of KD, but with higher values in Mtandire Ward of LC. Lack of income generating activities was revealed to be higher both in Mtandire Ward of LC and T/A Kilupula of KD. These results imply that the NCU, LAL, PO and LGA contribute to household flood vulnerability in Mtandire Ward of LC and T/A Kilupula of KD (Table  15 ).

The results of geography linked with environmental factors reveal that there is strong relationship between them, all with a value greater than “0” in Mtandire Ward of LC compared to T/A Kilupula of KD (Table  15 ). The results show that poor land management (PLM) has strong network value (9.554) in Mtandire Ward of LC and (0.951) in T/A Kilupula of KD, followed by RPA in Mtandire Ward of LC (3.839). These results point to the fact that the CL, RPA, EMS, PLM and IUR contribute to households flood vulnerability in LC and KD, with higher contribution in Mtandire Ward of LC (Table  16 ).

The results of communication linked with cultural factors revealed a strong relationship between in the sets of the combined indicators, all with value greater than “0” in Mtandire Ward of LC compared to T/A Kilupula of KD (Table  16 ). The results show that traditional beliefs (TB) have strong network value (79.789) in T/A Kilupula of KD compared to a network value of 7.872 in Mtandire Ward of LC followed by cultural conflicts with value of 11.864 in T/A Kilupula of KD compared to a value of 6.426 in Mtandire Ward of LC (Table  17 ).

3.1.2 Relationships between vulnerability factors and components

This section combined underlying vulnerability factors (UVFs) and vulnerability components (VCs) to determine indicators that integrate the two parameters to determine households’ vulnerability. The analysis was carried through bivariate statistical test after normalisation of indicators of UVFs and VCs (Table  18 ). The results between physical factors and exposure variables reveals significant relationships between proximity to rivers and settlements (0.0380) in KD, house type (0.0001) in LC and roofing material (0.0072) in Lilongwe and (0.0364) in KD.. The results reveal that all the susceptibility factors are significant to social factors. This result indicates that the susceptibility variables contribute to generate households’ vulnerability to floods in Mtandire ward of LC and T/A Kilupula of KD. The results show that communication accessibility, access to healthcare, access to water, and sanitation contribute to vulnerability to floods in LC and KD are all significant at P-value 0.05 in both Mtandire Ward and T/A Kilupula (Table  16 ). The results reveal that all the resilience variables are significant to economic factors in KD while only income of household head is significant in LC. This result indicates the resilience variables contribute to generate households’ economic vulnerability to floods in T/A Kilupula district than in Mtandire Ward (Table  18 ). The results reveal that some exposure variables combined with environmental variables contribute to household’s flood vulnerability. While geography contributes to very high vulnerability of households to floods in T/A Kilupula of KD (0. 0084), the same is not the case in Mtandire Ward of LC (0.864). House type contributes to very high vulnerability of households to floods in Mtandire Ward of LC compared to T/A Kilupula in KD while roofing material contributes to generate vulnerability in both Mtandire Ward of LC and T/A Kilupula of KD (Table  17 ). The combined results of susceptibility variables with human/cultural factors reveal that communication accessibility contributes to flood vulnerability in Mtandire Ward of LC (0.0002) and not in T/A Kilupula of KD (0.5136). The results further indicate that limited education facilities as well as health facilities contribute to vulnerability in T/A Kilupula of KD and not in Mtandire Ward of LC at p-value 0.05 (Table  18 ).

3.2 Quantification and prediction of household vulnerability

The binomial Logit Multiple Regression was computed in r to generate five scores outlined in the Eqs. 12 to 15 .

3.2.1 Computation of socio-susceptibility score

The underlying social vulnerability factors (SVFs) linked with communication accessibility (ca) in the susceptibility indicators generated the output of socio-susceptibility score (Eq.  12 ).

where S = Susceptibility, ca = communication accessibility, HR = human rights, HS = health services sint = scale of less important, svint = scale of very important.

The above output (Eq.  12 ) linked the susceptibility indicators (communication accessibility) with social variables. Therefore, to compute the scores in Lilongwe City (Mtandire Ward) and Karonga District (T/A Kilupula), the percentage values generated using descriptive statistics from the scale of “important” and “very important” were separately inputted in the equation (Eq.  12 ).

3.2.2 Computation of physio-exposure score

The underlying physical vulnerability factors (PVFs) linked with housing material types (hmt) in the exposure indicators generated the output of physio-exposure score (Eq.  13 ).

where E = Exposure, hmt = housing material type, PC = Poor construction, CM = Construction materials, CR = Construction of roads, sint = scale of less important, svint = scale of very important.

The output (Eq.  13 ) linked the exposure indicators (housing material type) with physical variables. Therefore, to compute the scores in Lilongwe City (Mtandire Ward) and Karonga District (T/A Kilupula), the percentage values generated using descriptive statistics from the scale of “important” and “very important” were separately inputted in the equation (Eq.  13 ).

3.2.3 Computation of eco-resilience score

The underlying economic vulnerability factors (EVFs) linked with income of household head (ihh) in the resilience indicators generated the output of eco-resilience score (Eq.  14 ).

where R = Resilience, ihh = income of household head, PV = Poverty, AL = Alternative livelihoods, sint = scale of less important, svint = scale of very important.

The output (Eq.  14 ) linked the resilience indicators (income of household head) with economic variables. Therefore, to compute the scores in Lilongwe City (Mtandire Ward) and Karonga District (T/A Kilupula), the percentage values generated using descriptive statistics from the scale of “important” and “very important” were separately inputted in the equation (Eq.  14 ).

3.2.4 Computation of enviro-exposure score

The underlying environmental vulnerability factors (EVFs) linked with geography (ge) in the exposure indicators generated the output of enviro-exposure score (Eq.  15 ).

where E = Exposure, Ge = Geography, CL = Cultivated land, EM = Environmental mismanagement, PLM = Poor land management, AUR = Inappropriate use of resources, sint = scale of less important, svint = scale of very important.

The output (Eq.  15 ) linked the exposure indicators (geography) with environmental variables. Therefore, to compute the scores in Lilongwe City (Mtandire Ward) and Karonga District (T/A Kilupula), the percentage values generated using descriptive statistics from the scale of “important” and “very important” were separately inputted in the equation (Eq.  15 ).

3.2.5 Computation of cultural-susceptibility score

The underlying cultural vulnerability factors (CVFs) linked with inaccessibility of communication (ic) in the susceptibility indicators generated the output of cultural-susceptibility score (Eq.  15 ).

where S = Susceptibility, cb = cultural behaviour, LN = local norms, sint = scale of less important, svint = scale of very important.

The output (Eq.  16 ) linked the susceptibility indicators (cultural behaviour) with cultural variables. Therefore, to compute the scores in Lilongwe City (Mtandire Ward) and Karonga District (T/A Kilupula), the percentage values generated using descriptive statistics from the scale of “important” and “very important” were separately inputted in the equation (Eq.  16 ).

The score measure of UVF (physical, social, economic, environmental and cultural) against VCs (exposure, susceptibility and resilience) generated a single value according to the association which was as follows: Physical with exposure factors (PEFs), Social with susceptibility factors (SSFs), economic with resilience factors (ERFs), environmental with exposure factors (EEFs) and cultural with susceptibility factors (CSFs). This association further generated value that was divided by the total sample size 345 and 200 household participants in Lilongwe City and Karonga District and multiplied by the 100 percent to obtain a percentage value of each category in the calibrated formula, for example:

Then the percentage result obtained in equation (Eq.  17 ) for each factor was further divided by 100% to generate the vulnerability level (extent of vulnerability) of each factor (i.e., V L PEFs). This computed arbitrary value was compared to the FVI to predict the extent of vulnerability per factor, for example:

where V L PEFs means the extent (level) of vulnerability to Physio-Exposure factors. This formula was applied to all the combined categories (i.e., SSFs, ERFs, EEFs and CSFs) by substituting the category that was required to be worked out in the equation to obtain the value that was used to determine vulnerability. Finally, the result was used to predict vulnerability in terms of “high vulnerability” and “very high vulnerability” per the FVI scale range. Ordinal categories for the indicators of vulnerability determinants (less important, important and very important) and indicators of elements at risk (not vulnerable, small vulnerable, vulnerable, highly vulnerable and very highly vulnerable) were used for selection of variables.

Finally, the relationship (using Eq.  18 ) generated results in the category of the physio-exposure factors (PEFs), social susceptibility factors (SSFs), eco-resilience factors (ERFs), enviro-exposure factors (EEFs) and cultural-susceptibility factors (CSFs) (Fig.  8 ).

The results of PEFs fall in scale range of “vulnerability” in Mtandire Ward of Lilongwe City (0.52) compared to “high vulnerability” in T/A Kilupula of Karonga District (0.64). This means that while it contributes to vulnerability in both areas, it is much higher in T/A Kilupula of KD compared to the Mtandire ward of LC. The results of the digitized flood maps overlayed with surveyed households’ showed that most houses that are highly vulnerable to floods are between a distance of 0.06–0.12 km to Lingadzi river in Mtandire ward of LC and 0.198–0.317 km along the buffer zones of Lufilya river in T/A Kilupula of KD (Figs.  9 and 10 ).

Map of Mtandire showing households/buildings about Wetlands and drainage systems

Map of T/A Kilupula showing households/buildings about Wetlands and drainage systems

4 Discussion

Though variations exist in the causes of vulnerability, the results of this study have demonstrated that the vulnerability of households to floods in rural and urban informal settlements is very high based on a lack of building materials, proximity to catchments, and limited communication among other factors. Similar, to this finding Alam et al., ( 2022 ) also found a high vulnerability value of 0.7015 for rural people living in the Dammar Char in Southeastern Bangladesh compared to urban areas. While, Alam et al. ( 2022 ), did not specify the causes of such high vulnerability, this study attributes the high vulnerability to the aspect of lack of construction materials, distance to markets and transport cost that people have to incur to access construction materials in rural areas. These causes agree with the findings of Qasim et al. ( 2016 ) in which vulnerability to flooding was attributed to poor/lack of materials used to construct houses. The results also revealed that poor construction of infrastructural facilities falls in the scale of “high flood vulnerability in both LC and KD. This implies that substandard construction of infrastructure such as houses contributes to vulnerability. This finding is supported by literature that substandard infrastructures contribute to flood vulnerability (Salami et al. 2017 ). Furthermore, the ANN results in MLP revealed a strong association of physical vulnerability factors (lack of construction materials, construction of infrastructures, and ageing infrastructures) with housing type. This implies that they contribute to generating vulnerability because people live in substandard houses. This finding confirms the result finding of Movahad et al. (2020) and Aliyu Baba Nabegu (2018) who indicated that people are vulnerable to floods because they usually live in substandard housing conditions which become prone to floods.

The SFFs generated a vulnerability value (0.61) for people living in T/A Kilupula in Karonga District compared to a low vulnerability value (0.2) for people living in Mtandire Ward in Lilongwe City. The above findings indicate that key factors for households’ flood vulnerability are associated with knowledge of building codes and standards. This means that the culture of shelter safety is lacking and that there is a lack of knowledge of the type of houses that they can build to resist floods and any other type of natural hazards. These could be attributed to dynamic pressures influencing households’ vulnerability to floods. That’s to say, people do have enough resources, decision-making, and societal skills to access housing materials that can help them build strong houses. In this situation, the programming of flood risk management and in general DRM mitigation, preparedness and recovery measures should focus on reducing the pressures by strengthening households’ knowledge and building standards. This can be achieved through designing mitigation measures that address the root causes that contribute to increased vulnerabilities in the pre-flood and post-flood phases rather than focusing too much on the trans-flooding phase. In terms of social-susceptibility vulnerability, the results found that the SSFs that contribute to generating vulnerability both in T/A Kilupula of KD and Mtandire Ward of LC are lack of access to health services, human rights, limited institutional capacities and lack of awareness. However, the binomial logistical regression of the SFFs generated a vulnerability value (0.61) for people living in the studied area of KD compared to a low vulnerability value (0.2) of people living in the studied area of LC. This finding differs from the findings of Munyai et al. ( 2019 ) in Muungamunwe Village in South Africa, which found that the value of FVI social was 0.80 higher than all the factors assessed. However, it is noted that the later study did not comprehensively link various factors between UVFs and VCs to determine the degree of contribution to vulnerability. The results further imply that the socio-susceptibility factors contribute to higher vulnerability in rural areas than in urban areas. This finding is supported by the study of Mwale ( 2014 ) in which social susceptibility was categorised from “high to very high vulnerability” among the communities in rural Lowershire of Chikwawa and Nsanje Districts of Malawi.

The ERFs contribute to “very high vulnerability” in Karonga (0.8) and “high vulnerability” in Mtandire Ward of Lilongwe City (0.6). The high vulnerability is linked to factors such as poverty, lack of alternative livelihoods, and lack of income-generating activities. Similar to these results, the study of Mwale ( 2014 ) also established a predominantly very high economic susceptibility based on causes such as a lack of economic resources, an undiversified economy and a lack of employment opportunities among communities in the lower Shire Valley of Malawi. Despite the results revealing the same outcome, the earlier study linked economics with susceptibility measures while this study agglomerated economics with resilience measures. The existing variation placed some causes in different association order. For example, poverty in the study of Mwale ( 2014 ) was categorised as a social susceptibility indicator, while in this study it was used as the eco-resilience measure. The understanding of this study is that poverty is a measure of the income level of a household. That is to say, a household with enough income will be less poor thereby becoming more resilient and vice versa. Therefore, poverty was classified as a cause of “high vulnerability” both in Mtandire Ward of LC with a value of 0.73 and T/A Kilupula of KD with a value of 0.68. On the other hand, the lack of alternative livelihoods contributes to “vulnerability” in Mtandire Ward with a value of 0.54 while ‘high vulnerability” in T/A Kilupula with a value of 0.71). These findings point out the notion that programming current and future flood disaster mitigation plans and vulnerability reduction measures requires the formulation of relevant financial and economic measures which may contribute to poverty alleviation in the community and society.

The EEFs revealed “very high vulnerability” in both Mtandire Ward of LC (0.8) and T/A Kilupula of KD (0.9). The EEFs revealed “very high vulnerability” of EEFs (0.8) in Mtandire Ward and (0.9) in T/A Kilupula. Except for the pressure on cultivated land in Mtandire Ward, all underlying environmental vulnerability factors (UEVFs) contribute to vulnerability in both rural and urban areas. This result points out that pressure on land is an environmental indicator that predicts households’ vulnerability to floods in rural areas (T/A Kilupula) and not in urban areas (Mtandire Ward). The high vulnerability depicted by the EEFs is a total indication that households are more vulnerable due to the built environment. This could be attributed to the fact that people have allowed development in areas where danger exists due to the lack of policy and legal systems to help and guide government and enterprises in disaster risk management. This argument is supported by literature that development in dangerous areas increases peoples’ exposure to danger (Birkmann et al. 2013 ; Nazeer and Bork 2021 ). Barbier et al. (2012) support that environmental damage affects the well-being of the local people since it leads to soil degradation which eventually causes low food production. To this end, laws and policies to regulate development and habitation in risk areas should be seamlessly programmed into the current and future flood mitigation and preparedness plans at all levels.

Finally, the CSFs revealed a low vulnerability in both Mtandire Ward of LC (0.34) and T/A Kilupula of KD (0.39) (Fig.  6 ). In the FVI scale, the SSFs and CSFs contribute to low vulnerability in Mtandire Ward of LC while only the CSFs contribute to low vulnerability in T/A Kilupula of KD (Fig.  3 ). The CSFs show a value of 0.34 in Mtandire Ward and 0.39 in T/A Kilupula, indicating that it contributes to low vulnerability in both areas. However, it was established that household flood vulnerability in T/A Kilupula is high due to other factors such as cultural beliefs of conserving their ancestors’ graveyards and land ownership issues . In support of this result, Iloka ( 2017 ) found that a system of beliefs regarding hazards and disasters contributes to vulnerability. The findings of the author further established that cultural issues do not assist households to be resilient to floods. In Mtandire Ward of LC, it was observed that land use and human occupancy in risk areas contribute to household flood vulnerability. Furthermore, it was reported that rich people have occupied places which are not habitable thereby changing the course of the Lingadzi River. Further to this, youths have resorted to destroying the banks of the river due to a lack of economic activities and high unemployment. It was noted that people do not fear or abide by city regulations because there is no punishment that they receive from city councils.

4.1 FVA indicators for rural and urban informal settlements

Based on the results, and to provide proper flood mitigation and programming of current and future challenges in flood management, this study constructed the FVA framework as a combination of variables from the UVFs and VCs (Fig.  11 ). On the one hand, the physio-exposure indicators (PEIs) relate to the housing and infrastructure in the physical vulnerability factors (PVFs). These should be evaluated based on exposure with its operator house material and type to understand how they contribute to vulnerability (Eq.  13 ). In Fig.  11 , those that intersect (housing typology (HT), poor construction of standards (PCS), lack of building materials (LBM) and loss of physical assets (LPA) and infrastructural standards) are the PEIs for both rural and urban areas. While location (LC) and growth of informal settlement (GIS) are PEIs for rural and urban areas respectively. On the other hand, the enviro-exposure indicators (EEIs) relate to environmental causes such as land use planning and management. These were quantified based on exposure variables, specifically location (Eq.  15 ). In the Fig.  11 , environmental mismanagement (EM), proximity to rivers (PR), poor land management (PLM), inappropriate use of resources (IUR) and siltation of rivers (SR), river catchment morphology (RCM) flooding risk location (FRL) intersect, implying that they are the EEIs for both rural and urban informal areas. Those outside the intersection apply specifically as EEIs conforming either in Lilongwe including waste management (WM), land use planning (LUP) or in Karonga, cultivated land (CL) and topography (TP).

FVA framework

This study derived the physio-exposure indicators (PEIs) and enviro-exposure indicators (EEIs) by agglomerating them with the exposure factors (housing material and geography respectively). This demonstrates the notion that flood risk is a product of exposure to the hazard (flood) and vulnerability. Literature reveals that exposure entails the probability of flooding affecting physical objects-buildings and people (Mwalwimba 2024 ; Balica et al. 2012 ; Nazeer and Bork 2021 ) due to location. Since location is an exposure variable, defined by the geographical position to which the assessment was done (Nazeer et al. 2022), this study relates the physical causes to that location/geography to predict household vulnerability and thereby all the significant indicators were grouped as physio-exposure factors (PEFs) to give rise to the PEI. Also, significant indicators were grouped as enviro-exposure factors (EEFs) and referred to as the EEIs in Fig.  11 . The PEIs and EEIs correlate with the indicators propagated in the hazard of place model (Joakim 2008 ), which relates the vulnerability determinates to biophysical vulnerability i.e. geography, location and proximity.

The amount of social risk experienced by the household was understood by agglomerating socio-susceptibility indicators (SSIs). The SSIs relate to the linkage of social causes with access to communication as a susceptibility variable (Eq.  12 ). Susceptibility deals with elements that influence an individual or household to respond to the hazard itself. In Fig.  11 , the SSIs, lack of access to health services (LHS), communication accessibility (CA), access to training and advocacy (ATA) and level of sanitation (LS) are indicators that intersect, implying they apply to both rural and urban informal areas. However, lack of human rights (LHR) and level of waste management and drainage systems (LWDS) are SSIs in rural and urban respectively. Relatedly, cultural-susceptibility indicators (CSIs) link cultural causes with access to communication in the susceptibility category. Susceptibility deals with elements that influence an individual or household to respond to the hazard itself. In Fig.  11 , lack of personal responsibility, lack of adherence to regulations, lack of institutional support and flood perception are indicators that intersect, implying that they are the CSIs for both rural and urban areas. However, cultural beliefs and myths about floods should be indicators to be evaluated specifically in rural areas, while power conflicts, limited DRR strategies and lack of cooperation should be used to assess vulnerability in urban areas, though they can apply to rural areas too. So, access to communication is a susceptibility condition which may result in making households vulnerable to floods because they cannot anticipate the impending flooding. Hence this study related social and cultural causes with access to communication to develop a combination of socio-susceptibility factors (SSFs) and cultural-susceptibility factors (CSFs). Qasim et al. ( 2016 ) stated that certain beliefs and poverty play a role in the lack of resilience among communities. Birkmann et al. ( 2013 ) and Kablan et al. ( 2017 ) stated that susceptibility relates to the predisposition of the elements at risk in social and ecological spheres. Hence, most of the susceptibility factors relate to social and cultural causes because they are all an integral part of humanity's suffering if conditions do not support them to withstand and resist the natural hazard impacts.

The eco-resilience indicators (ERIs) should put much emphasis on economic causes of vulnerability. Economic indicators such as limited access to alternative livelihoods and poverty contribute to generating vulnerability. These indicators may or may not be affected by the resilience of households to the shock. As such, resilience is measured based on the ability of the households to cope with the event. As such, key factors to measure resilience include access to resources, improved livelihoods and access to income among others. The framework therefore strongly overlaps economic causes with resilience factors to assess the vulnerability of households to floods. In Fig.  11 , poverty (PO), limited livelihoods (LVs), lack of income of household head (LIHH), and loss of economic assets (LEA) are indicators that intersect, implying that they are eco-resilience indicators (ERIs) that can be used for vulnerability assessment in both rural and urban areas. The ERIs for only rural lack of markets (LM), limited credit unions (LCU) and reduction in agricultural land (RAL) while in urban informal settlements, they include lack of employment opportunities (LEO). Birkmann et al. ( 2013 ) stipulated that resilience comprises pre-event risk reduction, time-coping, and post-event response actions. Therefore, this study relates the economic causes of resilience to give rise to the eco-resilience indicators (ERIs) (Fig.  11 ).

The adaptive capacity provides key adaptive measures that can be incorporated to deal with vulnerability conditions generated from each intersected category. The adaptive measures relating to housing strategies can be utilised to minimised flood impact on households under the physio-exposure factors in the category of the PEIs are strengthening the availability of building materials (SULBM), enforcement of building codes and standards (EBCS) and empowering locals on flood resilient structures (ELFRS). Similarly, social organisational measures can be utilised to minimise socio-susceptibility factors relating to SSIs. The adaptive capacities that can contribute to reducing vulnerability in the category are the ability to make decisions (AMD), the ability to organise and coordinate (AOC) and communal strategic grains for resilient buildings (CSGRB). In addition, the economic measures can be utilised to minimise flood impacts relating to eco-resilience factors for the category of ERIs and they include saving agricultural produce (SAP), strengthening diversification (SD) strengthening livelihoods opportunities (SLO) can be used as adaptive capacity under this category. In terms of exposure, households to adapt to flood impact can use land management measures. These practices include: elevating house location (EHL), afforestation and re-afforestation (AR) and building dykes and embankments (BDE) can be used as adaptive capacity under this category. Finally, households can minimise the cultural-susceptibility factors that generate their vulnerability through the application of warning systems for impending flooding (WS) and the use of indigenous and scientific knowledge (ISK). This is contrary to the PAR model (Wisner et al., 2004 ) and Urban Flood Vulnerability Assessment (Salami et al. 2017 ), which did not elaborate the adaptive strategies. However, the FVA relates well with the ISDR framework (2004) on adaptive capacity because the ISDR (2004) emphasizes disaster risk reduction through adaptive responses such as awareness knowledge, development of public commitment, application of risk reduction measures, early warning and preparedness (Mwale 2014 ).

5 Assumptions of the FVA framework

Assumptions are key to the realisation of the results. They are critical for achieving the successful implementation of an intervention. In this regard, the fact that the FVA framework provides the indicators which can be used to assess flood vulnerability in rural and urban informal settlements, the following eleven assumptions are vital to achieving the results:

The UFV should be constituted by physical, social, economic, environmental and cultural factors while the VC is composed of exposure, susceptibility and resilience to determine flood vulnerability. The selection of variables for these key components should consider vulnerability in a combination of physical and social sciences.

The UVFs and VCs should be linked to generate Physio-Exposure Factors (PEF), Socio-Susceptibility Factors (SSF), Eco-Resilience Factors (ERF), Enviro-Exposure Factors (EEF) and Cultural-Susceptibility Factors (CSF) to determine flood vulnerability or any particular hazard.

The generated indicators in the PEF, SSF, ERF, EEF and CSF should lead to the production of physio-exposure indicators (PEIs), social susceptibility indicators (SSIs), eco-resilience indicators (ERIs), enviro-exposure indicators (EEIs) and cultural-susceptibility indicators (CSIs), which in turn should capture indicators for FVA framework (Fig.  11 ).

A comprehensive flood vulnerability assessment framework that can give rise to multi-hazard vulnerability assessment should deviate from the common systematisations of vulnerability by using one set of variables. A combination of UVFs and VCs should be used to generate a wide range of issues and variables.

The linkage between the factors that amplify vulnerability and those that can enhance vulnerability reduction should be demonstrated through adaptive capacity and disaster risk reduction measures and incorporated in the framework. Those that cannot be quantified should be supported by qualitative methods.

The linkage of the UVFs and VCs as a key explanation of the generation of vulnerability should be emphasised and the conceptual framework for FVA should provide clear connectivity of the variables of the UVFs and VCs.

The variables for UVFs (physical, social, economic, environmental and cultural) should be measured as the absolute proportion value of household participants involved during the survey. The percentage values should be generated using a scale range with operators of “ less important ”; “ important ” and “ very important ” to contribute to flood vulnerability”. However, for flood vulnerability determination, a cut-off point should be placed at greater or equal to 0.5 (50%) for each indicator from the operator of the scale range of “important” and “very important”. In this case, all the values generated in the scale of “less important” as responded by the participants should be left out during determination of flood vulnerability.

The selected variables UVFs indicators (at 50%) should be tested using the variables of VCs (exposure, susceptibility and resilience) in the order stipulated in 2 and 3 through statistical tests using P-values or correlation (r) or simply any statistical test applicable by the researcher. The values that are significant at a certain confidence level (i.e. 0.05 in this study) should be selected to be included in the framework for specific combinations like PEFs, SSFs, ERFs, EEFs and CSFs (Fig.  11 ). Furthermore, those values significant at an appropriate confidence level should be considered as factors generating flood vulnerability.

Household vulnerability to floods should be predicted based on logistical regression test between the UVFs for all the operators of less important, important and very important and the VCs indicators (in exposure, susceptibility and resilience). The selection of the VC indicators should be based on those that were significant during the statistical test. Furthermore, variance independent factor (VIF) should be used to check the multicollinearity of the indicators for computation in the regression model.

Demographic characteristics should be statistically tested to determine their significant level of P-value 0.05 with the underlying vulnerability factors (UVFs) to explain who is vulnerable to what. However, because other explanations might be hidden in a quantitative assessment, a qualitative –in-depth assessment must be done to understand those hidden issues per se. In so doing, the assessment would be informative in identifying the factors that give rise to the pressures that generate vulnerable conditions in society for different groups.

Adaptive capacity should be assessed both quantitatively and qualitatively since it is a component of vulnerability reduction. This entails that if adaptive capacity is sufficient, it is likely that households' response to floods would be high and vulnerability is also likely to reduce and vice versa.

5.1 FVA application and comparability

The FVA should be applied as a pre-hazard, trans-hazard and post-hazard (flood) tool. In the pre-hazard category, all the proposed indicators should be used to determine vulnerable conditions which may (or may not) put some households at risk of flood disaster in the event of a flood occurrence. In the trans-hazard, the FVA indicators should be used to determine the vulnerabilities of households to identify the households that have been affected by floods as part of the disaster response and recovery process. In so doing, the FVA indicators should be used as a means of establishing strategies for disaster response and recovery as part of building back better. As a post-hazard tool, indicators should be used to determine the vulnerabilities that contributed to a disaster situation. Users should prioritize these indicators as a means of building DRR for disaster rehabilitation and reconstruction. In this case, the FVA framework contrasts itself to available tools such as the Unified Beneficiary Register (UBR) and Hazard Rapid Assessment (HRA) which largely are implemented only after the hazard in Malawi. Furthermore, it separates indicators that generate vulnerability in subsectors, but most available frameworks do not portray this separation. Therefore, participating enterprises can implement the FVA framework based on the needs of the assessment. The FVA framework can be implemented through hydrological assessment, flood modelling, quantitative, qualitative, GIS and remote sensing methodologies, giving opportunity to multiple users. The framework emphasizes UVFs (physical, social, economic, environmental and cultural) and VCs (exposure, susceptibility and resilience) as intersection constructs of flood vulnerability in urban and rural areas of Malawi and other places where it can be applied. It provides very simplified indicators of assessing flood vulnerability at local and national levels, deviating from the generalised frameworks that look at a wider scale like the PAR model (Wisner et al., 2004 ). More importantly, the framework provides tailor-made indicators thereby localizing the assessment of flood vulnerability in Malawi. This framework gives indicators that can be easily measured and evaluated at any level using different tools (statistical applications) thereby giving empirical scientific data on floods. The framework is coined strategically for researchers to utilise it in measuring the vulnerability of a single underlying factor of interest (i.e., physical vulnerability or social vulnerability etc.). It also gives simplified indicators that can be utilised by policy and decision-makers for planning interventions. The framework provides a good alignment of adaptive capacity to underlying vulnerability factors and components. In this case, the framework integrates DRR into vulnerability reduction strategies. Unlike the PAR model (Wisner et al., 2004 ) which does not explain exactly the measures of vulnerability reduction, this framework, through the integration of adaptive capacity, has filled up this gap. Finally, the framework intersects the significant factors of vulnerability in a set theory analysis giving new thinking in outlining FVA indicators in Malawi and beyond. The framework goes beyond the Community-Based Disaster Risk Index (CBDRI) by Bollin et al. (2003) which provides a proper link of indicators between vulnerability factors and components. For example, the CBDRI considers vulnerability components as structure, population, economy, environmental and capacity measures (Mwale et al. 2015 ) yet alone these could be grouped as conditions that generate flood vulnerability as tested in the FVA framework.

From the findings of this study, the FVA is comparable with various contemporary disaster management frameworks such as the PAR Model (Wisner et al. 2014 ), the Hazard of Place Framework (Cutter 1996 ), the Sustainable Livelihood Model (2004), the Community-based Disaster Risk Management Model (Kelman 2010 ), Turner et al. (2003) framework and the International Disaster Risk Reduction Framework (ISDR 2004). Therefore, based on the indicators intersected in Fig.  11 (such as housing conditions, access to information, access to resources, poor land use, social networks, and location), the FVA framework correlates well with most of the indicators stipulated in Hazard of place model (Cutter 1996 ), PAR model (Winser et al. 2014 ), Urban Flood Vulnerability Assessment Framework (Salami et al. 2017 ), ISDR framework (2004). However, the FVA framework has provided simplified indicators of flood vulnerability assessment because the indicators are simple to be used by experts and non-experts whether they are in urban or rural areas. They can be easily understood by ordinary users and policymakers. Furthermore, the indicators can be used for multi-hazards vulnerability assessment, since the H and F in the constituted equation can be changed based on hazard. In this case, the FVA Framework is widening vulnerability assessment beyond a focus on floods. The FVA, therefore, eliminates the gaps that most studies in literature mainly focus on, single hazards, ignoring the multi-hazard assessment (Kamanga et al. 2020 ). The FVA includes variables that can be measurable through quantitative and ANN (machine learning platform) thereby expanding the process of vulnerability analysis.

The FVA separated the indicators that generate vulnerability in different subsectors of UVFs and VCs. This separation deviates from most of the contemporary frameworks. Joakim ( 2008 ) noted that most contemporary frameworks fail to portray the linkages and networks that exist with the layers or sections leading to the vulnerability. For example, the PAR (Wisner et al. 2014 ) model provides a generalised causation of vulnerability. It portrays the progression of vulnerability from root causes to unsafe conditions, but it fails to explicitly acknowledge the linkages that exist within each progression (Joakim 2008 ). The FVA has provided a straightforward linkage of indicators by systematizing and assessing vulnerability in different subsectors. Similarly, the International Strategy for Disaster Reduction (ISDR) (2004) framework, the Hazard of Place Framework (HOP) (Cutter 1996 ), Borgardi, Birkmann and Cadona (BCC) (2004) and the Turner et al. (2003) framework, all have methodological difficulty of translation of some concepts into practice (Mwale 2014 ). This methodological variation, further makes the contemporary frameworks to be difficult to incorporate different links that exist between vulnerability factors. Mwale ( 2014 ) argues that the HOP framework does not provide a causal explanation of the vulnerability, instead variables are selected the way they are. Joakim ( 2008 ) further noted that the applicability of the HOP framework is a Canadian context, giving an impression that some indicators might manifest themselves differently in small political, economic and social processes. However, the HOP framework in some instances, relates very well with FVA, particularly the inclusion of perceptions, emphasis on understanding the underlying vulnerability factors, and inclusion of mitigation and adaptive capacity in the analysis of vulnerability. It is also highlighted that Turner II et al.’s (2003) framework is too theoretical and lacks specificity (Mwale 2014 ). This means that the framework is not simple and easy to use. The ISDR (2004) does not link the preparedness response system and thereby not explicit on how vulnerability can be reduced. Also, the use of one-dimensional indicators is demonstrated in the Turner II et al. (2003) framework which defines vulnerability in terms of exposure, susceptibility and responses. For this part, the ISDR (2004) defines vulnerability in the realms of social, economic, environmental and physical (Mwale 2014 ), missing the aspects of exposure, susceptibility and resilience. Above all, most of these frameworks have neglected to agglomerate the UVFs and VCs in their analysis and development of vulnerability frameworks. These FVA have attempted to fill these gaps, giving vulnerability assessment a new direction. In Malawi and SSA in general, Mwale et al. ( 2015 ) in a study of contemporary disaster management framework quantification of flood risk in rural lower Shire Valley, Malawi found medium, high and very high flood vulnerability in the same construct of indicators of the FVA framework. This implies that the FVA indicators are locally comparable and can be used for the decision-making process. The FVA indicators are more practical and can ably enhance community and household resilience. These indicators can thus be applied in promoting the resilience of communities to mitigate flood risks and key components for planning and decision-making processes.

6 Conclusion

This study carried out flood vulnerability assessment (FVA) using quantitative methods by utilising MCA, ANN (machine learning) and multiple logistical regression. The high flood vulnerability and lack of adaptive capacity among the households and communities in rural and urban informal settlements is an indication that catchment management in most areas remains a challenge to the water sector, disaster professionals and other players. This study highlights place settlement (proximity to catchments), low-risk knowledge, limited access to communication, poor sanitation, limited institutional capacity, and lack of alternative livelihoods as key drivers of flood vulnerability. These, among others, prevent households near the catchments from living in harmony and at peace with their water resources catchments. As the FVA framework specifies the indicators that contribute to flood vulnerability in rural and urban informal settlements, it is important to consider shifting towards investing in the adaptive capacity of communities along the catchments for better resilience building. The FVA framework considered adaptive capacity to mean actions taken by households to manage their catchments and livelihoods before, during and after floods. The adaptive measures entail the level of resilience households would be (or would not be) to floods. This study considered it crucial to constitute this framework in this manner to provide a roadmap for identifying the underlying causes of household levels of vulnerability to floods. This flood vulnerability assessment framework is applicable for both rural and urban and could be fit for purpose in sectors such as climate change, water resources management, disaster risk management, disaster risk reduction, integrated water management, food security, health, environmental management, engineering etc. The government might find the framework significant to establish clear regulations and accountability mechanisms to ensure that their involvement genuinely contributes to sustainable and equitable outcomes. Enterprises would find the framework useful for mapping vulnerability to natural hazards to address current and future risks in communities, including building community resilience and a line of separation with government.

7 Recommendations

The FVA framework is the first attempt to agglomerate operators in the UVFs and VCs through a multicollinearity analysis in a logit multiple regression to give rise to indicators in the PEIs, SSIs, ERIs, EEIs and CSIs for flood vulnerability assessment. The framework emphasises both understanding the conditions that generate vulnerability and those that can reduce vulnerability. Therefore, the study emphasises that the Malawi government through the Department of Disaster Management Affairs (DODMA) should strengthen disaster risk reduction by maintaining (1) political responsibility through the formulation of public policies with a clear understanding of people’s vulnerabilities (2) Legal responsibility through incorporating the framework as a way of perfecting the legal system, enforce the laws and establish laws that are not a centric symbol of disaster enterprise (3) Social responsibility through applying the framework to harmonise systems to be fair and just, without treating others in a sense of societal leniency, greenwashing practices and prioritisation of profit over environmental and social responsibility (4) Economic responsibility through utilising the framework to formulate relevant financial and economic measures i.e. disaster risk funds, to make disaster funds not to base on the declaration of a disaster.

Similarly, mapping vulnerability to natural hazards in urban areas should be enhanced to provide data necessary for developing disaster risk awareness and communication strategies vital to strengthening urban risk knowledge of natural hazards. The framework should be applied in promoting the resilience of communities to mitigate flood risks and can be a key component for planning and decision-making processes both in rural and urban areas. Finally, this study focused on one rural area and one urban informal area, so there is a need for district-wide or city-wide study and/or there is a need for study in urban between planned settlement and unplanned traditional housing areas (UTHA).

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Mwalwimba, I.K., Manda, M. & Ngongondo, C. Flood vulnerability assessment in rural and urban informal settlements: case study of Karonga District and Lilongwe City in Malawi. Nat Hazards (2024). https://doi.org/10.1007/s11069-024-06601-5

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Published on 23.5.2024 in Vol 8 (2024)

Barriers to Implementing Registered Nurse–Driven Clinical Decision Support for Antibiotic Stewardship: Retrospective Case Study

Authors of this article:

Original Paper

• Elizabeth R Stevens 1 , MPH, PhD   ; 
• Lynn Xu 1 , MPH   ; 
• JaeEun Kwon 1 , MPP   ; 
• Sumaiya Tasneem 1 , MPH   ; 
• Natalie Henning 1 , MPH   ; 
• Dawn Feldthouse 1 , RN-BC, MSN   ; 
• Eun Ji Kim 2 , MSc, MS, MD   ; 
• Rachel Hess 3, 4 , MS, MD   ; 
• Katherine L Dauber-Decker 2 , PhD   ; 
• Paul D Smith 5 , MD   ; 
• Wendy Halm 6, 7 , DNP   ; 
• Pranisha Gautam-Goyal 2 , MD   ; 
• David A Feldstein 6 , MD   ; 
• Devin M Mann 1, 8 , MS, MD  

1 Department of Population Health, New York University Grossman School of Medicine, New York, NY, United States

2 Northwell, New Hyde Park, NY, United States

3 Department of Population Health Sciences, University of Utah, Salt Lake City, UT, United States

4 Department of Internal Medicine, University of Utah, Salt Lake City, UT, United States

5 Department of Family Medicine and Community Health, University of Wisconsin School of Medicine and Public Health, Madison, WI, United States

6 Department of Medicine, University of Wisconsin School of Medicine and Public Health, Madison, WI, United States

7 University of Wisconsin-Madison School of Nursing, Madison, WI, United States

8 Department of Medicine, New York University Langone, New York, NY, United States

Corresponding Author:

Elizabeth R Stevens, MPH, PhD

Department of Population Health

New York University Grossman School of Medicine

180 Madison Ave

New York, NY, 10016

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Phone: 1 6465012558

Email: [email protected]

Background: Up to 50% of antibiotic prescriptions for upper respiratory infections (URIs) are inappropriate. Clinical decision support (CDS) systems to mitigate unnecessary antibiotic prescriptions have been implemented into electronic health records, but their use by providers has been limited.

Objective: As a delegation protocol, we adapted a validated electronic health record–integrated clinical prediction rule (iCPR) CDS-based intervention for registered nurses (RNs), consisting of triage to identify patients with low-acuity URI followed by CDS-guided RN visits. It was implemented in February 2022 as a randomized controlled stepped-wedge trial in 43 primary and urgent care practices within 4 academic health systems in New York, Wisconsin, and Utah. While issues were pragmatically addressed as they arose, a systematic assessment of the barriers to implementation is needed to better understand and address these barriers.

Methods: We performed a retrospective case study, collecting quantitative and qualitative data regarding clinical workflows and triage-template use from expert interviews, study surveys, routine check-ins with practice personnel, and chart reviews over the first year of implementation of the iCPR intervention. Guided by the updated CFIR (Consolidated Framework for Implementation Research), we characterized the initial barriers to implementing a URI iCPR intervention for RNs in ambulatory care. CFIR constructs were coded as missing, neutral, weak, or strong implementation factors.

Results: Barriers were identified within all implementation domains. The strongest barriers were found in the outer setting, with those factors trickling down to impact the inner setting. Local conditions driven by COVID-19 served as one of the strongest barriers, impacting attitudes among practice staff and ultimately contributing to a work infrastructure characterized by staff changes, RN shortages and turnover, and competing responsibilities. Policies and laws regarding scope of practice of RNs varied by state and institutional application of those laws, with some allowing more clinical autonomy for RNs. This necessitated different study procedures at each study site to meet practice requirements, increasing innovation complexity. Similarly, institutional policies led to varying levels of compatibility with existing triage, rooming, and documentation workflows. These workflow conflicts were compounded by limited available resources, as well as an implementation climate of optional participation, few participation incentives, and thus low relative priority compared to other clinical duties.

Conclusions: Both between and within health care systems, significant variability existed in workflows for patient intake and triage. Even in a relatively straightforward clinical workflow, workflow and cultural differences appreciably impacted intervention adoption. Takeaways from this study can be applied to other RN delegation protocol implementations of new and innovative CDS tools within existing workflows to support integration and improve uptake. When implementing a system-wide clinical care intervention, considerations must be made for variability in culture and workflows at the state, health system, practice, and individual levels.

Trial Registration: ClinicalTrials.gov NCT04255303; https://clinicaltrials.gov/ct2/show/NCT04255303

Introduction

Antibiotic resistance is a major public health risk, with more than 35,000 deaths each year in the United States due to antibiotic-resistant bacterial infections [ 1 , 2 ]. Overprescribing and misuse of antibiotics for upper respiratory infections (URIs) remain the most significant combined factors causing antibiotic resistance [ 3 , 4 ]. In the United States, up to 50% of all outpatient antibiotic prescriptions for URIs are inappropriate [ 5 , 6 ].

An estimated 80%-90% of antibiotic prescribing occurs in outpatient settings, such as doctors’ offices, urgent care facilities, and emergency departments [ 7 - 9 ]. From 1996 to 2010, 72% of adult patients in primary care with a diagnosis of acute bronchitis received antibiotics contrary to guideline recommendations against antibiotic treatment, and prescription rates actually increased during this time frame [ 10 ]. Patients with sore throats received antibiotics 61% of the time when the prevalence of group A streptococcus, the only clear indication for antibiotics, was only 10% in adults [ 11 ].

By providing real-time evidence-based data to assist providers (physicians, nurse practitioners, and physician assistants) in estimating the likelihood of a patient having either pneumococcal pneumonia or group A streptococcus, electronic health record (EHR)–integrated clinical prediction rules (iCPRs) can help address prescriber-level barriers to antibiotic stewardship and reduce antibiotic prescribing for URIs in primary care [ 12 - 15 ]. Indeed, CPRs have already been validated to successfully distinguish between viral and bacterial respiratory infections [ 16 - 18 ].

While potentially effective, there is low uptake of the iCPR tools among physicians in primary care practices, thus indicating implementation barriers to antibiotic stewardship iCPRs among physicians [ 19 ]. This outcome is consistent with other literature, indicating that physicians perceive antibiotic stewardship as onerous and would require substantial assistance to change their antibiotic prescribing behaviors [ 20 ]. Due to these limitations associated with the physician-driven iCPR implementation model, such as “alert fatigue” and time constraints [ 21 , 22 ], the iCPR intervention was adapted so antibiotic stewardship tasks could be delegated to other qualified members of the medical team.

A registered nurse (RN)–driven implementation model of iCPR for low-acuity URIs has the potential to be an effective alternative to the physician-driven implementation model. RNs have demonstrated equivalent symptom resolution compared to physicians when using protocols to improve ambulatory care across a number of chronic diseases [ 23 ] as well as the treatment of acute minor illnesses [ 24 , 25 ]. Therefore, the iCPR intervention was adapted for RNs to include the identification of patients with low-acuity URI followed by clinical decision support (CDS)–guided RN visits. The intervention was implemented in February 2022 as a stepped-wedge trial in primary and urgent care practices within 4 academic health systems in New York, Wisconsin, and Utah [ 26 ].

Despite a seemingly straightforward URI clinical workflow, the RN-driven iCPR intervention encountered significant barriers early on during implementation. While these issues were pragmatically addressed as they arose during study implementation, a systematic assessment of the barriers to implementation is needed to better understand and address these barriers. The CFIR (Consolidated Framework for Implementation Research) [ 27 ] has been widely used to guide the systematic assessment of multilevel implementation contexts to identify contextual determinants of implementation success [ 28 ]. Using the updated CFIR as a guide [ 29 ], we sought to identify and categorize the barriers experienced during the implementation of the RN-driven antibiotic stewardship “iCPR3” intervention.

We performed a retrospective case study, collecting quantitative and qualitative data from expert interviews, study surveys, routine check-ins with practice personnel, and chart reviews over the first year of implementation of the iCPR3 intervention. We used the updated CFIR [ 29 ] to characterize the initial barriers to adapting a URI iCPR intervention for RNs in ambulatory care.

Ethical Considerations

The study protocol and procedures were approved by the NYU Langone Health institutional review board, which served as the study’s single institutional review board (NYULH Study: i19-01222). Informed consent was received from all participants. Documentation of consent was waived for this study. All study data reported in this manuscript are deidentified. Compensation was not provided for participation.

Study Intervention

The study intervention consists of triage followed by an in-person iCPR–guided RN visit for patients with low-acuity URIs ( Figure 1 ). RNs perform telephone triage (or in urgent care, an RN or medical assistant performs a similar assessment through a rooming protocol) for patients reporting cough or sore throat symptoms to assess acuity, need for primary care, urgent care, or ED visit, and appropriateness for an in-person iCPR–guided RN visit. In the urgent care setting, the assessment is dichotomous as either a need for a provider visit or appropriateness for an iCPR-guided RN visit. The triage tool consists of a prepopulated note template integrated into the EHR system designed to document patient symptoms and their severity and determine the most appropriate level of care. Triage algorithms were based on institutional triage resources for decisions about ED or urgent care visits, primary care visits, and home care [ 30 ].

Patients triaged as low acuity and appropriate for an RN visit are invited for an in-person RN visit that replaces the standard of care provider visit. During the RN visit, guided by iCPR tools, the RN evaluates a patient to determine their risk of bacterial infections of strep pharyngitis (sore throat) or pneumonia (cough). Prepopulated note template EHR tools lead RNs through a focused history and physical examination. Once an RN completes the patient history and physical examination, they use an iCPR tool specific to cough or sore throat to calculate the risk of bacterial infection based on the patient’s vitals, symptoms, and pertinent history [ 26 ]. The iCPR tools are informed by the CPRs [ 17 , 18 , 31 ] used in the iCPR1 and iCPR2 studies [ 12 , 19 ], which were validated in prior studies among patients with acute respiratory illnesses [ 17 , 18 , 31 ]. The CPRs are integrated into the EHR, and upon completion of the calculator, the level of risk with an approximate probability of having either strep pharyngitis or pneumonia is displayed. After completion of the risk calculator, the RN is linked by the EHR to an order set specific to the level of risk, along with relevant patient education.

Setting and Participants

The iCPR3 intervention study was implemented in February 2022, as a randomized controlled stepped-wedge trial, in 43 primary and urgent care practices associated with 4 academic medical centers including 2 in New York, 1 in Wisconsin, and 1 in Utah. To be eligible for participation, a practice must include general internal medicine, family medicine, or urgent care practices. Furthermore, practices must have at least 1 RN full-time equivalent capable of performing triage within the EHR and in-person RN visits.

For this case study, purposive sampling was used to select experts with key knowledge and insight on study implementation from members of the research team and study practices. This sample included research study team members engaged in the implementation of the iCPR3 study (ie, research coordinators, research assistants, and investigators) and study practice personnel (ie, RNs, RN or practice managers, and providers) from each study site (academic medical center). At least 2 research study team members per site participated in semistructured interviews, with those experts determining which practice personnel to include in their data collection. All RNs participating in the iCPR3 intervention were included in study acceptability surveys and routine implementation check-ins with study staff.

Of note, approximately 8 months into iCPR3 implementation, 1 New York–based study site withdrew from the intervention study due to limited practice recruitment and insurmountable barriers to implementing the intervention. Interviews were still performed with site personnel and their comments are included in these analyses.

Data Collection

A semistructured interview guide containing questions based on the 5 domains of CFIR [ 27 , 29 ] was developed. The CFIR constructs supported the research team in defining topics for the interviews and ensured that all major domains in the framework that influence implementation were addressed. Interview questions did not explicitly name or ask participants to name the CFIR domains or constructs. The interviews were performed via in-depth email interviews [ 32 ], in which research study team interviewees were asked questions to identify which of the 48 CFIR constructs were perceived as current barriers to iCPR3 implementation and provided detailed descriptions of the identified barriers and strategies that have already been used by the iCPR3 research study team.

Surveys and Routine Check-Ins

The perspectives of practice personnel were incorporated into the case study based on notes from surveys; individual interviews; or written feedback from RNs, providers, and RN and practice managers collected over the implementation period as routine intervention study procedures. As this was a pragmatic study, study staff routinely elicited informal feedback from practice personnel throughout intervention implementation to identify barriers and improve intervention implementation.

At 6 and 12 months post-RN visit implementation, participating RNs completed a short survey that asked about burnout, job satisfaction, and comfort levels with performing tasks related to treating patients reporting cough and sore throat. The survey also collected information on ease of use of the EHR tools as well as feedback on elements of the intervention, such as training, and recommendations.

Chart Review

Clinical workflows and EHR note templates (triage and RN visits) use in the first 12 months of implementation were collected via chart review. A subset of EHR template uses initiated was evaluated for appropriateness and completeness. To determine the total number of potential patients in a practice eligible for triage template use, patients with visits resulting in a diagnosis code for cough or sore throat were documented ( International Classification of Diseases-10 [ ICD-10 ] codes: R05, R07.0, J20.9, J06.9, and J18.9). The EHR records related to the visit were reviewed to determine patient eligibility for triage and document the workflow leading to the patient visit (ie, how the appointment was scheduled, by whom, and whether appointment notes were present).

CFIR Domains and Constructs

The CFIR was used to retrospectively describe the implementation process of the iCPR3 intervention to identify determinants in this process. Only the determinants relevant to the iCPR3 intervention implementation process were described. The CFIR is composed of 48 constructs sorted into 5 major domains including innovation, outer setting, inner setting, individuals, and implementation process [ 27 , 29 ]. Operationalization of CFIR domains for this study are shown in Table 1 .

a iCPR3: integrated clinical prediction rule 3.

b RN: registered nurse.

Data Coding and Analysis

Insights gathered from the surveys, chart reviews, and formal and informal check-ins with study practice personnel helped inform research study team members’ responses to the semistructured interview guide. The written responses and notes collected from the email interviews were analyzed using techniques of qualitative content analysis, inspired by a deductive-directed approach, deemed applicable because the data were analyzed in light of an existing framework [ 33 ]. The analysis was performed by 3 authors (ERS, LX, and JK) in a stepwise interactive process. The first step in the analysis, after reading all transcripts, notes, and written responses to obtain an understanding of the whole, was to develop initial coding nodes and subnodes based on the domains and constructs of the CFIR [ 29 ].

In the second step, units of analysis, such as sentences or sections of thought, were deductively coded into the nodes and subnodes. Third, the coded text was rated based on the recommended method described by the authors of CFIR, Damschroder and Lowery [ 34 ]. In the rating process, a consensus process was used to assign a rating to each construct obtained from each study site. The ratings reflected the positive or negative influence and the strength of each construct that emerged based on the coded text. When all constructs obtained from all study sites were rated, we compared and compiled ratings for each construct across study sites. Constructs were coded as missing, not distinguishing between positive or negative implementation factors (0), or weakly (+1/–1), or strongly (+2/–2) distinguishing low from high implementation factors ( Table 2 ).

a CFIR: Consolidated Framework for Implementation Research.

b iCPR3: integrated clinical prediction rule intervention.

Barriers and facilitators to implementation were identified within the CFIR domains and constructs and are presented within the frame of CFIR domains including innovation, outer and inner settings, individuals, and implementation process ( Table 3 ).

c Construct lettering and numbers correspond with Damschroder et al [ 27 ].

d Only constructs applicable to the iCPR implementation are cited.

e –2: strong negative influence; –1: weak negative influence; 0: neutral influence; 0 (mix): mixed positive and negative influences, which balanced each other; +1: weak positive influence; +2: strong positive influence; missing: not asked or miscoded.

Outer Setting

Local conditions , primarily driven by the COVID-19 pandemic, served as one of the strongest barriers to implementation as COVID-19 impacted nearly every aspect of implementation from changes in workflows and staffing availability to patient volume and URI care protocols. There were observed changes to URI care protocols including shifts from in-office care to telehealth and redirection to urgent care, driven by COVID-19–testing requirements and hesitancy from both patients and practices to have on-site care. Furthermore, COVID-19 affected local attitudes among practice staff as health issues and burnout led to staff shortages, turnover, and shifting of responsibilities. These barriers were further compounded by regional nursing shortages and financial incentives that drew RNs out of primary care practices.

Policies and laws, such as state regulatory laws and institutional policies, also had a strong impact on the study procedures and implementation. RN scope-of-practice varied by state and between institutions. Wisconsin has existing RN delegation protocols, allowing for more clinical autonomy among RNs than at institutions in New York and Utah. This required additional training and modification to the RN visit portion of the intervention at institutions, where RNs had a more limited scope of practice and could not function autonomously. For example, the New York sites were required to adopt a “co-visit” structure to ensure that providers could oversee RN visits. This created additional scheduling constraints and complexity, as well as an unanticipated burden for providers. Multimedia Appendix 1 shows the analysis of performance measurement pressure and the innovation construct.

Inner Setting

Within the construct of structural characteristics , work infrastructure served as a strong barrier to the intervention implementation as practices across institutions experienced staff changes, RN shortages and turnover, and competing responsibilities that all hindered their ability to effectively participate in the study. Notably, at practices with only 1 RN, implementation was negatively impacted as clinic participation was dependent on 1 individual, whereas at other practices, study responsibilities were distributed across multiple RNs. Within the culture construct, a norm of limited deliverer centeredness , related to the prioritization of the needs and desires of RNs, served as a barrier to the implementation of this RN-focused intervention. As patient ( recipient centeredness ) and provider preferences were prioritized over RN activities, the innovation activities that would have been performed by the RNs were overridden. For example, to ensure patient autonomy, if a patient preferred to see a provider, they were not scheduled for an RN visit even if they were eligible. Similarly, at most institutions (except those with more RN autonomy), RNs tended to defer to providers in terms of preference and final decisions. Therefore, if the provider preferred seeing a patient themselves, the patient, even if eligible for an RN visit, would not be seen by an RN.

Overall, relational connections , specifically the RN-provider dynamic, negatively affected implementation. RNs in the study did not always have open bidirectional communication with providers, thus limiting the self-efficacy of RNs to explain or justify intervention-related activities. As observed within the culture construct, many practices had limited deliverer centeredness , typically deferring to providers to make final decisions, and therefore RNs were hesitant to push these boundaries or make decisions that were contrary to a provider’s preferences. In particular, some sites mentioned some practices having poor relationships among practice staff, even requiring team-building training in some instances. On the other hand, this was less of a barrier at practices, where RNs had more clinical autonomy or had developed stronger relationships within the practice.

Communications culture within practices served as a barrier to effectively implementing aspects of the study; for example, some practices did not have a culture of communicating with patients prior to visits in the form of triage or lacked formalized documentation as information was often conveyed informally (eg, verbal, secure chat message, and free-text note). In some practices, a strong communication system between RNs (ie, a chat channel used by most RNs) served as a facilitator to innovation implementation by allowing RNs to support and answer each other’s questions.

The intervention’s compatibility , or lack thereof, with existing workflows was a strong barrier to implementation, as the necessary intervention-specific workflow adaptions required great effort on the part of the practice if not already in place (eg, front desk forwarding eligible patients for triage, RNs performing triage after appointments had been scheduled, and filling out EHR note templates as opposed to free text). As the new study workflow required changes to the status quo, tension for change also served as a barrier since practices perceived little anticipated benefit from the study as compared to the difficulty of change. Relatedly, relative priority of the intervention was a strong barrier as competing clinical responsibilities and the voluntary nature of the study meant staff would not prioritize study-related tasks.

Overall, there was a lack of incentive systems in place related to study activities, which hindered RN participation. While gift card incentives for RNs performing triage were used, these tended to incentivize the same RNs already using the tools as opposed to encouraging new RNs to participate. Additionally, at institutions where RNs were unable to bill for visits and did not receive any other recognition for their efforts, this lack of incentives was a strong barrier to participation. One institution was able to reduce the influence of this barrier by providing incentives to RNs through continuing education credits, an employee recognition fund, and paid time for training.

Multimedia Appendix 1 presents the analyses of physical infrastructure, IT infrastructure, access to knowledge and information, available resources, learning-centeredness, and mission alignment.

Individuals: Characteristics Subdomain

Both capability and motivation were barriers to implementation. As these tools were new to many of the participating RNs, they were less confident in their skills and required continuous feedback, training, and support. In addition, RNs were not motivated to participate in the study largely due to competing priorities, lack of a strong incentive, and COVID-19–related stress and burnout. Opportunity was also a strong barrier, as RNs did not have many opportunities to use the innovation tools. Conflicting responsibilities, staff shortages, workflow barriers, patient volume, and patient eligibility were observed as contributors to this barrier.

Multimedia Appendix 1 shows the analyses of roles subdomain constructs high-level leaders, mid-level leaders, opinion leaders, innovation deliverers, innovation recipients, implementation facilitators, implementation leaders, and implementation team members. Multimedia Appendix 1 shows the analyses of the implementation process domain constructs assessing context and assessing needs, innovation deliverers, doing, planning and tailoring strategies, teaming, engaging the innovation deliverers, reflecting and evaluating, and adapting.

Principal Findings

This case study identified numerous barriers to the successful implementation of iCPR3, an RN-driven antibiotic stewardship intervention. Many of the identified barriers are consistent with those observed in other interventions that sought to alter nursing responsibilities and workflows within primary care [ 35 , 36 ]. The most impactful barriers were noted within the outer setting, and these conditions were observed to influence the inner setting constructs. The effects of COVID-19 served as an overarching barrier that impacted nearly all implementation constructs, shifting the culture and conditions at many participating practices as well as decreasing the capacity of practices to engage in activities perceived as nonessential. These barriers, however, were less prevalent within clinics that had previously established workflows with patient care within the RN role description. Takeaways from this study can be applied to support integration and improve uptake during the implementation of other RN delegation protocols involving CDS tools into existing workflows.

Policies impacting innovation deliverers’ (RNs) clinical autonomy at both the state and institutional levels need to be considered when developing RN delegation protocols as they can impact implementation depending on compatibility with existing workflows. As a multisite study with implementation spanning 3 states, the differing state regulatory laws and institutional policies dictating RN scope-of-practice had a substantial impact on the compatibility of the iCPR3 implementation at each site. This was evident in the higher rate of RN visits occurring in practices in Wisconsin compared to New York. At the Wisconsin study site, there were established delegation protocols for RNs to see patients with minimal provider supervision. In contrast, for the 2 New York study sites, a more complex “covisit” design was developed, which involved joint scheduling of the iCPR3 RN visit followed immediately by a visit for the provider to see the patient and confirm the RN plan of care. The addition of a provider visit component increased the intervention’s dependency on already limited provider availability, thus inhibiting the ability to schedule the iCPR3 RN visits even when a patient was appropriate and willing and an RN was available to conduct the visit. As observed in other RN delegation protocols, considerations for local regulations must be made when assessing the viability of implementing these types of interventions [ 36 ].

Consideration of practice-level culture and work infrastructure is also essential for the successful implementation of an intervention that includes RN delegation protocols. This implementation study revealed impactful differences in existing workflow expectations that affected RN capability and intervention complexity. One unexpected barrier was the influence of practice personnel who were part of the local workflow but were not directly involved in the implementation of the iCPR tools. For example, at one institution, successful implementation of the intervention was reliant on administrative staff to forward patients reporting cough and sore throat to participating RNs for triage. Implementation planning with greater efforts to clarify practice-level workflows, identifying potential stakeholders early on, and engaging these personnel who ultimately support the innovation deliverers can support a successful implementation.

Similarly, when delegating provider tasks to RNs, it is important to secure provider buy-in early on in the implementation process, even with a seemingly RN-focused intervention. Consistent with previous research demonstrating the importance of RN-provider relationships in job satisfaction [ 37 ], this study showed that power dynamics between providers and RNs can serve as a barrier to RN intervention engagement. With a culture of deference to providers, many RNs did not want to overstep these boundaries and would not engage with the intervention if there was any perceived resistance from practice providers. Barriers experienced due to this power structure were further compounded when poor relations existed between RNs and providers. Furthermore, as seen in other clinical academic partnerships, future implementation efforts would benefit from more active engagement of leadership at all levels [ 38 ].

Future clinical delegation interventions may also need to consider alternate care mechanisms to account for unexpected shifts in clinic workflows. Due to the timing of the implementation, one of the largest observed barriers to implementation was the COVID-19 pandemic, which amplified nearly all other barriers and created additional unique challenges. As an intervention specifically designed for in-person care, the shift toward telemedicine driven by the pandemic [ 39 ] had a particularly negative impact on implementation. One study institution piloted a program to divert all patients with URI to telemedicine visits with a centrally employed nurse practitioner, which bypassed all potential points of intervention for the iCPR study. Further diverting potentially eligible patients away from primary care practices was the increased popularity of urgent care centers [ 40 ], which served as an expedient solution for patients with URI seeking to avoid long wait times at many primary care practices. Incorporating alternate care mechanisms to provide agility in the intervention may support the success of study implementation. Similarly, integrating CDS tools with existing EHR tools and templates can help minimize changes in workflow, thereby allowing interventions to be resilient in the face of unforeseen events.

As observed in this case study, the pandemic also directly impacted practice staff and their ability to participate in activities beyond the essential, including research. Practices across all study institutions experienced nursing staff shortages due to RNs themselves being sick, covering for others who are sick, or leaving the practice altogether, thus resulting in a redistribution of responsibilities. An increased workload, along with outside stressors, led to increased reported stress and burnout among practice staff [ 41 ], making it difficult for them to view the study as a daily priority. The voluntary nature of the study and these conflicting responsibilities greatly reduced the opportunity for RNs to use the innovation and participate fully. This was particularly evident in practices that required greater workflow modifications. Practices with existing expectations of note documentation and template use facilitated implementation; however, in other practices, the lack of RN familiarity with these EHR functions required the creation of additional training and workflow modification efforts, as well as a greater perceived effort burden on the part of RNs.

Future implementation should consider the value of face-to-face communication in encouraging engagement and team building during the implementation process [ 42 ]. In addition to its impact at the institutional and practice level, the effects of COVID-19 hindered the implementation process itself, especially early in the planning phase by limiting in-person interactions and creating communication barriers [ 43 ]. With nearly all communication occurring remotely, interactions to collect practice workflow information and engage stakeholders were perceived as less efficient, requiring additional follow-up meetings and hindering the development of relationships of the study team with leadership and innovation deliverers. When in-person practice visits by the research team became feasible, an improvement in practice responsiveness and innovation uptake was observed [ 42 ].

This study had several limitations. First, the use of an emailed in-depth interview hindered the study team’s ability to probe respondents for further information at the moment, potentially limiting the collection of further details that may have impacted the interpretation of interview responses. However, the emailed format increased the feasibility of conducting a long interview and created an opportunity for study sites to compile perspectives from multiple team members, thus improving the richness of information provided. Second, the reported barriers and facilitators were self-reported and not directly observed and are therefore based on the perceptions of the study site research teams. Similarly, as the data collection was primarily retrospective, it may be subject to recall bias. We attempted to mitigate this by conducting semistructured interviews during the implementation process. Finally, this analysis was performed prior to the completion of implementation at all sites and analysis of the primary intervention effectiveness outcomes. Therefore, it was not possible to link perceived implementation constructs to intervention outcome measures, and additional implementation construct influences may have been missed.

Conclusions

Both between and within health care systems, significant variability exists in workflows for patient intake and triage. Even in a relatively straightforward clinical workflow, seemingly nuanced workflow and culture differences appreciably impacted successful intervention adoption. Barriers to intervention adoption existed within multiple constructs and domains. When implementing a system-wide clinical care intervention, stakeholders should consider the variability in workflow policy and culture at the health system, practice, and individual levels, as well as create accommodations for changing care patterns.

Acknowledgments

This work was funded by NIAID 5R01AI108680 (PI Mann). Generative AI was not used in the writing of this manuscript.

Data Availability

The data sets used and analyzed during this study contain personally identifiable information and are therefore not made publicly available. Data are available from the corresponding author upon reasonable request.

Authors' Contributions

ERS wrote the original draft and contributed to conceptualization, methodology, data collection, and analysis; LX contributed to writing the original draft, methodology, data collection, and analysis; JK contributed to writing the original draft, methodology, data collection, and analysis; ST contributed to data collection and project administration; NH contributed to data collection and writing editing; DF contributed to data collection and writing editing; EJK contributed to data collection and writing editing; RH contributed to data collection and writing editing; KLD-D contributed to data collection and writing editing; PDS contributed to data collection and writing editing; WH contributed to data collection and writing editing; PG-G contributed to data collection and writing editing; DAF contributed to the conceptualization, funding acquisition, and writing editing; DMM contributed to the conceptualization, funding acquisition, and writing editing. All authors reviewed and approved the final manuscript draft.

Conflicts of Interest

None declared.

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Abbreviations

Edited by A Mavragani; submitted 30.11.23; peer-reviewed by R Hillard; comments to author 21.02.24; revised version received 13.03.24; accepted 15.03.24; published 23.05.24.

©Elizabeth R Stevens, Lynn Xu, JaeEun Kwon, Sumaiya Tasneem, Natalie Henning, Dawn Feldthouse, Eun Ji Kim, Rachel Hess, Katherine L Dauber-Decker, Paul D Smith, Wendy Halm, Pranisha Gautam-Goyal, David A Feldstein, Devin M Mann. Originally published in JMIR Formative Research (https://formative.jmir.org), 23.05.2024.

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