is a case study a qualitative research

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

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

Research question

• Conceptual framework
• Conceptual vs. theoretical framework

Data collection

• Qualitative research methods
• Focus groups
• Observational research

What is a case study?

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

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

Case studies

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

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

Definition of a case study

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

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

Characteristics of case studies

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

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

The role of case studies in research

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

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

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

What is the purpose of a case study?

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

Why use case studies in qualitative research?

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

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

The explanatory, exploratory, and descriptive roles of case studies

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

The impact of case studies on knowledge development

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

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

Types of case studies

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

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

Exploratory case studies

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

Descriptive case studies

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

Explanatory case studies

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

Intrinsic, instrumental, and collective case studies

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

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

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

Critical information systems research

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

Health research

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

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

Asthma research studies

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

Other fields

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

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

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

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

Propositions

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

Units of analysis

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

Argumentation

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

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

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

Defining the research question

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

Selecting and defining the case

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

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

Developing a detailed case study protocol

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

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

Collecting data

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

Analyzing and interpreting data

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

Writing the case study report

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

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

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

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

Observations

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

Documents and artifacts

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

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

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

Ensuring the quality of data collection

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

Data analysis

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

Organizing the data

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

Categorizing and coding the data

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

Identifying patterns and themes

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

Interpreting the data

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

Verification of the data

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

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

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

Benefits include the following:

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

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

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

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

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Case Study – Methods, Examples and Guide

Table of Contents

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

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

Types of Case Study

Types and Methods of Case Study are as follows:

Single-Case Study

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

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

Multiple-Case Study

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

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

Exploratory Case Study

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

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

Descriptive Case Study

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

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

Instrumental Case Study

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

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

Case Study Data Collection Methods

Here are some common data collection methods for case studies:

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

Observations

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

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

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

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

How to conduct Case Study Research

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

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

Examples of Case Study

Here are some examples of case study research:

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

Application of Case Study

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

Business and Management

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

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

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

Social Sciences

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

Law and Ethics

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

Purpose of Case Study

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

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

Case studies can also serve other purposes, including:

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

Advantages of Case Study Research

There are several advantages of case study research, including:

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

Limitations of Case Study Research

There are several limitations of case study research, including:

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

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• Case Study | Definition, Examples & Methods

Case Study | Definition, Examples & Methods

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Research Writing and Analysis

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Writing a Case Study

What is a case study?

A Case study is: 

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

What are the different types of case studies?

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

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

Who are your case study participants?

What is triangulation ? 

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

How to write a Case Study?

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

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Chapter 8: Case study

Darshini Ayton

Learning outcomes

Upon completion of this chapter, you should be able to:

• Identify the key terms and concepts used in qualitative case study research.
• Discuss the advantages and disadvantages of qualitative case study research.

What is a case study?

The key concept in a case study is context .

In qualitative research, case studies provide in-depth accounts of events, relationships, experiences or processes. Stemming from the fields of evaluation, political science and law, the aim of a qualitative case study is to explore a phenomenon within the context of the case 1 and to answer how and why research questions. 2 The contextual conditions are relevant to the phenomenon under study and the contextual factors tend to lie with the case. 1 From the outset it is important (a) to determine who or what is your case – this can be a person, program, organisation or group, or a process – and (b) to articulate the phenomenon of interest.

An example of why context is important in understanding the phenomenon of interest is a study of health promotion action by local churches in Victoria, Australia. 3 The phenomenon under study was health promotion action, with 10 churches comprising the cases, which were mapped across the framework of health promotion approaches. 4 The contextual factors included church denomination (Baptist, Church of Christ, Uniting, Anglican, Catholic and Salvation Army), size (small, medium and large), location (rural and metropolitan), partnerships with external organisations (government, local schools and social welfare organisations) and theological orientation (traditional, modern or postmodern), to understand the phenomenon of health promotion action. Data collection took 12 months and involved interviews with 37 church leaders, 10 focus groups with volunteers, 17 instances of participant observation of church activities, including church services, youth events, food banks and community meals, and 12 documentary analyses of church websites, newsletters and annual reports. The case studies identified and illustrated how and why three different expressions of church – traditional, new modern and emerging – led to different levels and types of health promotion activities.

Three prominent qualitative case study methodologists, Robert Stake, Robert Yin and Sharan Merriams, have articulated different approaches to case studies and their underpinning philosophical and paradigmatic assumptions. Table 8 outlines these approaches, based on work by Yazan, 5 whose expanded table covers characteristics of case studies, data collection and analysis.

Table 8.1. Comparison of case study terms used by three key methodologists

Table 8.1 is derived from ‘Three Approaches to Case Study Methods in Education: Yin, Merriam, and Stake ‘  by Bedrettin Yazan,  licensed under CC BY-NC-SA 4.0. 5

There are several forms of qualitative case studies. 1,2

Discovery-led case studies, which:

• describe what is happening in the setting
• explore the key issues affecting people within the setting
• compare settings, to learn from the similarities and differences between them.

Theory-led case studies, which:

• explain the causes of events, processes or relationships within a setting
• illustrate how a particular theory applies to a real-life setting
• experiment with changes in the setting to test specific factors or variables.

Single and collective case studies, where: 2, 9

• the researcher wants to understand a unique phenomenon in detail– known as an intrinsic case study
• the researcher is seeking insight and understanding of a particular situation or phenomenon, known as an illustrative case study or instrumental case study.

In both intrinsic, instrumental and illustrative case studies, the exploration might take place within a single case. In contrast, a collective case study includes multiple individual cases, and the exploration occurs both within and between cases. Collective case studies may include comparative cases, whereby cases are sampled to provide points of comparison for either context or the phenomenon. Embedded case studies are increasingly common within multi-site, randomised controlled trials, where each of the study sites is considered a case.

Multiple forms of data collection and methods of analysis (e.g. thematic, content, framework and constant comparative analyses) can be employed, since case studies are characterised by the depth of knowledge they provide and their nuanced approaches to understanding phenomena within context. 2,5 This approach enables triangulation between data sources (interviews, focus groups, participant observations), researchers and theory. Refer to Chapter 19 for information about triangulation.

Advantages and disadvantages of qualitative case studies

Advantages of using a case study approach include the ability to explore the subtleties and intricacies of complex social situations, and the use of multiple data collection methods and data from multiple sources within the case, which enables rigour through triangulation. Collective case studies enable comparison and contrasting within and across cases.

However, it can be challenging to define the boundaries of the case and to gain appropriate access to the case for the ‘deep dive’ form of analysis. Participant observation, which is a common form of data collection, can lead to observer bias. Data collection can take a long time and may require lengthy times, resources and funding to conduct the study. 9

Table 8.2 provides an example of a single case study and of a collective case study.

Table 8.2. Examples of qualitative case studies

Qualitative case studies provide a study design with diverse methods to examine the contextual factors relevant to understanding the why and how of a phenomenon within a case. The design incorporates single case studies and collective cases, which can also be embedded within randomised controlled trials as a form of process evaluation.

• Creswell J, Hanson W, Clark Plano V et al.. Qualitative research designs: selection and implementation. Couns Psychol  2007;35(2):236-264. doi:10.1177/0011000006287390
• Crowe S, Cresswell K, Robertson A, et al. The case study approach. BMC Med Res Methodol . 2011;11:100. doi:10.1186/1471-2288-11-100
• Ayton D, Manderson L, Smith BJ et al. Health promotion in local churches in Victoria: an exploratory study. Health Soc Care Community . 2016;24(6):728-738. doi:10.1111/hsc.12258
• Keleher H, Murphy C. Understanding Health: A Determinants Approach . Oxford University Press; 2004.
• Yazan B. Three approaches to case study methods in education: Yin, Merriam, and Stake. The Qualitative Report . 2015;20(2):134-152. doi:10.46743/2160-3715/2015.2102
• Stake RE. The A rt of C ase S tudy R esearch . SAGE Publications; 1995.
• Yin RK. Case S tudy R esearch: Design and M ethods . SAGE Publications; 2002.
• Merriam SB. Qualitative R esearch and C ase S tudy A pplications in E ducation . Jossey-Boss; 1998.
• Kekeya J. Qualitative case study research design: the commonalities and differences between collective, intrinsic and instrumental case studies. Contemporary PNG Studies . 2021;36:28-37.
• Nayback-Beebe AM, Yoder LH. The lived experiences of a male survivor of intimate partner violence: a qualitative case study. Medsurg Nurs . 2012;21(2):89-95; quiz 96.
• Clack L, Zingg W, Saint S et al. Implementing infection prevention practices across European hospitals: an in-depth qualitative assessment. BMJ Qual Saf . 2018;27(10):771-780. doi:10.1136/bmjqs-2017-007675

Qualitative Research – a practical guide for health and social care researchers and practitioners Copyright © 2023 by Darshini Ayton is licensed under a Creative Commons Attribution-NonCommercial 4.0 International License , except where otherwise noted.

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

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

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

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

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

Definitions of qualitative case study research

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

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

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

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

Current methodological issues in qualitative case study research

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

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

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

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

Assessment of rigour

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

Framework for assessing quality in qualitative case study research.

Adapted from Stake ( 1995 , p. 131).

Study design

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

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

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

Search strategy

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

Outcomes of search of qualitative methods journals.

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

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

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

Case study methodology or method

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

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

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

Case study of something particular and case selection

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

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

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

Contextually bound case study

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

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

Article synopsis of case study research using Stake's tradition

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

Article synopsis of case study research using Yin's tradition

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

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

Researcher and case interactions and triangulation

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

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

Study design inconsistent with methodology

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

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

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

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

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

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

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

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

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

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

Limitations of the review

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

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

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

Conflict of interest and funding

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

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22 Case Study Research: In-Depth Understanding in Context

Helen Simons, School of Education, University of Southampton

• Published: 01 July 2014
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This chapter explores case study as a major approach to research and evaluation. After first noting various contexts in which case studies are commonly used, the chapter focuses on case study research directly Strengths and potential problematic issues are outlined and then key phases of the process. The chapter emphasizes how important it is to design the case, to collect and interpret data in ways that highlight the qualitative, to have an ethical practice that values multiple perspectives and political interests, and to report creatively to facilitate use in policy making and practice. Finally, it explores how to generalize from the single case. Concluding questions center on the need to think more imaginatively about design and the range of methods and forms of reporting requiredto persuade audiences to value qualitative ways of knowing in case study research.

Introduction

This chapter explores case study as a major approach to research and evaluation using primarily qualitative methods, as well as documentary sources, contemporaneous or historical. However, this is not the only way in which case study can be conceived. No one has a monopoly on the term. While sharing a focus on the singular in a particular context, case study has a wide variety of uses, not all associated with research. A case study, in common parlance, documents a particular situation or event in detail in a specific sociopolitical context. The particular can be a person, a classroom, an institution, a program, or a policy. Below I identify different ways in which case study is used before focusing on qualitative case study research in particular. However, first I wish to indicate how I came to advocate and practice this form of research. Origins, context, and opportunity often shape the research processes we endorse. It is helpful for the reader, I think, to know how I came to the perspective I hold.

The Beginnings

I first came to appreciate and enjoy the virtues of case study research when I entered the field of curriculum evaluation and research in the 1970s. The dominant research paradigm for educational research at that time was experimental or quasi- experimental, cost-benefit, or systems analysis, and the dominant curriculum model was aims and objectives ( House, 1993 ). The field was dominated, in effect, by a psychometric view of research in which quantitative methods were preeminent. But the innovative projects we were asked to evaluate (predominantly, but not exclusively, in the humanities) were not amenable to such methodologies. The projects were challenging to the status quo of institutions, involved people interpreting the policy and programs, were implemented differently in different contexts and regions, and had many unexpected effects.

We had no choice but to seek other ways to evaluate these complex programs, and case study was the methodology we found ourselves exploring, in order to understand how the projects were being implemented, why they had positive effects in some regions of the country and not others, and what the outcomes meant in different sociopolitical and cultural contexts. What better way to do this than to talk with people to see how they interpreted the “new” curriculum; to watch how teachers and students put it into practice; to document transactions, outcomes, and unexpected consequences; and to interpret all in the specific context of the case ( Simons, 1971 , 1987 , pp. 55–89). From this point on and in further studies, case study in educational research and evaluation came to be a major methodology for understanding complex educational and social programs. It also extended to other practice professions, such as nursing, health, and social care ( Zucker, 2001 ; Greenhalgh & Worrall, 1997 ; Shaw & Gould, 2001 ). For further details of the evolution of the case study approach and qualitative methodologies in evaluation, see House, 1993 , pp. 2–3; Greene, 2000 ; Simons, 2009 , pp. 14–18; Simons & McCormack, 2007 , pp. 292–311).

This was not exactly the beginning of case study, of course. It has a long history in many disciplines ( Simons, 1980; Ragin, 1992; Gomm, Hammersley, & Foster, 2004 ; Platt, 2007 ), many aspects of which form part of case study practice to this day. But its evolution in the context just described was a major move in the contemporary evolution of the logic of evaluative inquiry ( House, 1980 ). It also coincided with movement toward the qualitative in other disciplines, such as sociology and psychology. This was all part of what Denzin & Lincoln (1994) termed “a quiet methodological revolution” (p. ix) in qualitative inquiry that had been evolving over the course of forty years.

There is a further reason why I continue to advocate and practice case study research and evaluation to this day and that is my personal predilection for trying to understand and represent complexity, for puzzling through the ambiguities that exist in many contexts and programs and for presenting and negotiating different values and interests in fair and just ways.

Put more simply, I like interacting with people, listening to their stories, trials and tribulations—giving them a voice in understanding the contexts and projects with which they are involved, and finding ways to share these with a range of audiences. In other words, the move toward case study methodology described here suited my preference for how I learn.

Concepts and Purposes of Case Study

Before exploring case study as it has come to be established in educational research and evaluation over the past forty years, I wish to acknowledge other uses of case study. More often than not, these relate to purpose, and appropriately so in their different contexts, but many do not have a research intention. For a study to count as research, it would need to be a systematic investigation generating evidence that leads to “new” knowledge that is made public and open to scrutiny. There are many ways to conduct research stemming from different traditions and disciplines, but they all, in different ways, involve these characteristics.

Everyday Usage: Stories We Tell

The most common of these uses of case study is the everyday reference to a person, an anecdote or story illustrative of a particular incident, event, or experience of that person. It is often a short, reported account commonly seen in journalism but also in books exploring a phenomenon, such as recovery from serious accidents or tragedies, where the author chooses to illustrate the story or argument with a “lived” example. This is sometimes written by the author and sometimes by the person whose tale it is. “Let me share with you a story,” is a phrase frequently heard

The spirit behind this common usage and its power to connect can be seen in a report by Tim Adams of the London Olympics opening ceremony’s dramatization by Danny Boyle.

It was the point when we suddenly collectively wised up to the idea that what we are about to receive over the next two weeks was not only about “legacy collateral” and “targeted deliverables,” not about G4S failings and traffic lanes and branding opportunities, but about the second-by-second possibilities of human endeavour and spirit and communality, enacted in multiple places and all at the same time. Stories in other words. ( Adams, 2012 )

This was a collective story, of course, not an individual one, but it does convey some of the major characteristics of case study—that richness of detail, time, place, multiple happenings and experiences—that are also manifest in case study research, although carefully evidenced in the latter instance. We can see from this common usage how people have come to associate case study with story. I return to this thread in the reporting section.

Professions Individual Cases

In professional settings, in health and social care, case studies, often called case histories , are used to accurately record a person’s health or social care history and his or her current symptoms, experience, and treatment. These case histories include facts but also judgments and observations about the person’s reaction to situations or medication. Usually these are confidential. Not dissimilar is the detailed documentation of a case in law, often termed a case precedent when referred to in a court case to support an argument being made. However in law there is a difference in that such case precedents are publicly documented.

Case Studies in Teaching

Exemplars of practice.

In education, but also in health and social care training contexts, case studies have long been used as exemplars of practice. These are brief descriptions with some detail of a person or project’s experience in an area of practice. Though frequently reported accounts, they are based on a person’s experience and sometimes on previous research.

Case scenarios

Management studies are a further context in which case studies are often used. Here, the case is more like a scenario outlining a particular problem situation for the management student to resolve. These scenarios may be based on research but frequently are hypothetical situations used to raise issues for discussion and resolution. What distinguishes these case scenarios and the case exemplars in education from case study research is the intention to use them for teaching purposes.

Country Case Studies

Then there are case studies of programs, projects, and even countries, as in international development, where a whole-country study might be termed a case study or, in the context of the Organization for Economic Co-operation and Development (OECD), where an exploration is conducted of the state of the art of a subject, such as education or environmental science in one or several countries. This may be a contemporaneous study and/or what transpired in a program over a period of time. Such studies often do have a research base but frequently are reported accounts that do not detail the design, methodology, and analysis of the case, as a research case study would do, or report in ways that give readers a vicarious experience of what it was like to be there. Such case studies tend to be more knowledge and information-focused than experiential.

Case Study as History

Closer to a research context is case study as history—what transpired at a certain time in a certain place. This is likely to be supported by documentary evidence but not primary data gathering unless it is an oral history. In education, in the late 1970s, Stenhouse (1978) experimented with a case study archive. Using contemporaneous data gathering, primarily through interviewing, he envisaged this database, which he termed a “case record,” forming an archive from which different individuals,, at some later date, could write a “case study.” This approach uses case study as a documentary source to begin to generate a history of education, as the subtitle of Stenhouse’s 1978 paper indicates “Towards a contemporary history of education.”

Case Study Research

From here on, my focus is on case study research per se, adopting for this purpose the following definition:

Case study is an in-depth exploration from multiple perspectives of the complexity and uniqueness of a particular project, policy, institution or system in a “real-life” context. It is research based, inclusive of different methods and is evidence-led. ( Simons, 2009 , p. 21).

For further related definitions of case study, see Stake (1995) , Merriam (1998), and Chadderton & Torrance (2011) . And for definitions from a slightly different perspective, see Yin (2004) and Thomas (2011a) .

Not Defined by Method or Perspective

The inclusion of different methods in the definition quoted above definition signals that case study research is not defined by methodology or method. What defines case study is its singularity and the concept and boundary of the case. It is theoretically possible to conduct a case study using primarily quantitative data if this is the best way of providing evidence to inform the issues the case is exploring. It is equally possible to conduct case study that is mainly qualitative, to engage people with the experience of the case or to provide a rich portrayal of an event, project, or program.

Or one can design the case using mixed methods. This increases the options for learning from different ways of knowing and is sometimes preferred by stakeholders who believe it provides a firmer basis for informing policy. This is not necessarily the case but is beyond the scope of this chapter to explore. For further discussion of the complexities of mixing methods and the virtue of using qualitative methods and case study in a mixed method design, see Greene (2007) .

Case study research may also be conducted from different standpoints—realist, interpretivist, or constructivist, for example. My perspective falls within a constructivist, interpretivist framework. What interests me is how I and those in the case perceive and interpret what we find and how we construct or co-construct understandings of the case. This not only suits my predilection for how I see the world, but also my preferred phenomenological approach to interviewing and curiosity about people and how they act in social and professional life.

Qualitative Case Study Research

Qualitative case study research shares many characteristics with other forms of qualitative research, such as narrative, oral history, life history, ethnography, in-depth interview, and observational studies that utilize qualitative methods. However, its focus, purpose, and origins, in educational research at least, are a little different.

The focus is clearly the study of the singular. The purpose is to portray an in-depth view of the quality and complexity of social/educational programs or policies as they are implemented in specific sociopolitical contexts. What makes it qualitative is its emphasis on subjective ways of knowing, particularly the experiential, practical, and presentational rather than the propositional ( Heron, 1992 , 1999 ) to comprehend and communicate what transpired in the case.

Characteristic Features and Advantages

Case study research is not method dependent, as noted earlier, nor is it constrained by resources or time. Although it can be conducted over several years, which provides an opportunity to explore the process of change and explain how and why things happened, it can equally be carried out contemporaneously in a few days, weeks, or months. This flexibility is extremely useful in many contexts, particularly when a change in policy or unforeseen issues in the field require modifying the design.

Flexibility extends to reporting. The case can be written up in different lengths and forms to meet different audience needs and to maximize use (see the section on Reporting). Using the natural language of participants and familiar methods (like interview, observation, oral history) also enables participants to engage in the research process, thereby contributing significantly to the generation of knowledge of the case. As I have indicated elsewhere ( Simons, 2009 ), “This is both a political and epistemological point. It signals a potential shift in the power base of who controls knowledge and recognizes the importance of co-constructing perceived reality through the relationships and joint understandings we create in the field” (p. 23).

Possible Disadvantages

If one is an advocate, identifying advantages of a research approach is easier than pointing out its disadvantages, something detractors are quite keen to do anyway! But no approach is perfect, and here are some of the issues that often trouble people about case study research. The “sample of one” is an obvious issue that worries those convinced that only large samples can constitute valid research and especially if this is to inform policy. Understanding complexity in depth may not be a sufficient counterargument, and I suspect there is little point in trying to persuade otherwise For frequently, this perception is one of epistemological and methodological, if not ideological, preference.

However, there are some genuine concerns that many case researchers face: the difficulty of processing a mass of data; of “telling the truth” in contexts where people may be identifiable; personal involvement, when the researcher is the main instrument of data gathering; and writing reports that are data-based, yet readable in style and length. But one issue that concerns advocates and nonadvocates alike is how inferences are drawn from the single case.

Answers to some of these issues are covered in the sections that follow. Whether they convince may again be a question of preference. However, it is worth noting here that I do not think we should seek to justify these concerns in terms identified by other methodologies. Many of them are intrinsic to the nature and strength of qualitative case study research.

Subjectivity, for instance, both of participants and researcher is inevitable, as it is in many other qualitative methodologies. This is often the basis on which we act. Rather than see this as bias or something to counter, it is an intelligence that is essential to understanding and interpreting the experience of participants and stakeholders. Such subjectivity needs to be disciplined, of course, through procedures that examine both the validity of individuals’ representations of “their truth”, and demonstrate how the researcher took a reflexive approach to monitoring how his or her own values and predilections may have unduly influenced the data.

Types of Case Study

There are numerous types of case study, too many to categorize, I think, as there are overlaps between them. However, attempts have been made to do this and, for those who value typologies, I refer them to Bassey (1999) and, for a more extended typology, to Thomas (2011b) . A slightly different approach is taken by Gomm, Hammersley, and Foster (2004) in annotating the different emphases in major texts on case study. What I prefer to do here is to highlight a few familiar types to focus the discussion that follows on the practice of case study research.

Stake (1995) offers a threefold distinction that is helpful when it comes to practice, he says, because it influences the methods we choose to gather data (p. 4). He distinguishes between an intrinsic case study , one that is studied to learn about the particular case itself and an instrumental case study , in which we choose a case to gain insight into a particular issue (i.e., the case is instrumental to understanding something else; p. 3). The collective case study is what its name suggests: an extension of the instrumental to several cases.

Theory-led or theory-generated case study is similarly self-explanatory, the first starting from a specific theory that is tested through the case; the second constructing a theory through interpretation of data generated in the case. In other words, one ends rather than begins with a theory. In qualitative case study research, this is the more familiar route. The theory of the case becomes the argument or story you will tell.

Evaluation case study requires a slightly longer description as this is my context of practice, one which has influenced the way I conduct case study and what I choose to emphasize in this chapter. An evaluation case study has three essential features: to determine the value of the case, to include and balance different interests and values, and to report findings to a range of stakeholders in ways that they can use. The reasons for this may be found in the interlude that follows, which offers a brief characterization of the social and ethical practice of evaluation and why qualitative methods are so important in this practice.

Interlude: Social and Ethical Practice of Evaluation

Evaluation is a social practice that documents, portrays, and seeks to understand the value of a particular project, program, or policy. This can be determined by different evaluation methodologies, of course. But the value of qualitative case study is that it is possible to discern this value without decontextualizing the data. While the focus of the case is usually a project, program, policy, or some unit within, studies of key individuals, what I term case profiles , may be embedded within the overall case. In some instances, these profiles, or even shorter cameos of individuals, may be quite prominent. For it is through the perceptions, interpretations, and interactions of people that we learn how policies and programs are enacted ( Kushner, 2000 , p. 12). The program is still the main focus of analysis, but, in exploring how individuals play out their different roles in the program, we get closer to the actual experience and meaning of the program in practice.

Case study evaluation is often commissioned from an external source (government department or other agency) keen to know the worth of publicly funded programs and policies to inform future decision making. It needs to be responsive to issues or questions identified by stakeholders, who often have different values and interests in the expected outcomes and appreciate different perspectives of the program in action. The context also is often highly politicized, and interests can conflict. The task of the evaluator in such situations becomes one of including and balancing all interests and values in the program fairly and justly.

This is an inherently political process and requires an ethical practice that offers participants some protection over the personal data they give as part of the research and agreed audiences access to the findings, presented in ways they can understand. Negotiating what information becomes public can be quite difficult in singular settings where people are identifiable and intricate or problematic transactions have been documented. The consequences that ensue from making knowledge public that hitherto was private may be considerable for those in the case. It may also be difficult to portray some of the contextual detail that would enhance understanding for readers.

The ethical stance that underpins the case study research and evaluation I conduct stems from a theory of ethics that emphasizes the centrality of relationships in the specific context and the consequences for individuals, while remaining aware of the research imperative to publicly report. It is essentially an independent democratic process based on the concepts of fairness and justice, in which confidentiality, negotiation, and accessibility are key principles ( MacDonald, 1976 ; Simons, 2009 , pp. 96–111; and Simons 2010 ). The principles are translated into specific procedures to guide the collection, validation, and dissemination of data in the field. These include:

engaging participants and stakeholders in identifying issues to explore and sometimes also in interpreting the data;

documenting how different people interpret and value the program;

negotiating what data becomes public respecting both the individual’s “right to privacy” and the public’s “right to know”;

offering participants opportunities to check how their data are used in the context of reporting;

reporting in language and forms accessible to a wide range of audiences;

disseminating to audiences within and beyond the case.

For further discussion of the ethics of democratic case study evaluation and examples of their use in practice, see Simons (2000 , 2006 , 2009 , chapter 6, 2010 ).

Designing Case Study Research

Design issues in case study sometimes take second place to those of data gathering, the more exciting task perhaps in starting research. However, it is critical to consider the design at the outset, even if changes are required in practice due to the reality of what is encountered in the field. In this sense, the design of case study is emergent, rather than preordinate, shaped and reshaped as understanding of the significance of foreshadowed issues emerges and more are discovered.

Before entering the field, there are a myriad of planning issues to think about related to stakeholders, participants, and audiences. These include whose values matter, whether to engage them in data gathering and interpretation, the style of reporting appropriate for each, and the ethical guidelines that will underpin data collection and reporting. However, here I emphasize only three: the broad focus of the study, what the case is a case of, and framing questions/issues. These are steps often ignored in an enthusiasm to gather data, resulting in a case study that claims to be research but lacks the basic principles required for generation of valid, public knowledge.

Conceptualize the Topic

First, it is important that the topic of the research is conceptualized in a way that it can be researched (i.e., it is not too wide). This seems an obvious point to make, but failure to think through precisely what it is about your research topic you wish to investigate will have a knock-on effect on the framing of the case, data gathering, and interpretation and may lead, in some instances, to not gathering or analyzing data that actually informs the topic. Further conceptualization or reconceptualization may be necessary as the study proceeds, but it is critical to have a clear focus at the outset.

What Constitutes the Case

Second, I think it is important to decide what would constitute the case (i.e., what it is a case of) and where the boundaries of this lie. This often proves more difficult than first appears. And sometimes, partly because of the semifluid nature of the way the case evolves, it is only possible to finally establish what the case is a case of at the end. Nevertheless, it is useful to identify what the case and its boundaries are at the outset to help focus data collection while maintaining an awareness that these may shift. This is emergent design in action.

In deciding the boundary of the case, there are several factors to bear in mind. Is it bounded by an institution or a unit within an institution, by people within an institution, by region, or by project, program or policy,? If we take a school as an example, the case could be comprised of the principal, teachers, and students, or the boundary could be extended to the cleaners, the caretaker, the receptionist, people who often know a great deal about the subnorms and culture of the institution.

If the case is a policy or particular parameter of a policy, the considerations may be slightly different. People will still be paramount—those who generated the policy and those who implemented it—but there is likely also to be a political culture surrounding the policy that had an influence on the way the policy evolved. Would this be part of the case?

Whatever boundary is chosen, this may change in the course of conducting the study when issues arise that can only be understood by going to another level. What transpires in a classroom, for example, if this is the case, is often partly dependent on the support of the school leadership and culture of the institution and this, in turn, to some extent is dependent on what resources are allocated from the local education administration. Much like a series of Russian dolls, one context inside the other.

Unit of analysis

Thinking about what would constitute the unit of analysis— a classroom, an institution, a program, a region—may help in setting the boundaries of the case, and it will certainly help when it comes to analysis. But this is a slightly different issue from deciding what the case is a case of. Taking a health example, the case may be palliative care support, but the unit of analysis the palliative care ward or wards. If you took the palliative care ward as the unit of analysis this would be as much about how palliative care was exercised in this or that ward than issues about palliative care support in general. In other words, you would need to have specific information and context about how this ward was structured and managed to understand how palliative care was conducted in this particular ward. Here, as in the school example above, you would need to consider which of the many people who populate the ward form part of the case—nurses, interns, or doctors only, or does it extend to patients, cleaners, nurse aides, and medical students?

Framing Questions and Issues

The third most important consideration is how to frame the study, and you are likely to do this once you have selected the site or sites for study. There are at least four approaches. You could start with precise questions, foreshadowed issues ( Smith & Pohland, 1974 ), theories, or a program logic. To some extent, your choice will be dictated by the type of case you have chosen, but also by your personal preference for how to conduct it—in either a structured or open way.

Initial questions give structure; foreshadowed issues more freedom to explore. In qualitative case study, foreshadowed issues are more common, allowing scope for issues to change as the study evolves, guided by participants’ perspectives and events in the field. With this perspective, it is more likely that you will generate a theory of the case toward the end, through your interpretation and analysis.

If you are conducting an instrumental case study, staying close to the questions or foreshadowed issues is necessary to be sure you gain data that will illuminate the central focus of the study. This is critical if you are exploring issues across several cases, although it is possible to do a cross-case analysis from cases that have each followed a different route to discovering significant issues.

Opting to start with a theoretical framework provides a basis for formulating questions and issues, but it can also constrain the study to only those questions/issues that fit the framework. The same is true with using program logic to frame the case. This is an approach frequently adopted in evaluation case study where the evaluator, individually or with stakeholders, examines how the aims and objectives of the program relate to the activities designed to promote it and the outcomes and impacts expected. It provides direction, although it can lead to simply confirming what was anticipated, rather than documenting what transpired in the case.

Whichever approach you choose to frame the case, it is useful to think about the rationale or theory for each question and what methods would best enable you to gain an understanding of them. This will not only start a reflexive process of examining your choices—an important aspect of the process of data gathering and interpretation—it will also aid analysis and interpretation further down the track.

Methodology and Methods

Qualitative case study research, as already noted, appeals to subjective ways of knowing and to a primarily qualitative methodology, that captures experiential understanding ( Stake, 2010 , pp. 56–70). It follows that the main methods of data gathering to access this way of knowing will be qualitative. Interviewing, observation, and document analysis are the primary three, often supported by critical incidents, focus groups, cameos, vignettes, diaries/journals, and photographs. Before gathering any primary data, however, it is useful to search relevant existing sources (written or visual) to learn about the antecedents and context of a project, program, or policy as a backdrop to the case. This can sharpen framing questions, avoid unnecessary data gathering, and shorten the time needed in the field.

Given that there are excellent texts on qualitative methods (see, for example, Denzin & Lincoln, 1994 ; Seale, 1999 ; Silverman, 2000 , 2004 ), I will not discuss all potential relevant methods here, but simply focus on the qualities of the primary methods that are particularly appropriate for case study research.

Primary Qualitative Data Gathering Methods

Interviewing.

The most effective style of interviewing in qualitative case study research to gain in-depth data, document multiple perspectives and experiences and explore contested issues is the unstructured interview, active listening and open questioning are paramount, whatever prequestions or foreshadowed issues have been identified. This can include photographs—a useful starting point with certain cultural groups and the less articulate, to encourage them to tell their story through connecting or identifying with something in the image.

The flexibility of unstructured interviewing has three further advantages for understanding participants’ experiences. First, through questioning, probing, listening, and, above all, paying attention to the silences and what they mean, you can get closer to the meaning of participants’ experiences. It is not always what they say.

Second, unstructured interviewing is useful for engaging participants in the process of research. Instead of starting with questions and issues, invite participants to tell their stories or reflect on specific issues, to conduct their own self-evaluative interview, in fact. Not only will they contribute their particular perspective to the case, they will also learn about themselves, thereby making the process of research educative for them as well as for the audiences of the research.

Third, the open-endedness of this style of interviewing has the potential for creating a dialogue between participants and the researcher and between the researcher and the public, if enough of the dialogue is retained in the publication ( Bellah, Madsen, Sullivan, Swidler, & Tipton, 1985 ).

Observations

Observations in case study research are likely to be close-up descriptions of events, activities, and incidents that detail what happens in a particular context. They will record time, place, specific incidents, transactions, and dialogue, and note characteristics of the setting and of people in it without preconceived categories or judgment. No description is devoid of some judgment in selection, of course, but, on the whole, the intent is to describe the scene or event “as it is,” providing a rich, textured description to give readers a sense of what it was like to be there or provide a basis for later interpretation.

Take the following excerpt from a study of the West Bromwich Operatic Society. It is the first night of a new production, The Producers , by this amateur operatic society. This brief excerpt is from a much longer observation of the overture to the first evening’s performance, detailing exactly what the production is, where it is, and why there is such a tremendous sense of atmosphere and expectation surrounding the event. Space prevents including the whole observation, but I hope you can get a glimmer of the passion and excitement that precedes the performance:

Birmingham, late November, 2011, early evening.... Bars and restaurants spruce up for the evening’s trade. There is a chill in the air but the party season is just starting....

A few hundred yards away, past streaming traffic on Suffolk Street, Queensway, an audience is gathering at the New Alexandra Theatre. The foyer windows shine in the orange sodium night. Above each one is the rubric: WORLD CLASS THEATRE.

Inside the preparatory rituals are being observed; sweets chosen, interval drinks ordered and programmes bought. People swap news and titbits about the production.... The bubble of anticipation grows as the 5-minute warning sounds. People make their way to the auditorium. There have been so many nights like this in the past 110 years since a man named William Coutts invested £10,000 to build this palace of dreams.... So many fantasies have been played under this arch: melodramas and pantomimes, musicals and variety.... So many audiences, settling down in their tip-up seats, wanting to be transported away from work, from ordinariness and private troubles.... The dimming lights act like a mother’s hush. You could touch the silence. Boinnng! A spongy thump on a bass drum, and the horns pipe up that catchy, irrepressible, tasteless tune and already you’re singing under your breath, ‘Springtime for Hitler and Germany....’ The orchestra is out of sight in the pit. There’s just the velvet curtain to watch as your fingers tap along. What’s waiting behind? Then it starts it to move. Opening night.... It’s opening night! ( Matarasso, 2012 , pp. 1–2)

For another and different example—a narrative observation of an everyday but unique incident that details date, time, place, and experience—see Simons (2009 , p. 60).

Such naturalistic observations are also useful in contexts where we cannot understand what is going on through interviewing alone—in cultures with which we are less familiar or where key actors may not share our language or have difficulty expressing it. Careful description in these situations can help identify key issues, discover the norms and values that exist in the culture, and, if sufficiently detailed, allow others to cross corroborate what significance we draw from these observations. This last point is very important to avoid the danger in observation of ascribing motivations to people and meanings to transactions.

Finally, naturalistic observations are very important in highly politicized environments, often the case in commissioned evaluation case study, where individuals in interview may try to elude the “truth” or press on you that their view is the “right” view of the situation. In these contexts, naturalistic observations not only enable you to document interactions as you perceive them, but they also provide a cross-check on the veracity of information obtained in interviews.

Document analysis

Analysis of documents, as already intimated, is useful for establishing what historical antecedents might exist to provide a springboard for contemporaneous data gathering. In most cases, existing documents are also extremely pertinent for understanding the policy context.

In a national policy case study I conducted on a major curriculum change, the importance of preexisting documentation was brought home to me sharply when certain documentation initially proved elusive to obtain. It was difficult to believe that it did not exist, as the evolution of the innovation involved several parties who had not worked together before. There was bound, I thought, to be minuted meetings sharing progress and documentation of the “new” curriculum. In the absence of some crucial documents, I began to piece together the story through interviewing. Only there were gaps, and certain issues did not make sense.

It was only when I presented two versions of what I discerned had transpired in the development of this initiative in an interim report eighteen months into the study that things started to change. Subsequent to the meeting at which the report was presented, the “missing” documents started to appear. Suddenly found. What lay behind the “missing documents,” something I suspected from what certain individuals did and did not say in interview, was a major difference of view about how the innovation evolved, who was key in the process, and whose voice was more important in the context. Political differences, in other words, that some stakeholders were trying to keep from me. The emergence of the documents enabled me to finally produce an accurate and fair account.

This is an example of the importance of having access to all relevant documents relating to a program or policy in order to study it fairly. The other major way in which document analysis is useful in case study is for understanding the values, explicit and hidden, in policy and program documents and in the organization where the program or policy is implemented. Not to be ignored as documents are photographs, and these, too, can form the basis of a cultural and value analysis of an organization ( Prosser, 2000 ).

Creative artistic approaches

Increasingly, some case study researchers are employing creative approaches associated with the arts as a means of data gathering and analysis. Artistic approaches have often been used in representing findings, but less frequently in data gathering and interpretation ( Simons & McCormack, 2007 ). A major exception is the work of Richardson (1994) , who sees the very process of writing as an interpretative act, and of Cancienne and Snowber (2003) , who argue for movement as method.

The most familiar of these creative and artistic forms are written—narratives and short stories ( Clandinin & Connelly, 2000 ; Richardson, 1994 ; Sparkes, 2002 ), poems or poetic form ( Butler-Kisber, 2010 ; Duke, 2007 ; Richardson, 1997 ; Sparkes & Douglas, 2007 ), cameos of people, or vignettes of situations. These can be written by participants or by the researcher or developed in partnership. They can also be shared with participants to further interpret the data. But photographs also have a long history in qualitative research for presenting and constructing understanding ( Butler-Kisber, 2010 ; Collier, 1967 ; Prosser, 2000 ; Rugang, 2006 ; Walker, 1993 ).

Less common are other visual forms of gathering data, such as “draw and write” ( Sewell, 2011 ), artefacts, drawings, sketches, paintings, and collages, although all forms are now on the increase. For examples of the use of collage in data gathering, see Duke (2007) and Butler-Kisber (2010) , and for charcoal drawing, Elliott (2008) .

In qualitative inquiry broadly, these creative approaches are now quite common. And in the context of arts and health in particular (see, for example, Frank, 1997 ; Liamputtong & Rumbold, 2008 ; Spouse, 2000 ), we can see how artistic approaches illuminate in-depth understanding. However, in case study research to date, I think narrative forms have tended to be most prominent.

Finally, for capturing the quality and essence of peoples’ experience, nothing could be more revealing than a recording of their voices. Video diaries—self-evaluative portrayals by individuals of their perspectives, feelings, or experience of an event or situation—are a most potent way both of gaining understanding and communicating that to others. It is rather more difficult to gain access for observational videos, but they are useful for documentation and have the potential to engage participants and stakeholders in the interpretation.

Getting It All Together

Case study is so often associated with story or with a report of some event or program that it is easy to forget that much analysis and interpretation has gone on before we reach this point. In many case study reports, this process is hidden, leaving the reader with little evidence on which to assess the validity of the findings and having to trust the one who wrote the tale.

This section briefly outlines possibilities, first, for analyzing and interpreting data, and second, for how to communicate the findings to others. However it is useful to think of these together and indeed, at the start, because decisions about how you report may influence how you choose to make sense of the data. Your choice may also vary according to the context of the study—what is expected or acceptable—and your personal predilections, whether you prefer a more rational than intuitive mode of analysis, for example, or a formal or informal style of writing up that includes images, metaphor, narratives, or poetic forms.

Analyzing and Interpreting Data

When it comes to making sense of data, I make a distinction between analysis—a formal inductive process that seeks to explain—and interpretation, a more intuitive process that gains understanding and insight from a holistic grasp of data, although these may interact and overlap at different stages.

The process, whichever emphasis you choose, is one of reducing or transforming a large amount of data to themes that can encapsulate the overarching meaning in the data. This involves sorting, refining, and refocusing data until they make sense. It starts at the beginning with preliminary hunches, sometimes called “interpretative asides” or “working hypotheses,” later moving to themes, analytic propositions, or a theory of the case.

There are many ways to conduct this process. Two strategies often employed are concept mapping —a means of representing data visually to explore links between related concepts—and progressive focusing ( Parlett & Hamilton, 1976 ), the gradual reframing of initially identified issues into themes that are then further interpreted to generate findings. Each of these strategies tends to have three stages: initial sense making, identification of themes, and examination of patterns and relationships between them.

If taking a formal analytic approach to the task, the data would likely be broken down into segments or datasets (coded and categorized) and then reordered and explored for themes, patterns, and possible propositions. If adopting a more intuitive process, you might focus on identifying insights through metaphors and images, lateral thinking, or puzzling over paradoxes and ambiguities in the data, after first immersing yourself in the total dataset, reading and re-reading interview scripts, observations and field notes to get a sense of the whole. Trying out different forms of making sense through poetry, vignettes, cameos, narratives, collages, and drawing are further creative ways to interpret data, as are photographs taken in the case arranged to explain or tell the story of the case.

Reporting Case Study Research

Narrative structure and story.

As indicated in the introduction, telling a story is often associated with case study and some think this is what a case study is. In one sense, it is and, given that story is the natural way in which we learn ( Okri, 1997 ), it is a useful framework both for gathering data and for communicating case study findings. Not any story will do however. To count as research, it must be authentic, grounded in data, interpreted and analyzed to convey the meaning of the case.

There are several senses in which story is appropriate in qualitative case study: in capturing stories participants tell, in generating a narrative structure that makes sense of the case (i.e., the story you will tell), and in deciding how you communicate this narrative (i.e., in story form). If you choose a written story form (and advice here can be sought from Harrington (2003) and Caulley (2008) ), it needs to be clearly structured, well written, and contain only the detail that is necessary to give readers the vicarious experience of what it was like in the case. If the story is to be communicated in other ways, through, for example, audio or videotape, or computer or personal interaction, the same applies, substituting visual and interpersonal skill for written.

Matching forms of reporting to audience

The art of reporting is strongly connected to usability, so forms of reporting need to connect to the audiences we hope to inform: how they learn, what kind of evidence they value, and what kind of reporting maximizes the chances they will use the findings to promote policies and programs in the interests of beneficiaries. As Okri (1997) further reminds us, the writer only does half the work; the reader does the other (p. 41).

There may be other considerations as well: how open are commissioners to receiving stories of difficulties, as well as success stories? What might they need to hear beyond what is sought in the technical brief? And through what style of reporting would you try and persuade them? If conducting noncommissioned case study research, the scope for different forms of reporting is wider. In academia, for instance, many institutions these days accept creative and artistic forms of reporting when supported by supervisors and appreciated by examiners.

Styles of Reporting

The most obvious form of reporting is linear, often starting with a short executive summary and a brief description of focus and context, followed by methodology, the case study or thematic analysis, findings, and conclusions or implications. Conclusion-led reporting is similar in terms of its formality, but simply starts the other way around. From the conclusions drawn from the analyzed data, it works backward to tell the story through narrative, verbatim, and observational data of how these conclusions were reached. Both have a strong story line. The intent is analytic and explanatory.

Quite a different approach is to engage the reader in the experience and veracity of the case. Rather like constructing a portrait or editing a documentary film, this involves the sifting, constructing, re-ordering of frames, events and episodes to tell a coherent story primarily through interview excerpts, observations, vignettes, and critical incidents that depict what transpired in the case. Interpretation is indirect through the weaving of the data. The story can start at any point provided the underlying narrative structure is maintained to establish coherence ( House, 1980 , p. 116).

Different again, and from the other end of a continuum, is a highly interpretative account that may use similar ways of presenting data but weaves a story from the outset that is highly interpretative. Engaging metaphor, images, short stories, contradictions, paradoxes, and puzzles, it is invariably interesting to read and can be most persuasive. However, the evidence is less visible and therefore less open to alternative interpretations.

Even more persuasive is a case study that uses artistic forms to communicate the story of the case. Paintings, poetic form, drawings, photography, collage, and movement can all be adopted to report findings, whether the data was acquired using these forms or by other means. The arts-based inquiry movement ( Mullen & Finley, 2003 ) has contributed hugely to the validation and legitimation of artistic and creative ways of representing qualitative research findings. The journal Qualitative Inquiry contains many good examples, but see also Liamputtong & Rumbold (2008) . Such artistic forms of representation may not be for everyone or appropriate in some contexts, but they do have the power to engage an audience and the potential to facilitate use.

Generalization in Case Study Research

One of the potential limitations of case study often proposed is that it is impossible to generalize. This is not so. However, the way in which one generalizes from a case is different from that adopted in traditional forms of social science research that utilize large samples (randomly selected) and statistical procedures and which assume regularities in the social world that allow cause and effect to be determined. In this form of research inferences from data are stated as formal propositions that apply to all in the target population. See Donmoyer (1990) for an argument on the restricted nature of this form of generalization when considering single-case studies.

Making inferences from cases with a qualitative data set arises more from a process of interpretation in context, appealing to tacit and situated understanding for acceptance of their validity. Such inferences are possible where the context and experience of the case is richly described so the reader can recognize and connect with the events and experiences portrayed. There are two ways to examine how to reach these generalized understandings. One is to generalize from the case to other cases of a similar or dissimilar nature. The other is to see what we learn in-depth from the uniqueness of the single case itself.

Generalizing from the Single Case

A common approach to generalization and one most akin to a propositional form is cross-case generalization. In a collective or multi-site case study, each case is explored to see if issues that arise in one case also exist in other cases and what interconnecting themes there are between them. This kind of generalization has a degree of abstraction and potential for theorizing and is often welcomed by commissioners of research concerned that findings from the single case do not provide an adequate or “safe” basis for policy determination.

However, there are four additional ways to generalize from the single case, all of which draw more on tacit knowledge and recognition of context, although in different ways. In naturalistic generalization , first proposed by Stake (1978) , generalization is reached on the basis of recognition of similarities and differences to cases with which we are familiar. To enable such recognition, the case needs to feature rich description; people’s voices; and enough detail of time, place, and context to provide a vicarious experience to help readers discern what is similar and dissimilar to their own context ( Stake, 1978 ).

Situated generalization ( Simons, Kushner, Jones, & James, 2003 ) is close to the concept of naturalistic generalization in relying for its generality on retaining a connectedness with the context in which it first evolved. However, it has an extra dimension in a practice context. This notion of generalization was identified in an evaluation of a research project that engaged teachers in and with research. Here, in addition to the usual validity criteria to establish the warrant for the findings, the generalization was seen as dependable if trust existed between those who conducted the research (teachers, in this example) and those thinking about using it (other teachers). In other words, beyond the technical validity of the research, teachers considered using the findings in their own practice because they had confidence in those who generated them. This is a useful way to think about generalization if we wish research findings to improve professional practice.

The next two concepts of generalization— concept and process generalization —relate more to what you discover in making sense of the case. As you interpret and analyze, you begin to generate a theory of the case that makes sense of the whole. Concepts may be identified that make sense in the one case but have equal significance in other cases of a similar kind, even if the contexts are different.

It is the concept that generalizes, not the specific content or context. This may be similar to the process Donmoyer (2008) identifies of “intellectual generalization” (quoted by Butler-Kisber, 2010 , p. 15) to indicate the cognitive understanding one can gain from qualitative accounts even if settings are quite different.

The same is true for generalization of a process. It is possible to identify a significant process in one case (or several cases) that is transferable to other contexts, irrespective of the precise content and contexts of those other cases. An example here is the collaborative model for sustainable school self-evaluation I identified in researching school self-evaluation in a number of schools and countries ( Simons, 2002 ). Schools that successfully sustained school self-evaluation had an infrastructure that was collaborative at all stages of the evaluation process from design to conduct of the study, to analyzing the results and to reporting the findings. This ensured that the whole school was involved and that results were discussed and built into the ongoing development of school policies and practice. In other cases, different processes may be discovered that have applicability in a range of contexts. As with concept generalization, it is the process that generalizes not the substantive content or specific context.

Particularization

The forms of generalization discussed above are useful when we have to justify case study in a research or policy context. But the overarching justification for how we learn from case study is particularization —a rich portrayal of insights and understandings interpreted in the particular context. Several authors have made this point ( Stake, 1995 ; Flyvberg, 2006 ; Simons 2009 ). Stake puts it most sharply when he observes that “The real business of case study is particularization, not generalization” (p. 8), referring here to the main reason for studying the singular, which is to understand the uniqueness of the case itself.

My perspective (explored further in Simons, 1996 ; Simons, 2009 , p. 239; Simons & McCormack, 2007 ) is similar in that I believe the “real” strength of case study lies in the insights we gain from in-depth study of the particular. But I also argue for the universality of such insights—if we get it “right.” By which I mean that if we are able to capture and report the uniqueness, the essence, of the case in all its particularity and present this in a way we can all recognize, we will discover something of universal significance. This is something of a paradox. The more you learn in depth about the particularity of one person, situation, or context, the more likely you are to discover something universal. This process of reaching understanding has support both from the way in which many discoveries are made in science and in how we learn from artists, poets, and novelists, who reach us by communicating a recognizable truth about individuals, human relationships, and/or social contexts.

This concept of particularization is far from new, as the quotation from a preface to a book written in 1908 attests. Stephen Reynolds, the author of A Poor Man’s House , notes that the substance of the book was first recorded in a journal, kept for purposes of fiction, and in letters to one of his friends, but fiction proved an inappropriate medium. He felt that the life and the people were so much better than anything he could invent. The book therefore consists of the journal and letters drawn together to present a picture of a typical poor man’s house and life, much as we might draw together a range of data to present a case study. It is not the substance of the book that concerns us here but the methodological relevance to case study research. Reynolds notes that the conclusions expressed are tentative and possibly go beyond this man’s life, so he thought some explanation of the way he arrived at them was needed:

Educated people usually deal with the poor man’s life deductively; they reason from the general to the particular; and, starting with a theory, religious, philanthropic, political, or what not, they seek, and too easily find, among the millions of poor, specimens—very frequently abnormal—to illustrate their theories. With anything but human beings, that is an excellent method. Human beings, unfortunately, have individualities. They do what, theoretically, they ought not to do, and leave undone those things they ought to do. They are even said to possess souls—untrustworthy things beyond the reach of sociologists. The inductive method—reasoning from the particular to the general... should at least help to counterbalance the psychological superficiality of the deductive method. ( Reynolds, 1908 : preface) 1

Slightly overstated perhaps, but the point is well made. In our search for general laws, we not only lose sight of the uniqueness and humanity of individuals, but reduce them in the process, failing to present their experience in any “real” sense. What is astonishing about the quotation is that it was written over a century ago and yet many still argue today that you cannot generalize from the particular.

Going even further back, in 1798, Blake proclaimed that “To Generalize is to be an Idiot. To Particularize is the Alone Distinction of Merit.” In research, we may not wish to make such a strong distinction: these processes both have their uses in different kinds of research. But there is a major point here for the study of the particular that Wilson (2008) notes in commenting on Blake’s perception when he says: “Favouring the abstract over the concrete, one ‘sees all things only thro’ the narrow chinks of his cavern”’ (referring here to Blake’s The Marriage of Heaven and Hell [1793]; in Wilson, 2008 , p. 62). The danger Wilson is pointing to here is that abstraction relies heavily on what we know from our past understanding of things, and this may prevent us experiencing a concrete event directly or “apprehend[ing] a particular moment” ( Wilson, 2008 , p. 63).

Blake had a different mission, of course, than case researchers, and he was not himself free from abstractions, as Wilson points out, although he fought hard “to break through mental barriers to something unique and living” ( Wilson, 2008 , p. 65). It is this search for the “unique and living” and experiencing the “isness” of the particular that we should take from the Blake example to remind ourselves of the possibility of discovering something “new,” beyond our current understanding of the way things are.

Focusing on particularization does not diminish the usefulness of case study research for policy makers or practitioners. Grounded in recognizable experience, the potential is there to reach a range of audiences and to facilitate use of the findings. It may be more difficult for those who seek formal generalizations that seem to offer a safe basis for policy making to accept case study reports. However, particular stories often hold the key to why policies have or have not worked well in the past. It is not necessary to present long cases—a criticism frequently levelled—to demonstrate the story of the case. Such case stories can be most insightful for policy makers who, like many of us in everyday life, often draw inferences from a single instance or case, whatever the formal evidence presented. “I am reminded of the story of....”

The case for studying the particular to inform practice in professional contexts needs less persuasion because practitioners can recognize the content and context quite readily and make the inference to their own particular context ( Simons et al., 2003 ). In both sets of circumstances—policy and practice—it is more a question of whether the readers of our case research accept the validity of findings determined in this way, how they choose to learn, and our skill in telling the case study story.

Conclusion and Future Directions

In this chapter, I have presented an argument for case study research, making the case, in particular, for using qualitative methods to highlight what it is that qualitative case study research can bring to the study of social and educational programs. I outlined the various ways in which case study is commonly used before focusing directly on case study as a major mode of research inquiry, noting characteristics it shares with other qualitative methodologies, as well as itsdifference and the difficulties it is sometimes perceived to have. The chapter emphasizes the importance of thinking through what the case is, to be sure that the issues explored and the data generated do illuminate this case and not any other.

But there is still more to be done. In particular, I think we need to be more adventurous in how we craft and report the case. I suspect we may have been too cautious in the past in how we justified case study research, borrowing concepts from other disciplines and forms of educational research. More than 40 years on, it is time to take a greater risk—in demonstrating the intrinsic nature of case study and what it can offer to our understanding of human and social situations.

I have already drawn attention to the need to design the case, although this could be developed further to accentuate the uniqueness of the particular case. One way to do this is to feature individuals more in the design itself, not only to explore programs and policies through perspectives of key actors or groups and transactions between them, which to some extent happens already, but also to get them to characterize what makes the context unique. This is the reversal of many a design framework that starts with the logic of a program and takes forward the argument for personal evaluation ( Kushner, 2000 ), noted in the interlude on evaluation. Apart from this attention to design, there are three other issues I think we need to explore further: the warrant for creative methods in case study, more imaginative reporting; and how we learn from a study of the singular.

Warrant for More Creative Methods in Case Study Research

The promise that creative methods have for eliciting in-depth understanding and capturing the unusual, the idiosyncratic, the uniqueness of the case, was mentioned in the methods section. Yet, in case study research, particularly in program and policy contexts, we have few good examples of the use of artistic approaches for eliciting and interpreting data, although more, as acknowledged later, for presenting it. This may be because case study research is often conducted in academic or policy environments, where propositional ways of knowing are more valued.

Using creative and artistic forms in generating and interpreting case study data offers a form of evidence that acknowledges experiential understanding in illuminating the uniqueness of the case. The question is how to establish the warrant for this way of knowing and persuade others of its virtue. The answer is simple. By demonstrating the use of these methods in action, by arguing for a different form of validity that matches the intrinsic nature of the method, and, above all, by good examples.

Representing Findings to Engage Audiences in Learning

In evaluative and research policy contexts, where case study is often the main mode of inquiry or part of a broader study, case study reports often take a formal structure or sometimes, where the context is receptive, a portrayal or interpretative form. But, too often, the qualitative is an add-on to a story told by other means or reduced to issues in which the people who gave rise to the data are no longer seen. However, there are many ways to put them center stage.

Tell good stories and tell them well. Or, let key actors tell their own stories. Explore the different ways technology can help. Make video clips that demonstrate events in context, illustrate interactions between people, give voice to participants—show the reality of the program, in other words. Use graphics to summarize key issues and interactive, cartoon technology, as seen on some TED presentations, to summarize and visually show the complexity of the case. Video diaries were mentioned in the methods section: seeing individuals tell their tales directly is a powerful way of communicating, unhindered by “our” sense making. Tell photo stories. Let the photos convey the narrative, but make sure the structure of the narrative is evident to ensure coherence. These are just the beginnings. Those skilled in information technology could no doubt stretch our imagination further.

One problem and a further question concerns our audiences. Will they accept these modes of communication? Maybe not, in some contexts. However, there are three points I wish to leave you with. First, do not presume that they won’t. If people are fully present in the story and the complexity is not diminished, those reading, watching, or hearing about the case will get the message. If you are worried about how commissioners might respond, remember that they are no different from any other stakeholder or participant when it comes to how they learn from human experience. Witness the reference to Okri (1997) earlier about how we learn.

Second, when you detect that the context requires a more formal presentation of findings, respond according to expectation but also include elements of other forms of presentation. Nudge a little in the direction of creativity. Third, simply take a chance, that risk I spoke about earlier. Challenge the status quo. Find situations and contexts where you can fully represent the qualitative nature of the experience in the cases you study with creative forms of interpretation and representation. And let the audience decide.

Learning from a Study of the Singular

Finally, to return to the issue of “generalization” in case study that worries some audiences. I pointed out in the generalization section several ways in which it is possible to generalize from case study research, not in a formal propositional sense or from a case to a population, but by retaining a connection with the context in which the generalization first arose—that is, to realize in-depth understanding in context in different circumstances and situations. However, I also emphasized that, in many instances, it is particularization from which we learn. That is the point of the singular case study, and it is an art to perceive and craft the case in ways that we can.

Acknowledgments

Parts of this chapter build on ideas first explored in Simons, 2009 .

I am grateful to Bob Williams for pointing out the relevance of this quotation from Reynolds to remind us that “there is nothing new under the sun” and that we sometimes continue to engage endlessly in debates that have been well rehearsed before.

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Designing and Conducting Case Studies

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

Definition and Overview

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

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

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

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

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

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

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

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

Educational Applications

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

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

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

Types and Design Concerns

Researchers use multiple methods and approaches to conduct case studies.

Types of Case Studies

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

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

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

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

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

Identifying a Theoretical Perspective

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

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

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

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

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

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

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

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

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

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

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

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

Designing a Case Study

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

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

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

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

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

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

Conducting Case Studies

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

Method: Single or Multi-modal?

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

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

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

Participant Selection

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

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

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

Data Collection

There are six types of data collected in case studies:

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

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

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

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

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

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

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

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

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

Data Analysis

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

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

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

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

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

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

Composing the Case Study Report

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

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

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

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

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

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

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

Issues of Validity and Reliability

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

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

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

Commentary on Case Studies

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

Strengths and Weaknesses of Case Studies

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

Flexibility

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

Emphasis on Context

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

Inherent Subjectivity

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

High Investment

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

Ethical Considerations

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

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

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

Concerns about Reliability, Validity, and Generalizability

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

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

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

Annotated Bibliography

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

No abstract available.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

This article provides tips for writing more effective case studies.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Related Links

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

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

Becker, Bronwyn, Patrick Dawson, Karen Devine, Carla Hannum, Steve Hill, Jon Leydens, Debbie Matuskevich, Carol Traver, & Mike Palmquist. (2005). Case Studies. Writing@CSU . Colorado State University. https://writing.colostate.edu/guides/guide.cfm?guideid=60

Qualitative study design: Case Studies

• Qualitative study design
• Phenomenology
• Grounded theory
• Ethnography
• Narrative inquiry
• Action research

Case Studies

• Field research
• Focus groups
• Observation
• Surveys & questionnaires
• Study Designs Home

In depth description of the experience of a single person, a family, a group, a community or an organisation.

An example of a qualitative case study is a life history which is the story of one specific person.  A case study may be done to highlight a specific issue by telling a story of one person or one group. 

• Oral recording

Ability to explore and describe, in depth, an issue or event. 

Develop an understanding of health, illness and health care in context. 

Single case can be used to develop or disprove a theory. 

Can be used as a model or prototype .  

Limitations

Labour intensive and generates large diverse data sets which can be hard to manage. 

Case studies are seen by many as a weak methodology because they only look at one person or one specific group and aren’t as broad in their participant selection as other methodologies. 

Example questions

This methodology can be used to ask questions about a specific drug or treatment and its effects on an individual.

• Does thalidomide cause birth defects?
• Does exposure to a pesticide lead to cancer?

Example studies

• Choi, T. S. T., Walker, K. Z., & Palermo, C. (2018). Diabetes management in a foreign land: A case study on Chinese Australians. Health & Social Care in the Community, 26(2), e225-e232. 
• Reade, I., Rodgers, W., & Spriggs, K. (2008). New Ideas for High Performance Coaches: A Case Study of Knowledge Transfer in Sport Science.  International Journal of Sports Science & Coaching , 3(3), 335-354. 
• Wingrove, K., Barbour, L., & Palermo, C. (2017). Exploring nutrition capacity in Australia's charitable food sector.  Nutrition & Dietetics , 74(5), 495-501. 
• Green, J., & Thorogood, N. (2018). Qualitative methods for health research (4th ed.). London: SAGE. 
• University of Missouri-St. Louis. Qualitative Research Designs. Retrieved from http://www.umsl.edu/~lindquists/qualdsgn.html   
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• Next: Field research >>
• Last Updated: Apr 8, 2024 11:12 AM
• URL: https://deakin.libguides.com/qualitative-study-designs

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Peer-reviewed

Research Article

Professional regulation in the digital era: A qualitative case study of three professions in Ontario, Canada

Roles Conceptualization, Formal analysis, Funding acquisition, Methodology, Project administration, Supervision, Writing – original draft, Writing – review & editing

* E-mail: [email protected]

Affiliation Faculty of Health Disciplines, Athabasca University, Athabasca, Alberta, Canada

Roles Data curation, Formal analysis, Writing – original draft, Writing – review & editing

Affiliations Faculty of Health Disciplines, Athabasca University, Athabasca, Alberta, Canada, School of Sociological and Anthropological Studies, University of Ottawa, Ottawa, Ontario, Canada

Roles Data curation, Formal analysis, Writing – review & editing

Roles Formal analysis, Writing – original draft, Writing – review & editing

Affiliation Faculty of Nursing, University of Alberta, Edmonton, Alberta, Canada

Roles Validation, Writing – review & editing

Affiliation School of Nursing, University of Northern British Columbia, Prince George, British Columbia, Canada

Roles Conceptualization, Visualization, Writing – review & editing

Affiliation Faculty of Nursing, University of Toronto, Toronto, Ontario, Canada

Roles Conceptualization, Formal analysis, Validation, Writing – review & editing

Affiliation Department of Sociology, Western University, London, Ontario, Canada

• Kathleen Leslie, 
• Sophia Myles, 
• Abeer A. Alraja, 
• Patrick Chiu, 
• Catharine J. Schiller, 
• Sioban Nelson, 
• Tracey L. Adams

• Published: May 10, 2024
• https://doi.org/10.1371/journal.pone.0303192
• Reader Comments

Technology is transforming service delivery and practice in many regulated professions, altering required skills, scopes of practice, and the organization of professional work. Professional regulators face considerable pressure to facilitate technology-enabled work while adapting to digital changes in their practices and procedures. However, our understanding of how regulators are responding to technology-driven risks and the impact of technology on regulatory policy is limited. To examine the impact of technology and digitalization on regulation, we conducted an exploratory case study of the regulatory bodies for nursing, law, and social work in Ontario, Canada. Data were collected over two phases. First, we collected documents from the regulators’ websites and regulatory consortiums. Second, we conducted key informant interviews with two representatives from each regulator. Data were thematically analyzed to explore the impact of technological change on regulatory activities and policies and to compare how regulatory structure and field shape this impact. Five themes were identified in our analysis: balancing efficiency potential with risks of certain technological advances; the potential for improving regulation through data analytics; considering how to regulate a technologically competent workforce; recalibrating pandemic emergency measures involving technology; and contemplating the future of technology on regulatory policy and practice. Regulators face ongoing challenges with providing equity-based approaches to regulating virtual practice, ensuring practitioners are technologically competent, and leveraging regulatory data to inform decision-making. Policymakers and regulators across Canada and internationally should prioritize risk-balanced policies, guidelines, and practice standards to support professional practice in the digital era.

Citation: Leslie K, Myles S, Alraja AA, Chiu P, Schiller CJ, Nelson S, et al. (2024) Professional regulation in the digital era: A qualitative case study of three professions in Ontario, Canada. PLoS ONE 19(5): e0303192. https://doi.org/10.1371/journal.pone.0303192

Editor: Sascha Köpke, University Hospital Cologne: Uniklinik Koln, GERMANY

Received: December 15, 2023; Accepted: April 20, 2024; Published: May 10, 2024

Copyright: © 2024 Leslie et al. This is an open access article distributed under the terms of the Creative Commons Attribution License , which permits unrestricted use, distribution, and reproduction in any medium, provided the original author and source are credited.

Data Availability: The minimum data needed to replicate the study are within the paper and its Supporting information files. However, the raw interview transcripts cannot be made publicly available for ethical reasons because they may contain identifiable or sensitive data. Excerpts from interviews are presented in the paper and additional excerpts can be made available upon reasonable request to the Athabasca University Research Ethics Board (email: [email protected] , phone: 780.213.2033).

Funding: This project was funded by an Insight Development Grant (File # 430-2021-00407) from the Social Sciences and Humanities Research Council of Canada (Principal Investigator KL). The funder had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript. Funder URL: https://www.sshrc-crsh.gc.ca/ .

Competing interests: The authors have declared that no competing interests exist.

Introduction

Technology is rapidly transforming service delivery across regulated professions, altering required skills, scopes of practice, and the organization of professional work [ 1 – 5 ]. Regulatory bodies that govern these professions are under immense pressure to adapt their practices and procedures to facilitate technology-enabled work, while also upholding their mandate to protect the public interest. This urgency has been magnified by the COVID-19 pandemic, which expedited the shift towards virtual practice [ 6 – 8 ] and the scrutiny of professionals’ social media behaviour [ 9 , 10 ]. Regulators must evolve alongside technological advancements to mitigate emerging risks and ensure that new technologies do not negatively impact professional practice or services provided to the public.

Research exploring the impact of digitalization, artificial intelligence (AI), and other technological changes on professional work is emerging [ 11 – 15 ]. This literature has explored the interplay between traditional professional practice and digital innovation [ 16 , 17 ], the organizational changes induced by digital development [ 13 , 15 , 18 , 19 ], and the emerging digital competencies required by professionals [ 20 , 21 ]. Our previous research has also identified challenges that accompany the expansion of virtual practice, including uncertainty about professional standards, breaches of privacy law and other legal requirements, and concerns about equity and professional ethics [ 6 , 22 , 23 ]. Furthermore, while AI technology has the potential to deliver more efficient and data-driven professional services, the associated risks are just beginning to be explored [ 24 , 25 ]. Notably, the burgeoning use of AI raises issues around privacy, equity, and the integrity of professional practice, all of which have implications for professional regulators. Already there are cases where regulators have needed to respond to the inappropriate use of AI in professional practice [ 26 ]. Technology with the potential to profoundly affect professional practice calls for regulatory practices that are responsive to the changing sociotechnical landscape, including the associated risks, inequities, and uncertainties.

Despite emerging research on digitalization’s impact on professional work, our understanding of how regulatory bodies are responding to technology-driven risks and opportunities remains limited. Responses to these challenges have varied, with some regulators imposing a duty of technological competence [ 27 ], while others have refrained from setting formal tech-centric standards. Standards for virtual practice also vary significantly between regulators, even for the same profession [ 6 ]. In addition to how regulators are working to support registrants in the digital era, regulators may be adopting technology to improve their own regulatory practices. To varying extents, professional regulators are digitizing processes related to registration, complaints management, continuing competence, and discipline. However, the way that professional regulators may be using technology to enhance their own work has received little research attention.

This research aims to address these research gaps by examining how regulatory practices and policies are evolving in response to digitalization, and how regulators can support professionals through significant workplace changes while upholding the public interest. Building on our team’s recent work, including a knowledge synthesis of existing academic and grey literature [ 22 , 23 ] and a review of regulatory guidance around virtual care [ 6 ], this study provides foundational insights into the challenges and opportunities of regulating in a digital era. Understanding these challenges and opportunities can inform professional regulators across various sectors and jurisdictions and guide the development of risk-appropriate policies, guidelines, and standards for modern professional regulation.

We aimed to examine the impact of technology and digitalization on three regulatory bodies in Ontario, Canada through a qualitative comparative case study approach. Our specific objectives were to:

• Explore approaches and policies that these regulators have enacted to address the challenges and opportunities presented by the digital era;
• Describe the effects of technological change on regulatory activities at these regulatory bodies; and
• Compare the regulatory responses to technological change across these regulators.

Our study was guided by Yin’s [ 28 ] structured approach to exploratory case study research, which is well suited to understanding new or less studied areas where the researcher has little or no control over the phenomenon of interest. Case study designs in professional regulatory research can produce comprehensive analyses for examining regulatory reforms and innovations [ 29 ]. In this study, we compared how three professional regulators in Ontario, Canada approached regulating in the public interest in the digital era.

Participants

Participating regulators were the Ontario College of Social Workers and Social Service Workers (OCSW), the Law Society of Ontario (LSO), and the College of Nurses of Ontario (CNO). As an exploratory case study, we sought a variety of professional sectors; law, nursing, and social work offered a diversity of regulatory and professional contexts. These three regulators are each under separate legislative frameworks but share the common context of a single jurisdiction of Ontario. Further, the nature of the professional work being regulated is different, and we expected that technology may be impacting these different work contexts in unique ways. In this way, we could distinguish between issues specific to each regulatory body and cross-cutting themes present across the professional, legislative, and workforce factors that vary between them. Our selection of these three regulatory bodies was thus aimed at achieving what Flyvbjerg [ 30 ] called maximum variation in case study research and is appropriate for exploratory work that can be built upon by examining other professions in more jurisdictions in future projects. A brief description of these regulatory bodies is provided in Table 1 .

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https://doi.org/10.1371/journal.pone.0303192.t001

Data collection

We conducted data collection over two phases. The first phase involved gathering publicly available documents relevant to our research objectives and the second phase involved semi-structured interviews. We started with documents to gain a foundational understanding of how technology intersected with regulatory policy and practice for these three professions, and our interviews provided further insight and contextualization to deepen our understanding.

In the first phase, we identified relevant documents by searching regulators’ websites. We conducted our initial searches between May 2022 and September 2022, reviewing documents back to 2015. The date of 2015 was chosen to capture pre-COVID responses while being feasible given our research funding timeline. We also anticipated limited applicability and availability of older regulatory documents given the rapid change of technology in the past decade. The search was updated in January 2023.

We searched each regulator’s website for keywords based on concepts that fit with our research objectives (e.g., digital, tele*, virtual, tech*) and then specific documents were reviewed in full, including minutes from council meetings, regulatory publications for registrants and the public such as newsletters, and strategic plans. We reviewed each retrieved document for references to other regulatory documents, webpages, or resources that were directly relevant to the impact of technology on the regulator’s policies or practices. In this iterative way, we retrieved regulatory updates and news releases; frequently-asked-questions; policies and policy briefs; council briefing reports and minutes; and practice statements, standards, directives, guidance, and guidelines. We identified 34 documents (nine from the CNO, 15 from the LSO, and ten from the OCSW; see S1 File ) that met our inclusion criteria of relating to our research objectives and being published between 2015 and 2022. Document information was organized in a spreadsheet and copies of all included documents were saved as PDFs to keep a record in case websites changed during analysis. These documents allowed us to identify pivotal milestones and policies related to regulatory responses to technology that were used to inform the development of our interview guide. All documents were publicly available.

In the second phase, we emailed the executive director or registrar from each of the three regulators to explain the study and request an interview with individuals familiar with the regulator’s response to technology and relevant policies and practices. Each executive director agreed to an interview and designated two individuals (total n = 6) from their regulatory body to participate and with whom the research team communicated directly by email. Our sampling strategy was purposive and required study participants to have knowledge about the impact of technology on regulatory practice and policy at their organization, appropriate for our case study research design.

We developed a semi-structured interview guide and shared this with our participants prior to the interview (see S2 File ). The semi-structured interview guide was developed collaboratively by the research team based on our previous research in the field, our recent scoping review on a similar topic, and our preliminary analysis of the Phase 1 documents. The first author (KL, she/her) is an early career researcher with experience conducting qualitative interviews in regulatory research who was supported by senior career qualitative researchers (TLA, SN). Interviews were conducted between 1 January 2023 and 31 March 2023 by the first author (KL), and at least one other research team member attended and took detailed notes (TLA, AA, SM). At the beginning of each interview, the first author (KL) provided participants with background information and reiterated the study purpose and objectives. Interviews were conducted by videoconference software (Microsoft Teams) and lasted approximately 60 minutes. Each interview was recorded and transcribed verbatim.

Data analysis

Following data collection, we analyzed all data (documents, interview transcripts, and field notes) using thematic data analysis [ 31 , 32 ]. In this flexible but rigourous approach to data analysis, the researchers play a key role in knowledge production through prolonged engagement with the data [ 32 ]. Three research team members (KL, AA, SM) independently read all documents, transcripts, and field notes to develop a coding framework, using the categories and concepts from the documents and semi-structured interview guide as a basis. Two research team members (KL, PC) with experience in qualitative data analysis and regulatory research then coded all transcripts independently by hand using colour-coded highlighting. KL and PC collaborated throughout regular discussions to develop themes. Extracts from transcripts were brought together for each theme as it was developed, and information from the documents was used to augment and triangulate these findings. As results were developed for each regulator, we compared and contrasted findings across the cases to identify themes and develop rich descriptions. Finally, we returned to the original transcripts and audio recordings to ensure the identified themes and selected quotes accurately reflected the data. We also identified documentary data from Phase 1 that could be included to support the findings and add context, depth, and breadth to the interview data. Findings were regularly reviewed and refined with the research team throughout the analysis.

Trustworthiness

To ensure the credibility of our findings, we used a multifaceted approach. Data collection and analysis were carried out in a systematic way, including extensive engagement with the transcripts and generating a careful audit trail. Using multiple data sources provides enhanced validity with our findings supported by more than one source of evidence [ 28 , 33 ]. We met regularly as a research team to discuss and verify our analysis; we included thick descriptions of our findings and verbatim quotes to support each theme. The diversity of our team, which includes research and clinical backgrounds in professional regulation, political science, nursing, law, and sociology, provided a range of analytical perspectives to aid in interpreting results. We followed the Consolidated Criteria for Reporting Qualitative Research (COREQ) [ 34 ] to guide the transparent reporting of our methods and findings (see S3 File ).

Ethical considerations

The Athabasca University Research Ethics Board approved the study (File #24794). Each regulatory body contacted agreed to participate and informed written consent was obtained from all interview participants. No one withdrew their participation and only participants and research team members were present during the interviews. The study posed minimal risk to participants as they provided information in their professional capacity and no personal information was collected. To protect participant confidentiality, quotes in the findings are attributed to the regulatory bodies and the professions they represent without using names or position titles. As each regulator represents a single case, we have not differentiated between participants representing the same regulator.

While some research team members are members of the profession of participating regulators, they do not have established relationships with interviewees (prior to study commencement or since study completion), and interviewees were aware of the principal investigator’s (KL) background as a registered nurse and lawyer.

We identified five themes in our analysis of the interview and document data: 1) balancing efficiency potential with risks of certain technological advances; 2) the potential for improving regulation through data analytics; 3) considering how to regulate a technologically competent workforce; 4) recalibrating pandemic emergency measures involving technology; and 5) contemplating the future of technology on regulatory policy and practice. Descriptions of these themes, along with illustrative regulatory responses and quotes, are provided in Table 2 . We also review these themes in detail below, providing context from regulatory documents and quotes from interview transcripts. Quotations have been very lightly edited for grammar.

https://doi.org/10.1371/journal.pone.0303192.t002

Theme 1: Balancing efficiency potential with risks of technological advances

Participants recognized that technological advances may enable regulators to work more efficiently; however, they believed the risks associated with new technologies necessitated a cautious approach. This caution meant that many changes were incorporated slowly, and participants emphasized that even seemingly simple changes, such as online registration processes, were being approached carefully. A participant from the LSO noted that “historically, we’ve been very paper-based, so people would fill out paper applications and they would mail those into us” but the pandemic “accelerated changes that were being considered prior to that, and certainly desired prior to that, and so the application process has moved online.” Similarly, a participant from OCSW described their desire to move away from printing out physical certificates for all registrants, noting “we’re hoping we can transition out of it because it’s a very manual, expensive process that we do across the board for everyone.” However, the potential efficiency gain of digital certificates also came with risk, with the participant noting “then technology comes into play, because how do we ensure that it’s not fraudulent? … There’s always the ability to tamper with it” (OCSW).

Participants also discussed the importance of carefully considering the contexts in which technology should be used to facilitate regulatory operations. Participants from all three regulatory bodies discussed opportunities to automate tasks to free up staff and to improve their response times to registrants, especially for low-risk activities. For example, inquiries related to registration renewals are often straightforward and may not require human interaction. Participants from the CNO and OCSW discussed how technology can create opportunities for registrants to better engage with regulatory bodies and increase the accessibility of standards and guidelines at the point of care.

At the same time, all participants emphasized the need to consider the full context of each situation to assess the appropriate use of technology. One commonality between regulators was the recognition that not everything should be digitalized because regulation also involves a relational component. This requirement for human interaction is especially relevant when dealing with registrants and the public in higher-stakes situations (e.g., investigations and discipline processes). A participant from OCSW noted that technological interactions were appropriate for the “benign stuff” such as registration renewals, but that “there is a balance and if a regulator wants to be sort of relevant, they have to ensure that they are meeting that sort of human need.” A participant from the LSO responded similarly:

I think , probably the answer is that where processes that don’t really require a human touch , so for instance , handing an application in–we can eliminate the human touch there and move those types of things increasingly online . But I think maintaining those sorts of areas where having someone to talk to where you’re having an ethical issue , having a CPD program that you can attend that speaks specifically to your practice area and there are other colleagues there as well , those types of things . I think , that’s probably–to my mind at least–where the balance is . You beef up those areas where [human interaction] is important , and you try to gain those efficiencies in areas where perhaps it’s not so important that you do something in person ( LSO )

Participants’ responses highlighted the value regulators place on using a risk-based approach to carefully assess the suitability and feasibility of integrating technology into regulatory processes: “I think increasingly, as we try to move into new areas with technology, that ensuring that we’re approaching things from a risk-based perspective is very important” (LSO).

The potential of technology to improve efficiency was valued by participants who noted the complexity and resource-intensity of regulatory processes were increasing; however, the risk-adverse nature of regulation meant currently these gains have not yet been fully realized as participants focused more on the potential efficiency gains, should risks be appropriately managed.

Theme 2: The potential for improving regulation through data analytics

In addition to potential efficiency gains, participants highlighted where data could be leveraged to guide decision-making and potentially improve regulatory processes and outcomes. Similar to the cautious approach regulators were taking to the incorporation of new technologies more generally, the discussion of data analytics focused primarily on potential, rather than realized, benefits.

Participants from the CNO discussed the development of a new Insights Engine [ 35 ] that focused on data analytics but was in the very early stages of being used. This new system is meant to provide “more real-time data” that would allow the regulator to “specifically tag pieces of information…where they are coming from, from whom, and that informs how we also develop resources for members” (CNO). A CNO participant noted that the regulator had “lots and lots of data inputs” but these were “not accessible in a way that is as meaningful as we would like them to be in order to drive…our projects or the things that we need to improve or change.” The CNO participant described this as important not only to inform decision-making but to “prioritize our projects, where we kind of put our resources and our people, kind of focus our work so I think that will make us more efficient.”

A participant from the OCSW also noted a change in their current data systems that could, in the future, support data analytics for decision-making:

We’re changing over from our current legacy software into a new CRM [customer relationship management system] this year…we are hoping [the new CRM] will be able to mine the data in that way and be able to identify trends . So even when we’re looking at complaints , registrants , investigations or even something simple like [continuing competence program] completion rates . We have a pretty high completion rate , but let’s say we do have a situation where we have lower completion rates , we can look to see if there are certain regions that have individuals that are not participating as much or things like that . Currently , we can’t do that as simply , but in a future state , we’d want to . So , we have the questions we want to ask . ( OCSW )

In addition to regulators’ plans to use data analytics to improve regulation, we also heard that regulators were using existing data to identify practitioners at risk. As a participant from the LSO noted, “I think we always use data that’s available to us to sort of assess risk and try to get ahead of things and understand where problems exist”. For example, existing data have “clearly shown for many years that the sole practitioners are at the highest risk of being the subject of complaints” and “the causes of this are usually skills-related, not knowledge of the law” (LSO). Using this data, the regulator developed a new competence framework to support the implementation of a practice essentials course to support sole practitioners; at the time of our data collection, this was almost ready to be rolled out.

Theme 3: Considering how to regulate a technologically competent workforce

Beyond considering how to incorporate technology to improve regulatory operations, participants also discussed how to support and regulate their registrants in an increasingly digitalized world. Participants from all three regulatory bodies discussed the factors that have influenced their regulatory approaches as technology changes how their registrants practiced. Participants discussed the importance of assessing the most appropriate level of regulation to balance their mandate of protecting the public while ensuring that they do not create barriers in practice. This is sometimes termed right touch or risk-based regulation.

One key consideration was the legislative framework under which regulatory bodies operate and how this impacted regulators’ ability to respond nimbly. A participant from the LSO described their broad bylaw-making power under the Law Society Act and the way it allowed the regulator “quite a bit of flexibility…[to] be fairly nimble when we need to be…basically to allow access to justice to continue when no one could meet in person” during the pandemic. For example, the LSO facilitated emergency Orders in Council to allow virtual execution and witnessing of wills [ 36 ] provided legislative interpretation regarding virtual client identification [ 37 ], and guided registrants about requirements for virtual notarizing and commissioning [ 38 ].

Other factors influencing regulators’ decision-making included their existing strategies for modernizing standards and the influence of collaborative work between regulators. Participants from the CNO highlighted pre-pandemic work that was done in collaboration with other regulators to develop guidelines and competencies for compassion in the digital healthcare age. This work informed their ongoing reforms for technology-enabled practice and virtual care as the regulator worked to modernize practice standards [ 39 ].

Similarly, a participant from the LSO spoke about the influence of the Federation of Law Societies of Canada on discussions around technological competence. In 2019, this Federation added commentary to the duty of competency in its Model Code of Professional Conduct; this commentary required lawyers to have an understanding of and ability to use technology relevant to the nature and area of the lawyer’s practice and responsibility [ 40 ]. The commentary further required that lawyers understand the risks and benefits associated with relevant technology. Different legal regulators across Canada began to adopt this duty of technological competence, and the LSO adopted it in 2022. As one LSO participant described:

In general , we try and stay fairly close to [the model code] , certainly with the basics , because , you know , that’s what a national model code is supposed to do . And in this one , we were actually slow to adopt it because we had a technological taskforce…And then we also had a competence taskforce—the competence taskforce was intended to look at if our competence standards and programs were suitable for the next 20 years…the tech competence requirement was part of that report…So that was the impetus for this particular change to our rules . ( LSO )

An important element of this commentary to the competence rule is that legal professionals must understand technology relevant to their area of practice. One participant from the LSO discussed the importance of this approach given the nuances in different law practice areas. This participant noted that the regulator was not assessing technological competence because “depending on practice area, it’s often not entirely clear how we would assess it anyway” since some areas of legal practice required uses of very specific technologies (e.g., the Ontario Teranet system to transfer title in real estate law) “whereas there are other areas of law where, in theory at least, you could probably still get by with a typewriter and dictaphone” (LSO).

In contrast to the LSO’s specific inclusion of technology in its commentary to the duty of competence, the OCSW and CNO described how their current standards were broad enough to generally cover technological competence. The Council of the OCSW specifically decided not to adopt the model technology guidelines for social work published by the Association of Social Work Boards in 2015 [ 41 ], opting “instead to produce resources to help support members in their practice and to apply those standards to technology or any other issue” (OCSW). One participant from the OCSW described how this decision was made:

I think one of the convincing reasons for that was the current edition of our standards of practice refers to diskettes , which is such a great example of why you don’t want standards of practice to be too specific , because they’ll be out of date before the ink dries , I guess . And so I think that has been the approach that our college has taken—that technology competence and technology really doesn’t warrant its own standalone standard because it applies to other standards such as record keeping boundaries , competence and integrity , and confidentiality . ( OCSW )

Despite differences in approaches to technological competence, participants from all three regulatory bodies spoke about their role in supporting their registrants’ professional practice by developing guidance around technology and virtual practice. In deciding what practice resources were needed, regulators responded based on registrant inquiries and the level of perceived risk. For example, a participant from the LSO discussed how they use inquiries from their practice management helpline to inform their continuing professional development offerings and regulatory resources.

Participants from the OCSW discussed how they encourage registrants to identify learning needs associated with technology when completing their continuing professional development program. Our review of OCSW newsletters showed ongoing encouragement of members to review resources on topics such as using communication technology in practice, selecting online platforms for virtual services, and practice standard considerations for navigating COVID-19 [ 42 – 46 ]. Participants from the OCSW also highlighted measures they took to ensure social workers from other Canadian jurisdictions were registered with OCSW before providing virtual services to clients in Ontario. This enabled the regulator to address issues related to professional conduct since “we can’t minimize the risks involved in electronic practice—they’re huge…so it is probably extra important that those people be registered in Ontario” (OCSW).

In developing practice support and guidance, participants discussed whether they had a role in providing guidance on specific technologies. There were differences in perspectives between regulators. For example, participants from the CNO discussed that it was not within their mandate to endorse or provide guidance on specific technologies:

Questions about which [technology platform] I should be using—we don’t regulate that , right ? We don’t say one thing is better than the other . We don’t endorse certain products . So that also becomes a challenge as well , what do we tell them in order to assess what is appropriate ? It goes back to your accountabilities . Does it meet those standards that you’re obligated to follow in order to assess whether this application or technology is appropriate and is safe for you to use ? ( CNO )

Participants from the LSO spoke about their technology resource centre [ 47 ] that provided guidance on selecting technology for practice, technology use, data protection, cybersecurity, cloud computing, and working remotely. While this was a departure from the level of guidance provided historically, this participant felt it was necessary to guide legal professionals on what was required to meet the standard of professional competence.

We’ve also tried to sort of help people along , in terms of what was created at the Technology Resource Centre…that was sort of a bit of a departure for us , because we got into really looking at specific products and…even suggesting to people that these are products that you can use in certain areas to help facilitate your practice . And traditionally , that hadn’t been our approach . Our approach was much more of satisfy yourself—go out there and see what’s out there kind of approach . So , we’ve tried to help nudge people in the right direction and give them a better idea of what we mean by technological competence . But that has certainly been a challenge . ( LSO )

Thus, while all three regulators operate within the same province, their approach to regulating a technologically competent workforce differed, creating differences in standards and resources provided to registrants regarding technology.

Theme 4: Recalibrating pandemic emergency measures involving technology

In many ways, the COVID-19 pandemic accelerated the use of virtual technologies and impacted various aspects of regulatory operations, including entry-to-practice, registration, continuing competence, and complaints and discipline proceedings. Different perspectives emerged about whether specific regulatory functions should remain virtual or return to pre-pandemic in-person norms. A recurring theme was the need to strike a balance between both modalities.

I think through all of this , whether it’s hearings or discipline or entry to practice , I think there’s increasingly this feeling that… some form of hybrid is probably where the sweet spot is , and I think we need to figure out where that is , and figure out what’s going to stay online , what’s going to stay remote and what should be in-person . And I suspect it’ll take some time to really figure that out . ( LSO )

Since a core function of regulatory bodies is to ensure that applicants meet the required entry-to-practice competencies, regulators found themselves grappling with the consequences of changes to the delivery of education and practicums during the pandemic. Participants from the CNO discussed how the lack of evidence on the outcomes of simulated clinical experiences created challenges for ensuring graduates were prepared competently:

Is there a break point in terms of safety ? And there is research out there [but] none of it is conclusive . There certainly are some jurisdictions that have gone the route of saying , you know , 50% of your clinical can be simulation . We haven’t designated a percentage yet . ( CNO )

Participants from the LSO also experienced challenges as education, placements and articling shifted online. In some cases, applicants were called to the bar after completing their legal education and training remotely. While these changes were necessary due to the pandemic, participants discussed the need to re-assess to determine the best approach going forward.

The pandemic also meant that some regulators shifted to online entry-to-practice exams, but this raised risks related to the security of exams and the appropriateness of the testing environment. The CNO did not adopt remote proctoring and participants noted they “weren’t comfortable at the time with the kind of research that’s out there in terms of security and the whole process around remote proctoring. And we are well aware that there are other regulators—both nursing and outside of nursing—that are doing it. So it’s something we’re exploring” (CNO). The LSO was one of the regulators that adopted remote proctoring and experienced an “exam cheating scandal…where we received information and materials to suggest that there had been cheating involved in some of our licensing examinations…And we’re now no longer doing testing online.” While the OCSW does not currently require an entry-to-practice exam, participants spoke about their interest in exploring how digitalization might impact future exam requirements that were being considered.

In considering the use of technology to increase efficiencies during the licensure process, one participant from the LSO identified the need to attend to equity considerations:

I think the other place where you really see that tension playing out is in the equity space … for , particularly , students who are going through the licensing process . If you are in one of these marginalized groups , you can … face more barriers , you can become more anxious about dealing with what feels like the behemoth , the impersonal behemoth , of the Law Society … So that’s a tension and because efficiency is highly valued … I think , how we are trying to deal with that is to have a personal engagement as needed . The trick is to determine when it’s needed . I don’t think it’s hard to find a sympathetic ear actually at the Law Society , but to know when that intervention is required—that’s , I think , the real challenge . ( LSO )

In addition to changes to entry-to-practice and registration/licensure, regulators’ investigation, discipline, and conduct processes were significantly disrupted by the pandemic as many of these shifted from in-person to virtual formats. This shift to virtual formats provided some advantages that participants described, such as “levelling the playing field” (CNO) for those who lived far from the regulatory body and potentially easing anxiety to facilitate more open conversations.

Participants from the CNO and LSO highlighted the potential negative consequences of virtual hearings such as increased ‘Zoom fatigue’, perceptions of informality, and barriers for individuals who live in areas with unreliable internet access. A participant from the CNO mentioned concerns about whether virtual hearings would have the same level of seriousness as an in-person meeting. These concerns were shared by those at the LSO:

When you walk into a courtroom , and you see that the judge sitting up there and there’s a sense of formality to it , versus getting on a Zoom call with a bunch of heads from shoulders up . That may not feel like you’re getting the same hearing that you might have in person . So , I think there’s definitely a balance there . ( LSO )

In general, regulators seemed to be striving for a balanced approach to post-pandemic recalibrations. Advantages, disadvantages, and risks associated with in-person and virtual modalities are becoming clearer and are helping inform this recalibration process.

Theme 5: Contemplating the future of technology in regulatory policy and practice

Participants described their curiosity in wanting to learn more about the impact on public protection as technologies like AI continue to evolve and become more commonplace. Participants described specific areas they were watching to learn more about how technology was impacting professional practice, such as how the therapeutic relationship might “look different when practicing in a more technological environment” (CNO). A participant from the LSO was interested in exploring “whether virtual proceedings have impacted incarceration rates, and release versus bail, or other outcomes” and whether digital products such as online “will kits” help people in the way they are intended.

Participants highlighted opportunities for increased collaboration between regulators to streamline and harmonize processes and to share data to support evidence-based regulatory policy across professions. For example, one participant from the CNO said “I think there’s always been that collaboration amongst different regulators, but having data, I think, provides this objective piece as well, which I think will be helpful for sure.” A participant from the OCSW described the importance of working together given the similarities in regulatory functions and services, especially across health profession regulators:

In essence , even though we’re regulating different professions , we’re all regulating . So , when you’re thinking of technology and the use of social media and some of the expectations we have from our professionals , specifically health , it would be good if those regulatory bodies could come together and say , you know , here’s the spectrum of our expectations . Here’s how we’ve been monitoring this spectrum . Let’s talk about it as a unit…We may be regulating different professionals , but we’re all running organizations . The operations of each of these organizations are extremely similar and overlap . ( OCSW )

A participant from OCSW expressed a desire for regulation to become more forward-thinking around technology: “Often regulators are sort of the last ones around the corner with a lot of the updates……there’s no reason the regulator can’t be the cutting edge in some of this.” One more innovative approach to staying on top of technological changes was the LSO’s Access to Innovation program which created a regulatory sandbox for innovative technological legal services [ 48 ]. While, at the time of our interview, this sandbox did not yet have evaluation data available, this way of providing a safe space to support innovative technology is meant to provide insight into new risks and opportunities related to technology.

Technology can potentially revolutionize professional work and the regulation of that work. However, technological change has simultaneously created tensions around the application of AI, data analytics, technological competence, social media use, and other dimensions of professional practice and regulation [ 49 ]. The results of our study have underscored the wide-ranging implications of technology on regulatory practices, with changes to entry-to-practice and registration/licensing, practice standards and guidance, practitioner support, continuing professional development, and disciplinary practices and procedures. Regulators are grappling with how to respond to technological changes in the practice of the professionals they regulate, while simultaneously experiencing technologically mediated changes to internal processes.

Concerns about risk may slow progress

Our findings illustrate that regulators are in the early stages of exploring the opportunities and risks that technology has on daily operations. Although regulators from different sectors have adopted technology at varied paces, the literature suggests that many have begun exploring the potential value of technology, including AI, in supporting regulatory operations and decision-making [ 50 – 55 ]. Regulation is becoming increasingly complex and resource-intensive, and our findings suggest that participants are hopeful that integrating technology into regulatory operations will provide a means to enhance efficiency. While participants noted that there are areas where technology can be integrated more easily, they also highlighted the importance of carefully studying the impacts of technology on functions that carry a greater risk of producing undesirable outcomes. This finding aligns with research by van der Gaag et al. that found regulators were concerned that AI could introduce errors and biases, jeopardize public trust, and perpetuate systemic inequities [ 56 ]. Our participants noted a need to take a risk-based approach to the advantages and disadvantages of adopting technology to support decision-making. While risk aversion may be necessary for higher-stakes regulatory processes, it may slow progress in adopting technological enhancements that could drive needed efficiency gains in increasingly resource-constrained environments.

Ensuring an equity-based approach to virtual practice and processes

The rapid expansion of virtual services influenced our participants’ responses to regulating technology use among professionals. In the context of the health and social care sectors, the pandemic accelerated the proliferation of virtual care options. In the context of law, evidence from before the pandemic suggests that, increasingly, lawyers are operating virtual legal offices rather than those of traditional brick-and-mortar [ 57 ]. Technology use in practice raises important questions about privacy, confidentiality, boundaries, informed consent, continuity of services, and new complexities for addressing malpractice and complaints [ 6 , 57 – 59 ]. While our participants discussed that technology does not necessarily require the development of unique standards of practice, this is an area that regulators will be required to re-evaluate as new risks and challenges emerge.

The introduction of virtual practice also raises unique equity concerns, potentially expanding access but in unequal ways [ 60 ]. Regulators have a role in ensuring that regulatory decisions do not perpetuate systemic inequities [ 61 ]. Our previous research on for-profit virtual care in Canada found that equity has not been adequately considered within standards from medical regulators [ 6 , 22 ]. Equity considerations must be embedded in regulatory decision-making as technology continues to evolve, and many of these considerations apply to regulatory policies and practices (e.g., virtual discipline hearings) as well as regulating virtual practice.

Our participants also described varied approaches to virtual training experiences and entry-to-practice exams, and this was an area where participants noted disparate approaches were common even across regulators in the same field. A growing body of literature across various professions suggests that there are advantages and lessons to be learned from virtual training models, including virtual reality. More evidence is needed to support informed regulatory decision-making in this evolving area of technology-enabled training and assessing entry-to-practice competency. For nursing, social work, and law, training usually requires hands-on, practical experience that may be difficult to gain in a virtual or simulated setting; however, there may be advantages to innovative virtual training models [ 62 ]. There may also be lessons that can be learned from professions, such as paramedicine, that use training via virtual reality to help establish competence [ 63 – 65 ].

Varied approaches to ensuring technologically competent professionals

As regulators work to strike a balanced approach for enabling professionals to deliver virtual services, practitioners themselves must build technological competence. As discussed by our participants, regulators expect registrants to have the required knowledge and skills related to technology but the approaches regulators have taken to ensure that registrants have this competence differed. Scholars have explored the knowledge needs and competencies that members of their professions require to function in an increasingly digitalized world [ 59 , 66 , 67 ]. As discussed by our participants, technological competence will look different depending on each practice setting. However, with growing interprofessional collaboration, regulators within and across sectors have an opportunity to work together to share evidence and explore how competencies can be harmonized to ensure greater consistency amongst professionals.

Aside from being competent in using technology to deliver professional services, social media introduces implications for how regulated professionals interact with the public to maintain public trust. Many professional regulators have developed standards of practice to outline responsibilities and accountabilities due to increased complaints and findings of unprofessional conduct centred on inappropriate social media use [ 9 , 68 – 71 ]. High-profile conduct cases have sparked considerable debate about the need to balance professionals’ freedom of expression and speech with their obligations to maintain public trust. Social media can be a powerful platform for fostering professional networks, continuing education, and advocacy to encourage system improvements. At the same time, it can potentially cause significant social harm. Regulators will continue to need to evaluate how they approach registrants who use social media in ways that push the boundaries of conventional views of professionalism.

Opportunities to leverage regulatory data

Participants discussed the opportunities that technology can bring in facilitating better use of regulatory data to inform decision-making, though many challenges–including adequate knowledge and resources, addressing privacy concerns, and ensuring data platform interoperability–remain to realize this potential. Beyond the use of data analytics to inform internal regulatory policies and processes, regulators have an opportunity to leverage data to inform broader social goals such as workforce planning. Within the health and social care sectors, the importance of standardized health workforce data for integrated workforce planning has been recognized by scholars [ 72 – 74 ] and has become a priority for federal, provincial, and territorial governments in Canada [ 75 – 77 ]. Promising practices exist in other jurisdictions such as the United States and Australia where national databases and datasets are used, and Canada has recently announced pan-Canadian databases for physician and nursing data [ 75 , 78 ]. These data support inter-jurisdictional labour mobility and awareness of registration status and malpractice or disciplinary histories. The collection of standardized data can also provide meaningful input on issues such as the mental health of the workforce, a priority mentioned by all our participants. In addition, equity must be a priority, and the collection of enhanced demographic data could facilitate better understanding of the diversity of the workforce and the inequities that exist to inform policy and research needs.

Limitations and future research

The transferability of these findings should be interpreted carefully when applying to other regulatory contexts within and outside of Canada. Our participant sample was small and meant to provide foundational insights into how regulators are navigating an increasingly digitalized world. Members of our team are currently engaged in two funded research projects that build on this foundational work, one that expands the current study to survey and interview regulators across Canada, and one examining whether ethical codes and guidelines from regulators provide sufficient guidance for practitioners when they encounter challenges related to technology in practice. The implications of technology on professional regulation will require monitoring and evaluation over time to examine how technological innovations impact all facets of regulation and professional work.

Our case study explored how three Ontario professional regulators operating within different legislative frameworks are navigating technology in the digital era. Cross-sectoral participants provided theoretical and pragmatic insights for regulating in the digital era and the role regulators can and should play in digitally enabled professional practice. These insights provided an understanding of how these regulatory bodies are responding to the challenges of upholding their mandate to regulate in the public interest during rapid digital evolution. Our analysis identified five themes: balancing efficiency potential with risks of certain technological advances; the potential for improving regulation through data analytics; considering how to regulate a technologically competent workforce; recalibrating pandemic emergency measures involving technology; and contemplating the future of technology on regulatory policy and practice. Regulators will continue to grapple with considerations about technology used to facilitate regulatory functions, balancing consumer demands amid emerging risks posed by technology, producing technologically competent workforces, and informing workforce planning via regulatory data. Policymakers and regulators across Canada and internationally should prioritize risk-balanced policies, guidelines, and practice standards for modern professional regulation.

Supporting information

S1 file. description of regulatory documents..

https://doi.org/10.1371/journal.pone.0303192.s001

S2 File. Semi-structured interview guide.

https://doi.org/10.1371/journal.pone.0303192.s002

S3 File. COREQ checklist.

Consolidated criteria for reporting qualitative studies (COREQ): 32-item checklist.

https://doi.org/10.1371/journal.pone.0303192.s003

Acknowledgments

We gratefully acknowledge and thank our interview participants for generously sharing their time and insights with us.

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• Education, training and skills
• Further and higher education, skills and vocational training

Sector-based Work Academy Programme: qualitative case study research

• Department for Work & Pensions

Updated 16 May 2024

© Crown copyright 2024

This publication is licensed under the terms of the Open Government Licence v3.0 except where otherwise stated. To view this licence, visit nationalarchives.gov.uk/doc/open-government-licence/version/3 or write to the Information Policy Team, The National Archives, Kew, London TW9 4DU, or email: [email protected] .

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This publication is available at https://www.gov.uk/government/publications/sector-based-work-academy-programme-qualitative-case-study-research/sector-based-work-academy-programme-qualitative-case-study-research

DWP research report no. 1054 A report of research carried out by the Department for Work and Pensions.

Crown copyright 2024.

You may re-use this information (not including logos) free of charge in any format or medium, under the terms of the Open Government Licence. To view this licence, visit the National Archives

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First published May 2024.

ISBN 978-1-78659-676-5

Views expressed in this report are not necessarily those of the Department for Work and Pensions or any other government department.

Executive summary

This summary outlines key findings from in-house qualitative case study research on the Sector-based Work Academy Programme ( SWAP ). The research took place in four Jobcentre Plus ( JCP ) district areas across England in June to November 2022 and involved a total of 93 in-depth interviews/focus groups with 118 participants. The research was conducted to generate insight into how the programme is delivered, and the value of the support it provides for employers and claimants. In each area, fieldwork was conducted with Department for Work and Pensions ( DWP ) staff involved in delivering the programme locally, alongside claimants, employers and training providers who had participated in a SWAP in recent months.

Key findings

Overview of district-level programme delivery.

Districts varied in the way that staffing was set-up to support the delivery of SWAPs , and this was mostly driven by their operational priorities. This ranged from a centralised model with a central, co-located team to launch and manage SWAPs for the whole district, to a clustered approach in another area, which saw staff working on SWAPs embedded within operational sites and account managing SWAPs for their sites. The staffing models had implications for SWAP delivery and quality, although the research didn’t identify any trends in outcomes based on these models. A reliance on Adult Education Budget funding also influenced what types of SWAPs were delivered. DWP staff reported a bias within the funding towards generalist skills training which wasn’t always thought to equip claimants with the career-enabling skills required for more specialist roles.

Local SWAPs

The SWAPs delivered across all areas were highly diverse in content and format, reflecting the flexibility of the SWAP model. While SWAPs were thought to align well with local labour market needs, DWP staff identified some gaps in provision in terms of specific sectors claimants were interested in (for example, a lack of administration SWAPs outside of the Civil Service in Areas 2 and 3). Other gaps mentioned included a lack of SWAPs with shorter or more flexible hours for claimants with caring commitments, and district-specific gaps such as few SWAPs in areas outside the main urban centre in Area 1.

Partnership working

The most effective model of partnership working entailed all three parties ( DWP , training providers and employers) being actively engaged in the set-up and management of SWAPs . This included all parties being aligned with expectations of the SWAP , employers specifying their training requirements, employers contributing to pre- SWAP information sessions, and regular cross-party communication throughout the duration of the programme. If a training provider initiated a SWAP , however, this could minimise the level of engagement DWP had with end employers and reduce the flow of information to DWP concerning outcomes.

Referrals were a crucial stage influencing the effectiveness of the SWAPs delivered. Claimants tended to describe receiving minimal information about the programme which mainly concerned course logistics, although most still felt they had a choice in taking part. Overall, most employers reflected that the calibre of candidates was mixed. The poor suitability of some claimants, alongside lower than anticipated referral numbers, was seen as one of the main reasons why SWAPs didn’t meet all these employers’ vacancy needs. Both DWP -related factors such as Work Coach time and knowledge of SWAP , and external factors such as claimant interest and personal circumstances, were thought to determine the volume and quality of referrals received.

Claimant experiences of programme delivery

Overall claimants were positive about their participation in a SWAP , with components such as the pre-employment training considered more useful when it was specific to the end role on offer or wider sector. The work experience placement and guaranteed job interview ( GJI ) components of SWAP were not consistently offered to the claimants interviewed, and when the GJI wasn’t delivered this could be particularly disappointing. Claimants mostly valued the support received from Work Coaches during the SWAP , although there were some gaps reported, notably in the period immediately following SWAP completion.

Employer experiences of programme delivery

Employers shared diverse experiences of SWAP . While some employers valued the bespoke nature of the training provided, and felt candidates were well prepared and confident at interview, for a minority, they weren’t sure what training had been delivered and/or considered it less necessary for their sector. Some employers linked poor suitability among some of the claimants referred to negative claimant attitudes towards the role or work in general. A small number of employers felt that more robust screening of claimants was needed as part of the referral process to avoid these issues reoccurring.

Outcomes from SWAP

Claimants reported a range of outcomes from their participation in a SWAP , and most of these improved their overall employability (for example, qualifications gained or improved confidence). There was less evidence from this research that SWAPs moved claimants directly into employment, despite this being a key intended outcome for the programme. For employers, SWAPs could help with job-matching and filling vacancies, however, there was doubt about the magnitude of the effectiveness of the SWAP for employers in terms of the number of vacancies filled. Overall, participants found it difficult to attribute positive outcomes to specific types of SWAPs . In general, effective SWAPs were linked to face-to-face training, the delivery of a qualification and the presence of a GJI as part of the offer.

Acknowledgements

This research was commissioned by the Labour Market Analysis Division ( LMAD ) in DWP . We are extremely grateful for the guidance and supported offered throughout by LMAD colleagues, as well as colleagues in the Labour Market Delivery Team, and the Skills and Places Policy Team. We are very grateful to colleagues in the participating case study areas, who provided their time and knowledge to ensure fieldwork for this research was possible, as well as colleagues who facilitated and/or took notes of the interviews and focus groups. We would finally like to acknowledge and thank all claimants, employers, training providers and DWP staff who participated in this research, for giving up their time to take part in the interviews and focus groups, and for sharing valuable information on their views and experiences.

1. Introduction

This report presents the findings from qualitative research on the Sector-based Work Academy Programme ( SWAP ) which took place across four case study areas in England in June to November 2022. The research was conducted to generate insight into how the programme is delivered, and the value of the support it provides for employers and claimants. Fieldwork took place with DWP staff and training providers involved in delivering SWAPs , as well as claimant and employer participants. This chapter provides an overview of the policy background and context to this research, before setting out the aim and guiding research questions.

1.1. Policy background

SWAP is a long-standing employment support programme first introduced in 2011 in England, and 2012 in Scotland [footnote 1] ; it was rebranded from ‘SBWA’ to ‘ SWAP ’ in 2020. Currently, it forms part of DWP ’s Plan for Jobs provision. This support is open to jobseekers aged 16 or over. Internal guidance suggests those referred should be close to the labour market and have most of the skills needed to be able to work. As a demand-led programme SWAP is designed to prevent long-term unemployment by encouraging claimants to move sector and fill vacancies in local industries experiencing high demand for staff. This means the programme covers a broad range of sectors. It is managed and delivered by staff in Jobcentre Plus ( JCP ) who set up SWAPs to meet local vacancy demand in collaboration with local employers and training providers. There are three core elements to every SWAP :

1) A short module of vocational pre-employment training ( PET ) 2) A work experience placement ( WEP ) with an employer 3) A guaranteed job interview ( GJI ) linked to a genuine job vacancy.

Each SWAP can last up to six weeks, although the length and content of the three elements can be tailored to the skills and experience local businesses require to fill their vacancies. The GJI should be part of the SWAP offer unless there are restrictions related to the employer’s recruitment policy meaning they are unable to offer one. In this case, claimants must receive support with the recruitment process.

The decision to participate in a SWAP is voluntary; however, for claimants on the Universal Credit ( UC ) intensive regime and those on Jobseeker’s Allowance, once they have agreed to participate, they are required to complete the PET and GJI , and they may face a low level sanction [footnote 2] if they do not. The WEP is voluntary. While claimants are taking part in a SWAP they remain on benefit and can receive support with travel, equipment, and childcare costs from JCPs through DWP ’s Flexible Support Fund ( FSF ). Employers do not pay any direct costs to participate.

In response to the pandemic labour market conditions, DWP ’s commitment to the programme and delivery expectations have increased. In 2021/22, the target number of SWAP starts [footnote 3] doubled from the previous year to 80,000. The programme has been funded to achieve a further 200,000 starts between April 2022 and March 2025.

1.2. Research context

Previous research on SWAP has looked in isolation at employer ( DWP 2013b) and claimant ( DWP 2014, DWP 2016) experiences of the programme and outcomes quantitatively, and staff experiences qualitatively ( DWP 2013a). Most of these studies evaluated multiple employment support interventions simultaneously, which restricted the depth of insight provided specifically on SWAP . In addition, while SWAP starts are collated locally on manual trackers and monitored centrally within DWP , there is limited information captured about the remainder of the SWAP journey. Therefore, while SWAP starts are currently exceeding the annual target, it is unclear how claimants and employers experience SWAPs , and how this links back to programme delivery, which is highly localised. This is particularly important to understand considering the recent increase in scale of delivery. This qualitative case study research therefore addresses this gap. It forms one element of a wider evaluation, complementing an impact assessment (in progress), which will provide an overview of the impact of SWAP on claimants’ movement into employment and benefit receipt.

1.3. Aim and research questions

The overarching aim of this research was to improve understanding of the differing types of SWAPs offered, and how these impact on claimant and employer experiences of, and satisfaction with, the programme. The findings will be used to inform adjustments to the delivery of the programme to maximise employment outcomes. Specific research questions to guide the work were:

• How do SWAPs vary and why? (Chapters 4 to 6)
• How do claimants, employers and DWP staff experience SWAP ? How does this vary by type of SWAP ? (Chapters 6 to 9)
• To what extent do the different SWAP types meet a) claimant and employer preferences and b) their needs? How can this vary? (Chapters 8 to 10)
• What are the facilitators and barriers to meeting claimant and employer needs through SWAP ? (Chapter 4 and Chapters 6 to 10)
• What do we ( JCP / DWP ) and others (training providers, employers) need to do differently, to address any identified barriers? (Chapter 12)

2. Research methodology

This chapter outlines the research methodology used and details key considerations of data collection, analysis and reporting.

2.1. Scoping

To ensure the research methodology and materials developed were appropriate, a detailed scoping phase took place. This consisted of a series of discussions with labour market analysts, alongside delivery and skills policy colleagues about the work, followed by workshops with these stakeholders to collaboratively build a Theory of Change ( ToC ) [footnote 4] logic model for the programme (Annex 1). This output was used to understand the desired outcomes and impacts of SWAP , and the mechanisms through which the programme is intended to achieve these. This stage informed the development of the interview and focus group guides for fieldwork.

2.2. A case study approach

This research used a qualitative case study approach, with research based in four JCP district areas. Each case study drew from in-depth semi-structured interviews with DWP staff involved in SWAP delivery in and/or across the district, as well as claimants, employers, and training providers who had been involved in a SWAP in these areas in recent months. Focus group discussions were also held with Work Coaches in each area who had experience of referring claimants to the programme. Using a case study approach enabled the capture of in-depth and contextually based insight into the nature and effectiveness of all stages of programme delivery. Case studies were conducted at the JCP district area level as this was the level at which most SWAP activity was coordinated, and how performance on SWAP is tracked. Given the relatively small scale of SWAP as a programme [footnote 5] , establishing cases at this level enabled access to a sufficient number of claimant participants.

2.3. Sampling and recruitment

Four case study areas were selected using a purposive sampling approach and the factors that influenced this selection and an overview of each area are detailed further in Chapter 3. Fieldwork for case study areas 1 and 2 took place in June to July 2022, and case study areas 3 and 4 in October to November 2022. In total, 86 interviews were conducted across the four case studies, as well as a total of 7 focus groups comprising 32 Work Coaches. The achieved number of interviews for each group of interest varied slightly by area, and the final achieved profile is summarised in Table 1. Fieldwork with claimants in Area 4 was stopped before the target number of interviews was reached. This was due to an underlying issue with the claimant sample for this area, in which many claimants were unreachable through the contact information provided, and those who were contacted had no recollection of participating in a SWAP . Unfortunately, there was limited resource and time to be able to pursue obtaining a further sample for this area given the high risk that this issue would reoccur.

Table 1: The total number of fieldwork participants by case study area

In each area we were assigned a local JCP contact to help progress the research. Participating operational staff were selected through initial discussions with the local contacts who were able to provide an overview of the set-up of SWAP in their area, and thus which roles and therefore individuals would be well-placed to contribute to the research. The staff roles interviewed included:

District SWAP leads (often members of Employer & Partnership Teams)

Operations Managers

Senior Employer and Partnership Managers

Employer Service Leads ( ESLs )

Customer Service Leads ( CSLs )

SWAP Account Managers

Employer Advisers ( EAs )

Work Coaches were also identified collaboratively with local contacts; this was guided by requests from the study team to include a variation of participants in terms of the customer groups they supported, and sub-areas of the district they worked in. There is no centrally held record of training providers and employers involved in SWAP . As a result, recruitment of these groups again relied on local JCP contacts providing this information. The reliance on local contacts for information may have introduced some selection bias towards participants with positive experiences of working with DWP because of the nature of this recruitment approach. To minimise the risk of bias, a sample was obtained from each area and recruitment was then targeted to ensure a spread in size of employer, sector and length of SWAP [footnote 6] , as well as how the SWAP was initiated (for example, by training providers).

The sampling approach for claimants aimed to cover a range of SWAPs and participant characteristics to understand whether there were differences in experiences depending on the SWAP attended. A sample was obtained for each area by linking local manual tracker data to centrally held customer contact information. Recruitment calls were then targeted within each area to capture breadth in terms of claimant gender, age and length of latest claim, as well as sector of SWAP they participated in. Once claimants had agreed to participate, interviews either took place on the spot or were scheduled for another time. Claimant participants were provided with a £20 voucher as a thank you for their time.

2.4. Fieldwork and analysis

Research took place remotely via telephone (for claimants, employers and training providers) and via MS Teams (for DWP staff). This was due to time constraints and practical considerations of covering the case study areas which were geographically dispersed. The difference in mode between groups is due to the data processing approvals in place for these groups at the time. Five discussion guides were developed for each strand of data collection. The guides covered the same topics but tailored to each stakeholder group and their experience of SWAP . The overarching topics included: background to the participant, the referral process, experience of SWAP /delivery, SWAP set-up and outcomes and reflections of their experience. A thematic analysis approach was used to analyse the data collected, with a coding framework (Annex 4) developed following the review of a selection of interview transcripts alongside the interview guides and research questions. Using a framework approach enabled the analysis to be conducted by multiple members of the project team in a consistent way. Most of the analysis was conducted in NVivo 12. Members of the project team were partnered up and each pair was allocated a specific strand of data to code (for example, employers). A sample of coding from each strand was quality assured by another member of the project team, and feedback from this review was provided to the coders to inform their coding of subsequent transcripts. All coders met regularly to discuss coding queries, refine the framework and findings. A final workshop was held with all coders to discuss key themes relevant to each fieldwork strand and how these varied by case study area. Further details on the methodology used for this research is included in Annex 3.

2.5. Ethical considerations

As with any in-house research, participants from all groups may have felt obligated to take part in the research either because they felt it may affect their benefit claim, their relationship with DWP , and/or a review of their workplace performance. To minimise the risk of this and any potential harm to participants, a process of informed consent was used. Information about the research was given at the start of recruitment calls and interviews to explain the objectives of the research, what participation would involve, and that taking part was voluntary. Where multiple interactions took place in advance of an interview, this key information was reiterated. In addition, the independence of the research team from the programme was emphasised throughout communication with all participant groups. Throughout the reporting process, care has been taken to ensure that the case study areas, and the participating staff, remained anonymous. Finally, while we sought to minimise the burden of participation for JCP district areas, all areas were offered a summary of the overall key findings as a thank you for taking part in this study.

2.6. Presentation of findings

The findings in this report are presented to show the wide range of experiences and views related to SWAP from participating individuals. Quotes used throughout have only been included where we consider there to be no risk of identifying these individuals and are attributed to the relevant strand of data collection and case study area. Due to the reliance on a relatively small group of individuals in each JCP district area for the bulk of SWAP delivery, we present the views from staff in these roles under the general term ‘ DWP staff’ to remove the heightened risk of identifying these individuals. Quotes attributable to Work Coaches are separately labelled. Finally, all data collection involved an interviewer and note-taker. Staff interviews and focus groups were also transcribed using MS Teams, and the transcript from these were used to supplement the note-taker’s notes. This is due to the available equipment and data processing approvals in place at the time. As a result, direct quotes in this report for claimants, training providers and employers should be understood as being taken from note-takers’ notes rather than verbatim transcripts.

2.7. Report structure

The remainder of the report starts with an overview of the case study areas, followed by a summary of the different district-level set-ups that facilitated the delivery of this programme. The report then discusses what SWAPs were delivered locally, before exploring in detail two key aspects of delivery that are important to the effectiveness of SWAPs : partnership working and the referral process. The report moves on to summarise the experiences of claimants and employers who participated in the research before discussing the outcomes from SWAP that were reported. The final chapters offer conclusions from the research and key learning for future delivery.

3. Overview of case study areas

This chapter explains how the four case study areas were chosen and provides an overview of the local labour market in each, particularly in terms of the employer sectors present, and local barriers to employment for claimants.

3.1. How case study areas were selected

Four JCP district areas were selected in agreement with DWP policy, delivery and analyst colleagues, and following approval from local Service Leaders. Selection was based on programme data as well as operational insight on the local models of SWAP delivery it was thought useful to explore. The following criteria were reviewed during selection:

• The feasibility of achieving a sufficient sample of claimants [footnote 7]
• Performance against the district’s profiled target number of SWAP starts
• District performance in terms of the proportion of claimants who had recorded earnings following participation in a SWAP (also called ‘post- SWAP earnings’) [footnote 8]
• Local employment rates
• The geography of each area (in terms of region and mix of urban, suburban and rural subareas)
• Operational insight into how SWAP is organised and delivered locally; and
• The typical sectors of SWAPs offered in each district.

Using these criteria, the list of 34 JCP districts was narrowed down to the final four case study areas, which captured variation in performance, employment rates, geography and delivery of the programme. Key features of the areas and the rationale for the selection of each area are summarised on the following page.

Table 2: Key features of the case study areas in relation to SWAP

3.2. the local labour markets.

As detailed in earlier sections, each of the case study areas were JCP districts, and this means each area encompassed several, sometimes very varied localities. This subsection provides a broad overview of the local labour markets, which draws together information provided by participants in this study. They provide context for the findings on SWAP delivery and its perceived value and success.

A range of sectors were present in this district, with the public sector (mainly the civil service), care, engineering (street works and/or fibreoptics), customer service, construction and hospitality the most prominent. The impact of Covid-19 on the local labour market was mostly mentioned in relation to a new cohort of Work Coaches who required upskilling.

Common barriers to employment mentioned across participant groups included the impact of health conditions, which limited claimant readiness to work, and the types of work claimants can undertake, as well as difficulties finding work that fitted around caring responsibilities (in terms of hours and location), particularly for lone parents. Access to transport could also be problematic and this could be a barrier particularly for claimants living in certain areas outside the main urban centre. Due to the presence of prisons in the district there was a large ex-offender population who were also thought to be restricted in terms of the job opportunities available to them.

The highly urbanised nature of Area 2 was reflected in the volume and range of sectors present across this district. These included hospitality, public sector (again mostly the civil service), construction, security, retail and digital/IT. Staff described high levels of unemployment, with a large number of claimants who were long-term unemployed and an overall higher caseload as a result of Covid-19. Most sectors (excluding digital/IT) were thought to have been affected by Covid-19, but they were also described as showing signs of recovery. Staff highlighted a shift towards more digital ways of working, which had accelerated during Covid-19 and changed the skillsets that some employers were looking for.

Barriers to employment across this area were similar to Area 1 in terms of difficulties finding work that aligned with claimant health conditions and caring responsibilities. A lack of licences, qualifications and experience were also mentioned as barriers to specific sectors. Reflecting the highly diverse population in this district, limited English language proficiency was also thought to limit customers from finding work and gaining the qualifications and licences needed to access job opportunities. A lack of digital literacy and the movement towards online job application processes and digital skillsets were also thought to be challenging for some claimants.

Area 3 covered both urban and rural localities across which staff described pockets of high unemployment and deprivation alongside very affluent areas. A key sector for this district was hospitality; however other sectors present included transport and logistics, care, manufacturing, retail, finance, construction and agriculture. In some sub-areas, these local labour markets could be seasonal (such as hospitality in coastal neighbourhoods), and in others they were influenced by a nearby large city (in another JCP district) in commuting distance. Fieldwork for this area was conducted later than case studies 1 and 2, and JCP staff in this district thought that vacancies in the local labour markets had returned to pre-Covid levels.

Access to transport was commonly mentioned as a barrier to employment, reflecting the very rural nature of some localities in this district. As with other areas, finding work that could fit alongside caring responsibilities could also be challenging. Limited English language proficiency could also be a barrier, with one member of staff noting that this is something that needed to be addressed before these claimants could be referred to a SWAP . The impact of health conditions, particularly mental health, was also linked to worklessness, and in one particular sub-area, barriers in relation to addiction and homelessness were identified.

Area 4 covered a mix of urban and rural localities and perceptions of local unemployment rates varied between staff. Local sectors identified included transport and logistics, care, hospitality, retail, manufacturing, the public sector and engineering. Recent perceived changes to the labour market included a decline in hospitality vacancies and front-facing retail roles, and a rise in warehouse opportunities and remote working. One member of staff also noted that recruitment was slowing down because of inflation and resultant costs for businesses, which likely reflects the timing of fieldwork in this area which took place in October to November 2022.

Barriers to employment across this area included access to transport to be able to reach job opportunities as well as the cost and availability of childcare, and availability of work that fitted around caring commitments. One member of staff reflected that some jobs were increasingly requiring applicants to have a driving licence, which limited many claimants from applying. Other staff mentioned a general low skill level in their customer base, which inhibited claimants from accessing more skilled roles. Finally, like Area 1, a number of large prisons were present in this district and staff noted that ex-offenders could find it challenging to access employment.

4.  District-level programme delivery

This chapter starts the exploration of how SWAPs are delivered locally and what underpins this delivery in each area. It examines DWP staff perceptions of the programme and summarises the local staffing and funding models. In doing so, this chapter explores the implications of these different aspects of delivery for the SWAPs created in the case study areas.

4.1. Staff understanding of the programme

DWP staff perceptions of the programme intention, and who it is targeted towards are important for understanding why SWAPs are delivered in particular ways at the local level. In line with the programme Theory of Change, most staff across all areas understood the main purpose of SWAP as being to move claimants into employment. Staff thought this was facilitated by SWAPs allowing claimants to bypass usual recruitment processes and increase their exposure to employers when they wouldn’t otherwise have this chance. Staff also thought SWAPs provided claimants with the opportunity to increase their skillset, making them more attractive to employers.

For the customer to get a job. It isn’t always easy to get a job interview and doing a SWAP makes it easier cause it bypasses the traditional layout. Because we are giving them the training. We already have the partnership with the employer…it supports in bypassing that [harder thing]. Some of the customers might traditionally not make it through.” (Staff, Area 2)

There was more variation in who the programme was perceived as being targeted towards, although this question was not consistently asked of all participants. Of those asked, only a small number of DWP staff thought SWAPs were targeted towards claimants experiencing minor barriers to finding employment, such as a specific skill shortage or lack of experience in the relevant role or sector. Most respondents instead saw SWAPs as being widely applicable to anyone looking to find work, and a further small subset thought that SWAPs were for claimants who hadn’t been employed for some time and/or were furthest from the labour market.  These latter perceptions contrast with the assumption underpinning the programme Theory of Change, that claimants attending a SWAP are ‘job ready’ and/or ‘close’ to the labour market. This suggests that some claimants referred to SWAP may have needed further support than the programme is able to provide, which could have implications for the outcomes the programme is able to achieve.

Interviewer: Who is it [the programme] aimed towards? Participant: People not in employment for some time who want to gain confidence and brush up their skills or like if they want to upskill themselves with something new, they wanna [sic] learn.” (Work Coach, Area 3)

4.2. SWAP staffing models

Across all staff participating in the research, responsibilities related to SWAP formed only one aspect of their day-to-day roles. While there were mostly the same job roles present in all areas, the responsibilities in relation to SWAP , and how the roles interacted with each other, varied by district. The exception to this were Work Coaches, who across all areas were only involved in referring claimants to SWAP .

A centralised approach (Area 1)

In Area 1, there was one central, co-located team who created, launched and managed SWAPs for the district. The team was comprised of account managers for individual SWAPs who managed each SWAP from beginning to end, completed the SWAP manual trackers and liaised with the end employer and training provider. SWAP account managers were supported by two administrative colleagues who supported the collation of referrals for the trackers, answered queries from Work Coaches about specific SWAPs , and checked claimant eligibility.

While the account managers oversaw SWAP delivery, the marketing of SWAP to employers mostly took place by Employer Advisers ( EAs ), who referred interested employers to this centralised team. The team was managed by an Employer and Partnership ( E&P ) professional who was also the day-to-day SWAP lead for the district, with overall strategic oversight from a senior E&P lead.

A localised approach (Area 2)

EAs delivered SWAPs , from initial employer engagement through to completion of the manual trackers. EAs were managed by colleagues in their local JCP sites, and they primarily set up and managed SWAPs for these sites and neighbouring areas. While EAs were managed locally within their operational sites, they also had oversight from one of two senior E&P managers, who each liaised with EAs within their geographic half of the district. One of these E&P managers was the SWAP lead for the district. The SWAP lead monitored data returns and outcomes for the district, disseminated messaging around SWAP to the EAs , and set expectations with training providers on their role in returning information on claimant outcomes.

A clustered approach (Areas 3 and 4)

Both areas followed a clustered approach to SWAP delivery, this aligned with wider operational delivery within these districts whereby subareas made up of JCP site clusters operated separately to each other with their own management chains.  As with Area 2, EAs in these areas undertook the bulk of SWAP marketing, set-up and management and were assigned to a particular operational site. EAs account managed SWAPs for their site and neighbouring sites.

The exact nature of the clustering varied between the two areas. In Area 3, EAs were managed by the Employer Service Lead ( ESL ) for their site, who led delivery of SWAP alongside other aspects of DWP ’s employer agenda. ESLs were therefore responsible for ensuring SWAPs met local employer needs. ESLs , in turn, were managed by the Customer Service Leads ( CSLs ) for those same sites, who were responsible for overall operational performance within their offices. CSLs managed the Work Coach Team Leaders ( WCTLs ) alongside the ESLs , and so acted as the bridge between the employer and claimant operational teams.

Area 4 was moving to the same approach as Area 3 during the fieldwork period for this study, and so some staff were still operating under the previous model for this district. Under the previous approach, EAs working on SWAPs were managed through a central E&P team for their geographic cluster, rather than managed through their operational sites. The move to the new model was intended to improve operational performance on provision separate to SWAP .

Finally, Area 3 had a senior E&P member of staff who shared messaging on SWAP for the district and kept senior operational staff informed on progress on SWAP starts. This work was supported by a partnership support colleague who reviewed the quality of tracker recording and upskilled EAs to improve the robustness of monitoring information collected. In Area 4, there was no single SWAP lead, the senior operational leads for each geographic cluster had responsibility for SWAP in their subareas.

4.3. Implications for SWAPs

The different models of delivering SWAP within districts had implications for the way staff experienced this programme, and the resultant offer available to claimants and employers. These are explored further below.

Effectiveness of information sharing: A centralised approach to programme delivery was seen as beneficial by DWP staff working in Area 1, and a senior member of staff in Area 4, because it was thought to enable more effective information sharing between colleagues working on SWAP set-up and management. Examples of this mentioned by staff included being able to learn from other colleagues’ expertise, the easier identification and prioritisation of communications to increase referrals, a reduced risk of duplication of SWAPs , as well as the early identification and sharing of knowledge regarding training providers who weren’t delivering in line with expected outcomes.

So they [some training providers] were trying to think of any way basically to get people in the doors and get them on the course. And I know nationally other people do work with them, but I think because, I think with having the central team, that was picked up straight away and then we just refused to work with them training providers. […] other areas, if the local EAs aren’t speaking to each other, then that was getting missed.” (Staff, Area 1)

Consistency of delivery

In Area 3, one member of staff noted that moving to a cluster-based approach had enabled a more equitable level of service to local JCP sites, as EAs were able to cover SWAP -related tasks for neighbouring offices within their cluster if another EA was unable to work on the programme. Having a more dispersed delivery approach across the district, however, could also mean some inconsistencies in the interpretation of what counts as a SWAP , and therefore the SWAPs on offer to claimants. One EA in Area 3, for example, noted that there had been occasions where they did not feel that a SWAP running in a different part of the district was a ‘quality SWAP ’ that would be of benefit to claimants. This was linked back to a lack of quality assurance of SWAPs across the district, which another member of staff mentioned was the result of the district no longer having a named lead for the programme, and delivery being more embedded in operational sites.

There are slight differences in what people see as a SWAP . For example, we were told that a Civil service SWAP was running with [organisation] for 1 hour, but to us in [town] that’s not a SWAP . That may not be flagged at a central level. As a district team [the former operational set-up] we identified SWAPs that needed improvement to make them a quality SWAP , but there is the potential for some SWAPs now to go under the radar and not deliver the quality service that they should.” (Staff, Area 3)

Monitoring of programme outcomes

In Areas 2 to 4, EAs completed the SWAP manual trackers alongside other responsibilities, which could involve delivering additional elements of DWP ’s employer agenda. As a result, the completion of the trackers was sometimes seen in these areas as time-consuming and burdensome. This, in addition to delays in receiving outcome information from providers and employers, meant that staff didn’t always complete the trackers in detail, which hindered understanding of the effectiveness of the different SWAPs being delivered. In comparison in Area 1, while there was no feedback specifically on the trackers, it was noted by one member of staff that having a dedicated team of SWAP account managers had freed up EA time to work on other DWP provision.

If it’s an external provider – they are poor at telling us the results of them [claimants] starting if they are completing the other elements of the SWAPs . As a Work Coach, EA or ESL , – they are not fond of back tracking what happened with the SWAP that they did three months ago and updating a number to say that this person did actually get a job. So I think you missed a lot of data that way because it’s the will to go back and make sure you’re completing all the records.” (Staff, Area 3)

Relationships with Work Coaches

In Areas 2 to 4, it was thought that having EAs based on operational sites helped to drive the employer agenda within those sites and enabled a more joined-up approach between SWAP delivery and Work Coach activity. This was seen as particularly beneficial for ensuring that SWAPs were in line with claimant interests. A centralised approach, however, didn’t necessarily mean a lack of engagement with Work Coaches. In the centralised team, each member of the team was a buddy to a cluster of local sites. This involved attending job fairs at those sites, sitting alongside Work Coaches and supporting them where needed, to ensure SWAPs were being discussed with claimants as intended.

4.4. Funding sources

In addition to staff perceptions and staffing set-up, funding was also an important component of delivery that influenced the delivery of SWAPs . All case study areas relied predominantly on Adult Education Budgets ( AEB ) to fund SWAPs . In at least three areas, AEBs were devolved, and this meant the relevant combined authority determined which training providers could access this funding.

When asked, DWP staff felt that AEB funding didn’t always align with the programme intention, and this was due to a perceived bias within the funding towards sectors seeking candidates with more generalist skills for entry-level roles. Staff reflected that for more specialised roles/sectors, it wasn’t always possible to bridge the skills gap through the AEB -funded courses, despite these skills being seen as career-enabling.

New broadband, fibreoptics, that’s big in [District area] […] that there’s a huge sector and there’s so many jobs that can be filled and that’s something they’re still not funding at the moment. So we [ DWP through FSF ] fund it now. This isn’t just any [training], this training is about £3,000 worth of training per person […] it’s not just a job for the individual, it’s an actual career, they start on pay [of] something like 30k and that’s just as a trainee.” (Staff, Area 1)

Staff noted that where training providers paid for licences or other, sector-specific qualifications offered through a SWAP , this came out of their profit margins, and therefore providers needed to add in more general employability training to be able to receive AEB funding. This was thought by some staff to contribute to providers adding in course content that didn’t meet vacancy requirements. 

If we’ve got an employer or a training provider who says ‘okay, we’re gonna [sic] do a CSCS course, but before you do a CSCS course we need you to do a basic skills course’, it adds an extra couple of weeks on and sometimes it means that our customers are doing things that they don’t necessarily need to do in order to tick the boxes for the training provider to get the free funding to do the CSCS course that the customer actually wants to do.” (Staff, Area 3)

In addition, training providers only receive AEB funding for learners aged 19 years and above, whereas SWAPs are open to claimants aged 16 years and over. DWP staff noted that while certain providers will accommodate claimants aged 16 to 18 if they have enough claimants aged over 19 years-old to balance this out, others reject referrals for this younger age group, indicating a funding gap for younger claimants.

It was rarer that staff mentioned using other funding sources for SWAPs and it was not clear if this was because staff weren’t aware of these alternative funding streams. Area 1 mentioned procuring training for more bespoke qualifications and skillsets through their FSF allocation. Staff in this area, however, reflected that FSF is finite and used for wider provision alongside SWAP , which can mean it’s challenging to fund these SWAPs against competing priorities. Other strategies included using grant funding for running SWAPs in specific areas or with specific groups, and employers funding the training or delivering the training themselves (and in one example the cost was recouped from successful claimants following employment).

We’ve never yet had to pay to run a SWAP . When like, for example, [travel company], they’ve explained that they’ll pay for the training for the bus licence, but it will be deducted over a 2-year period of £11 per week, so then that person will pay back that money from the training themselves.” (Staff, Area 4)

The dependency on AEB emphasises the importance of the conditions around funding in determining the types of skills training that can be delivered through SWAPs . It suggests that funding conditions need to be broad enough to support sector-specific needs, such as more technical training, and that guidance should be available to staff on how to access alternative funding sources.

4.5. Summary

Districts varied in the way that staffing was set-up to support the delivery of SWAPs , and this was mostly driven by their operational priorities. The different models of staffing had implications for SWAP delivery and their quality, such as the ease of sharing information concerning providers who were not delivering as expected. Available funding and staff understanding of SWAP were also influencing factors. All districts were reliant on AEB funding, which some staff felt was biased towards more generalist skills training, and limited SWAPs for more specialised skills and roles. It was also evident that there was some variation in who the programme was thought to be targeted towards. This could indicate the programme is delivered to claimants beyond those it was originally designed to support.

5. Local SWAPs

Following on from exploring the case study areas and key factors underpinning local delivery of the programme, this chapter provides an overview of the local SWAPs encountered throughout this study. It also summarises DWP staff reflections on how well these SWAPs align with local labour market needs.

5.1. SWAPs delivered locally

All areas were running or had run SWAPs in sectors including construction, warehousing, the civil service, administration, hospitality, and health and social care.  Security, railway track training and education (for teaching assistants) SWAPs were also present in Areas 2 and 3. Areas 3 and 4 had SWAPs running in manufacturing, and Area 4 also had SWAPs for the transport (bus driving) and the wider public sectors (the police).

In the main, across the interviews, the SWAPs were mostly linked to entry level roles, and while they contained some level of tailoring to individual employers, they tended to deliver training specific to the overall sector rather than an end job. Only a few participants described receiving highly bespoke training set-up very specifically for a particular role or group of claimants.

The typical length of the SWAP varied considerably, from half a day up to 6-7 weeks, although most claimants reported their SWAP lasting two weeks or less. Length was seen by staff as mostly dependent on the employer’s requirements in terms of the skills gap to be bridged, the urgency of filling vacancies, and the time and resource employers had to support components of the SWAP , such as the WEP . Overall, the length of the SWAPs offered reflected the programme intention, that SWAPs are short, sharp interventions to help meet employer vacancy demands at pace.

So I’ve seen SWAPs where the skills component, it’s five weeks, so that you have a few days of work experience. I’ve seen SWAPs where the skills parts you have two or three days’ worth of skills provision, and then it’s two or three weeks’ worth of work experience. So there are ways of flexing it overall.” (Staff, Area 2)

SWAPs that were longer in length tended to be where licences or other specific training and/or testing was required. The railway track SWAPs , for example, lasted the full six weeks due to the volume of manual practices to learn. In contrast, civil service SWAPs were among the shortest, sometimes comprising of only half day workshops focussed on the civil service application process.

Yeah I would say not usually more than three weeks I think […] that said, I think I’ve seen some that are like seven weeks if it’s really specific. I think some of the fibreoptic ones ‘cause there’s so much training involved. But typically yeah, between one week and three weeks.” (Work Coach, Area 1)

SWAPs took place either face-to-face, online or through a blended approach with some elements delivered virtually and others in-person. While staff across all case study areas were trying to run more SWAPs in-person, they acknowledged that some would likely remain online, particularly where this mode was considered more suitable (for example, for home-working roles).

5.2. Alignment of SWAPs to local needs

Overall, staff across all case study areas thought that local SWAP provision covered a range of sectors and was well-matched to local labour market needs. Staff described how colleagues involved in setting up SWAPs would actively seek out information from Work Coaches on customer skillsets and sector interests, using this to create or find SWAPs to meet this demand. Once established, staff noted that SWAPs would often be repeated, particularly when they were seen as popular among claimants.

We always go out with the employer advisors to see what skills customers have and what they’re looking for, and we will try and bring them employers in as well for something different.” (Staff, Area 1) I think we have quite a good range to be honest, and so you know, we do cover a fair amount of sectors. The more popular ones, we tend to run those slightly more frequently, so we may run them twice a month, and the others maybe once a month or bi-monthly, depending on what people are wanting at that time.” (Staff, Area 4)

However, some Work Coaches felt that there wasn’t enough variation in the types of SWAPs on offer from a claimant perspective, and they therefore did not always align well with claimant aspirations where claimants were looking for work in a sector not covered by the usual offer. For example, Work Coaches in Areas 1 and 4 highlighted a lack of SWAPs for health and beauty roles despite this sector being popular among their claimants, and Work Coaches in Areas 2 and 3 described a scarcity of SWAPs for administration roles outside of the Civil Service.

I’d love to see some kind of SWAP for health and beauty, because I’ve got a lot of people who they’ve got health and beauty qualifications and are desperate to get into that industry.” (Work Coach, Area 4)

Another gap mentioned by Work Coaches across all areas included SWAPs with shorter or more flexible hours, so that claimants with childcare and other caring commitments could attend more easily. While JCPs can help fund childcare costs through local Flexible Support Fund ( FSF ) budgets, there was little evidence of this happening among claimants, and one DWP staff member commented that it would be difficult to arrange on a short-term basis. Finding SWAPs for claimants attending English for Speakers of Other Languages ( ESOL ) courses could also be difficult. For other areas, Work Coaches found it challenging to find SWAPs for claimants in locations outside the main urban centre (in Area 1) and for younger claimants (aged under 19 years old) (in Area 4).

[…] the only thing that I would input on, because we do have, for single parents, because we need to work around the school hours, we would need, it would be helpful for us to have something during that period, that sort of starts at 9:30 until about 2pm, so we can forward our single parent customers to that […]” (Work Coach, Area 2) I’m on the youth team as well, and a lot of them [ SWAPs ] are 19 plus and they’ve got to be 19 by a certain point. That can knock a lot of my customers out.” (Work Coach, Area 4)

In addition, DWP staff identified sectors where they thought SWAPs were unable, or unsuitable, to address local vacancy demands. Sectors considered more ‘fluid’ with multiple, changing skills needs, or where the skills gap to be bridged fell beyond the scope of available funding or SWAP timescales, were considered less appropriate. This was mentioned in relation to roles in the digital/technology sector, despite this being a key growth sector for Areas 1 and 2.

I think that there are some sectors SWAP lends itself a bit better to, and others maybe where the skills ask would start to get above what current funding would allow, or where the sectors themselves [would allow]. Let’s take some of the creative and digital sectors, I’ve seen SWAPs into some of those roles, but where it’s a very fluid sector, with multiple skills needed, I don’t think we see so many SWAPs delivering into those sectors, but that links back to the funding.” (Staff, Area 2)

5.3. Summary

This chapter has highlighted that the SWAPs delivered across all areas were highly diverse in content and format, reflecting the flexibility of the SWAP model. In general, the PET delivered through SWAPs tended to be tailored towards working in overall sectors rather than the end employers or roles. While SWAPs were thought to align well with local labour market needs, DWP staff identified some gaps in provision, notably in terms of the sectors covered and flexibility of hours, as well as district-specific challenges such as the concentration of opportunities geographically. The following chapters explore key aspects of delivering SWAPs (partnership working and referrals) before unpacking how SWAPs are experienced by claimants and employers, as well as the outcomes of this programme according to study participants.

6. Partnership working

This chapter provides an overview of the key themes identified within the data concerning how DWP , employers and training providers worked together in the set-up and management of SWAPs . In doing so, this section explores the factors that were thought to drive successful partnership working in delivering this programme.

6.1. Initiating SWAPs

SWAPs were mostly either initiated by DWP (where JCP staff approached employers and offered SWAP as a recruitment tool) or by training providers (whereby training providers approached DWP and/or employers and proposed a SWAP ). Less commonly mentioned were employer-initiated SWAPs , which occurred when employers returned for a repeat of a previous SWAP , or proactively requested further information about how the programme could support their recruitment needs.

Bit of both, we contact employers who are recruiting we tell them about SWAP and what DWP are offering. We do get employers coming to us who we’ve worked with before, who know we deliver SWAPs so it’s a bit of both. We also have training providers coming to us telling us we’ve got this SWAP running, can you set up information session for us, and we’ll feed in our customers. So, it comes from three directions really.” (Staff, Area 4)  

6.2. Drawing on established relationships  

Staff described drawing on a varied and established network of employers and providers to create SWAPs , and often chose to run these with trusted providers.

We’ve already got numerous training providers we’ve worked with for a long time, and that we know, the course content is good, and they’ve got great admin behind them, and they know what we expect and what we need. So, we’ve already got those training providers on board if you like. Now from an employer perspective, there are certain employers we work with all the time and you get used to it. You know, you sort of, we all have certain employers that come us because we’ve done SWAPs with them before and some of them are ongoing.” (Staff, Area 1)

When setting up new SWAPs , in Areas 1 and 2, DWP staff reported approaching a range of providers within their networks to secure the best offer for the PET in terms of content, length and cost.

[…] it’s going out to maybe a few training providers and saying we need this, this and this, can you provide it? And what are the costs? Or can any of it be done for free? It is asking a few different training providers that question and seeing what they come back with.” (Staff, Area 1)

Participants reflected how SWAPs could enhance local networks, enabling collaboration between employers, DWP and training providers, and also aiding future collaboration.

Interviewer: What has your organisation gained from SWAP (so far)? Employer: Erm as I say about 8 people, 8 staff and obviously the good working relationship with the jobcentre, so people know [company] are open to working with the jobcentre and giving people opportunities.” (Employer, Warehouse SWAP , Area 3)

For DWP , in particular, SWAPs could create a reputational boost, which could result in further collaboration between JCPs and employers, either on SWAP or through other formats. When a SWAP was set-up and seen as working well, DWP staff mostly described using the same training providers to re-run these courses as they were familiar with the content, and they were confident it would be suitable for bridging the skills gap required. DWP staff preferred using training providers that they had already worked with and sometimes declined new training providers who approached them, as they had the same end employer as pre-existing providers.

Since I’ve worked in this team it’s quite established, so we do tend to work with those who are relevant. There are new training providers who have come on aboard which we don’t use as we figured they feed from a main training provider and we do tend to have quite a few that offer the same thing. You know, they’ve got the same end employer, so we stick to the main one. If were working directly with that employer we’ll say no, we’re working with that employer already. Recently a lot of training providers coming to us with the same end employer and we have to say, you know, it doesn’t work really, there’s no point.” (Staff, Area 4)

6.3. Training-provider led SWAPs

Across the case studies, the party who initiated the SWAP tended to lead on SWAP set-up and management. For example, where DWP initiated a SWAP with an employer, they led on sourcing and introducing a suitable training provider for that employer, and they set up meetings between all three parties. Where training providers initiated the SWAP , using their own pre-existing end employer, DWP had less involvement in the set up and management of these SWAPs . In these cases, training providers were the main communication link between the employer and DWP ; providers promoted and explained SWAPs to the employer, arranged the employer introductory meetings with the jobcentre, and arranged the GJIs.

……….if the employer comes to us we’ll discuss what their vacancy needs are, what kind of roles they’re recruiting for, what kind of people they’re looking for, all the information around the vacancies and vacancy numbers and where we’ll approach the provider, or there’s a few different providers, we’ll speak to providers and see if they have suitable training that kind of matches up to those roles. […] If it’s the provider that approaches us, then it’s sort of the same again, but rather than us leading on it, that provider would set up those meetings.” (Staff, Area 4)

For these training provider-led SWAPs , DWP staff sometimes found it difficult to obtain updates on claimant progress and outcomes. This was particularly prominent when the training provider held the relationship with the end employer, as DWP was reliant on the training provider for this information. As a result, monitoring job starts and therefore the overall effectiveness of these SWAPs , was more challenging for DWP staff to action.

If they, employers, come to us initially to set it up, then we’ll get the feedback from them regarding the job interviews and job offers and job starts. If the employer’s approached the provider, it can be a little bit more tricky and they like to go through the provider rather than come to us direct. But from what I understand of the process, that’s if they approach the provider, that’s how it should be anywhere.” (Staff, Area 4)  

DWP staff also raised concerns about the intentions of some training providers and suggested that these providers were more interested in how they could get their courses funded rather than ensuring the course delivered as intended for employers and claimants, due to the way funding for SWAPs is set-up (outlined in section 4.4., ‘funding sources’).

Providers will get funded for things like employability […] It is all these soft skills that they will get funded for. They will not get funded for all these licence requirements. That is coming out of their profit margins and that is why it sometimes becomes pressure that they have minimum numbers to break even. That is why sometimes we have had those challenges.” (Staff, Area 2)

6.4. Facilitators of effective partnerships

Across all areas, four factors stood out as facilitating effective coordination between the parties involved: 1) setting clear expectations early across all parties, 2) regular cross-party communication on progress, 3) active employer engagement and 4) consistency of DWP contact.

Setting expectations early

Where SWAPs were seen as successful by DWP staff, they typically involved an initial meeting with all three parties ( DWP , the training provider and the employer) to agree expectations of the SWAP and to set out the responsibilities of each party in meeting these. These meetings allowed DWP staff to understand the employer’s vacancy needs and manage their expectations of what’s possible to deliver through a SWAP . They also allowed DWP staff the opportunity to introduce and explain the role of the training provider, and ensure they were suitable for the SWAP . For one employer, who didn’t experience this type of kick-off meeting, they felt this “scene-setting” would have been helpful to ensure expectations of all participating parties were aligned, accountability was clear, and each parties’ needs were understood.

So, I think it’s important right from the start to set your stall out, so this is my SWAP , I’m going to manage it, and the employer’s going to lead it. The training provider needs to be flexible and understand that […] but they’re providing that service for that employer, so I think it’s important right from the start to set that out. So, no misunderstandings [occur].” (Staff, Area 1)

Regular cross-party communication

Related to the above, partnerships were thought to work best when there was regular cross-party communication throughout the duration of a SWAP . This included DWP informing employers and training providers of referral numbers in advance of a SWAP starting, DWP keeping in touch with training providers to track claimant attendance and aiding with any issues (for example, with documents and/or travel costs) during the SWAP , and liaising with employers and providers at the end of a SWAP to record claimant outcomes. This was thought to help ensure all three parties were engaged and invested in the SWAP process.

The [ SWAP ] EA will be joining in with the SWAP sometimes, checking who’s started and how’s it going, what’s happening with the WEP . Talking to the employers all the way through, giving updates as near to real time as possible. […] Updating both the employer and training provider with what the referral rate is at, then when it’s started how successful is it, touching base as often as possible.” (Staff, Area 3)

Active employer engagement

Employer engagement beyond solely delivering the GJI also helped to keep employers invested and was thought to lead to a more successful SWAP . Active engagement included employers being involved in specifying their training requirements, contributing towards pre- SWAP information sessions and giving feedback to claimants and DWP following participation in a SWAP . Training providers suggested that this engagement led to a more successful SWAP as it allowed claimants to interact and become familiar with the employer before the end interview, and one provider noted that it showed to claimants that the employer cared. Similarly, DWP staff suggested that employer engagement meant that employers were more invested and were able to see that the process was for their benefit, as well as being able to identify and flag suggested improvements.

[The] [organisation] [ SWAP ] works well because there is shadowing, you get to meet [the] employer and see what is involved each day. Some employers send a video, it’s not what we want, as claimants want involvement, to be seen as something real and worth the effort and to know the programme is valued.” (Training Provider, Area 3)    They [employers] feel more invested in the process and see that it’s for their benefit. Lots of our providers are good at encouraging the employers to come in on day 1 or 2 of the SWAP to give a presentation about the company. Like a pre- WEP session with them. The employers get to see what’s going on on the course and can then say whether there is something that they don’t like or want to change.” (Staff, Area 3)  

Consistent DWP contact

Although the three-way communication worked well, some employers reported difficulties in engaging DWP staff during a SWAP . Consequently, feedback suggested that partnerships worked best where there was a single, consistent, and engaged contact within DWP for training providers and employers to work with. One employer, for example, reported that their DWP contact didn’t attend the partnership meetings with the training provider, which led them to believe that DWP was less invested in the process and only interested in the SWAP outcomes. DWP staff frequently moving roles or contact details changing also raised difficulties for some employers and training providers, who found that these changes in personnel made communication more time-consuming. In contrast, two training providers in Area 1 noted that the centralised team meant it was easier for them to find the right contact within DWP to set up SWAPs in this district area, compared to other areas where it can take much longer to find the relevant JCP contact.

I don’t think they ( JCP ) are as invested as we are. They don’t know their customers. I try to get across to them, please, please don’t refer people if they’re not right. There’s some great staff but the structure – how they support SWAPs , could be better. I cannot sustain the level of commitment we are putting into SWAPs with my team. [ DWP ] haven’t attended our meetings sometimes - the EAs , they don’t even know the customers. I think the structure has changed slightly, I think their involvement, they’re keen to know the outcomes, but I don’t feel they are as invested as myself and the training provider”. (Employer, Area 3)    We share all our data back to [the] JCP about who is referred, who has gone to work, who attended, the SWAP setup works really well, I am a big fan, our biggest issue is the changing of [ DWP staff] managers which hinders progress.” (Training Provider, Area 2)  

6.5. Summary

This chapter has highlighted how DWP staff often draw on an established network of training providers and employers to deliver SWAPs locally. It was evident from the data that any party could initiate a SWAP , but if a training provider initiated a SWAP , this could minimise the level of engagement DWP have with end employers and reduce the flow of information to DWP concerning outcomes, which has implications for DWP ’s understanding of the effectiveness of different SWAPs . In addition, this chapter has highlighted key factors facilitating effective partnership working on SWAPs . These included setting expectations early in terms of what SWAPs will deliver and the responsibilities of each party in relation to this, maintaining regular cross-party communication throughout the duration of a SWAP , employers actively inputting throughout the SWAP process, and providing consistency in the JCP contacts assigned to each SWAP .

7. Referral

Referrals were a crucial stage linked to the perceived effectiveness of SWAPs in meeting claimant and employer expectations and needs. As a result, this chapter provides an overview of the referral process experienced by claimants and Work Coaches, and the perceived effectiveness of this from the viewpoint of providers and employers. It highlights the key aspects influencing volume and quality of referrals.

7.1. The referral process

Across all case study areas, claimants mostly heard about SWAP through interactions with their Work Coach. A minority of claimants mentioned the SWAP was advertised or recommended to them through other channels (such as social media platforms like Facebook, or through word of mouth via family and friends), before asking their Work Coach if they could be referred. While some claimants said they had spoken to the Work Coach before taking part, many stated they applied simply after receiving a notification through their UC journal or from seeing the SWAP on their local JCP notice board.

I actually found that out on Facebook, ever so coincidentally, I was just scrolling through Facebook and it came up on an ad.” (Claimant, Construction SWAP , Area 2) When you’re on universal credit they always send you these sorts of courses. I always get them on my account so that’s why I chose it.” (Claimant, IT and Communications SWAP , Area 1)

Claimants who spoke to their Work Coach before being referred described these conversations as brief and the information provided during these interactions was high level and focussed on the logistical elements of the SWAP , such as venue, time, or length of the opportunity. Few claimants reported receiving information about the end role on offer.

Interviewer: What information were you given about the programme? Participant: Nothing, they just told me there was a training course and I could apply for it if I wanted to know more.” (Claimant, Civil Service SWAP , Area 3)

Despite the lack of information received beyond the logistics of the SWAP , most claimants felt they had been provided with a sufficient level of information before starting. There were, however, some claimants who felt the level of information was insufficient. For example, one claimant said they hadn’t been told that they’d have to complete a Maths and English assessment prior to the SWAP and believed this was because their Work Coach didn’t want to deter them from doing the course.

I think had I known what we would go through on the course, if I had known I wouldn’t have gone on it.”  (Claimant, Healthcare SWAP , Area 1)

In contrast to the experiences reported by claimants, most Work Coaches stated that they would only refer claimants once they had had an initial conversation with the claimants. Work Coaches described how they addressed claimants’ suitability for the programme by taking into consideration any potential barriers to participation, such as access to travel or childcare needs. The communication was also described by Work Coaches during the initial referral process as taking place via face-to-face conversation rather than through online journals or email, as most claimants interviewed suggested.

You know, I always try and be open with them. I tell them these are what we got, and you know, what do you think? And then I might have a conversation that says, this one and this one, I think, are more in your skill set, then we’ll talk through those. And of course, there’s knockout factors like any job, you know, if a job says you got to be there at 5:00 in the morning and they don’t drive, that might be a knockout factor. All the same with SWAPs , so it’s about them identifying those knockout factors as well, and I think they’re more in control of it then, if it’s suitable for them.” (Work Coach, Area 1)

7.2. Claimant choice

Most claimants felt they had a choice in taking part in the SWAP and had no concerns about participating. This perspective was reiterated by Work Coaches who acknowledged that claimants didn’t have to agree to participate in a SWAP if they didn’t want to and they wouldn’t force this.

I mean, if they really don’t wanna [sic] go on it, we can’t, it’s not mandatory to go on, so we can’t, you know, I wouldn’t, I’d - I’d obviously try and sell it to them and look at what the good points are. But if they were really dead against it, I wouldn’t. You know, you can’t make somebody go on one. So, they’ve gotta [sic] be keen on the idea.” (Work Coach, Area 1) [Named Work Coach] didn’t contact me directly and say you’ve got to go on this. It was the generic message saying if you’re interested contact your Work Coach. I never felt like my arm was twisted at my back or I was forced into it.”  (Claimant, Healthcare SWAP , Area 1)

Only two claimants reported that they didn’t feel they had a choice in taking part, and one of these believed that if they didn’t participate then their benefits would be impacted. This claimant acknowledged that this was their own opinion of the situation, rather than something they had been told by their Work Coach. Confusion on this aspect, however, could lead to claimants undertaking SWAPs for the wrong reasons, and reduce claimant suitability.

 A small number of DWP staff believed that once claimants agree to take part in a SWAP , they should be made aware of the implications to their benefits if they then drop out, to improve claimant attendance on the programme. Most Work Coaches, however, reflected that claimants rarely dropped out once they started a SWAP and this was mostly due to changes in circumstances, such as childcare, or that claimants had found work elsewhere, suggesting such measures may not be necessary.

7.3. Effectiveness of the referral process

Employers and training providers were prompted to reflect on the overall effectiveness of the SWAP referral process. Most reflections centred around their experiences of the quality and quantity of referrals made to SWAPs .

Quality of referrals

Overall, training providers tended to be more satisfied than employers on the suitability of the claimants referred, noting that while claimants were sometimes put through who weren’t appropriate for SWAPs (for example, due to a lack of interest or particular health conditions), overall, the ‘right’ people were put forward. Employer views, however, were more varied. Some employers were happy with the suitability of the claimants referred to their SWAP , as they felt the claimants were job-ready and fitted in well with their organisation. For most employers, however, they noted that the calibre of candidates was, at best, mixed. Examples of poor claimant suitability mentioned by employers included claimants being referred who couldn’t feasibly travel to the employer’s location or undertake the work/hours of work required, claimants who were perceived to be uninterested or uncommitted to the role (or work in general). In addition, one employer encountered a claimant who had previously been dismissed from their workplace, and another employer noted some claimants needed extra support in terms of their mental health and confidence. The unsuitability of some claimants, alongside lower than expected referral numbers was seen as one of the main reasons why the SWAP didn’t meet some or all of these employers’ vacancy needs.

Interviewer: To what extent were candidates job ready? Participant: …very, very mixed. We’ve had to work extremely hard. […] I don’t know how long they’ve been out of work. Some of them have got distressing histories. [They’ve been] Out of work for very, very valid reasons. They might have the skills deep down but their mental state, we need to build them up.” (Employer, Area 3) If we could have got 10 candidates to go through the training programme and work experience, and potentially hire 5 people it would have been worth it.  But we came out with one, and he only works two 4-hour shifts a week” (Employer, Area 1)

Quantity of referrals

While training providers did not raise many concerns about claimant suitability, across all areas they described a recent decline in the quantity of referrals they’d received, although this was less prominent in Area 1. A small number of training providers linked this decline to the impact of Covid-19, which had slowed down referrals and made it more difficult to plan future SWAPs (other impacts thought to affect referrals are explored further in the next section). Across both training provider and employer interviews, it was evident that many participants had been disappointed in the volume of claimants referred, and this was often the case where employer expectations had been raised due to a high number of claimants attending the initial SWAP information session, which then didn’t correspond to the number who started the course.  

Initially, when I started my role in 2021, SWAPs were incredibly successful and had a really high volume of referrals […] over the last six months the number of referrals have deteriorated. This increases the difficulty to confirm SWAPs and I don’t have the capacity to work further ahead and work in advance which can be challenging.” (Training provider, Area 4) We had 16 candidates, 3 turned up for the first open day. We didn’t employ anyone from that one. We did offer someone a role and they didn’t want to be vaccinated. That didn’t help. For the second open day, only 3 out of 26 turned up.” (Employer, Area 1)

7.4. Key factors affecting referrals

A variety of factors were thought by DWP staff and providers to influence the volume and quality of referrals made to SWAP . These factors included both aspects within DWP ’s control such as Work Coach time, as well as external contextual factors.​

DWP -related factors

Work coach time to make referrals.

Work Coaches, and other DWP staff, recognised that there is limited time during meetings with claimants to deliver information about SWAP in detail, and ensure claimants make an informed choice that considers potential barriers to participation. Along with short appointment slots, the referral process can be burdensome for Work Coaches due to the lengthy process, which for certain SWAPs , can have multiple different stages. While most case study areas described actions they’d taken to make the referral process as easy as possible for Work Coaches, this remained an issue for staff to navigate.

I think the time that Work Coaches have to spend with their customers … It can sometimes be time consuming, …they’re not necessarily quality referrals because they don’t have time to go through everything.” (Staff, Area 4) [The] referral process is important, being as streamlined and straightforward as possible is important. If it took half an hour the Work Coaches wouldn’t have time, so [it’s] crucial to make it straightforward. As EAs we pick up a lot of it, if a Work Coach is really snowed under, they may have only updated the CC [claimant commitment], so we can then pick up after that. It helps having the communication between the EAs and the Work Coaches, they can give us a shout if they can’t fit it in otherwise, we wouldn’t get the referrals through.” (Staff, Area 1)

Work Coach knowledge of SWAP

Related to Work Coach time is their knowledge of local SWAP opportunities, so they can refer the right claimants to the right SWAP . Staff across all case study areas described regular activities they undertook to ensure Work Coaches were aware of the SWAPs on offer. This included sharing upcoming SWAPs on SharePoint, promoting SWAPs at jobs fairs, and inviting training providers and/or employers to give virtual presentations to Work Coaches about specific opportunities. Additionally, some staff noted that Work Coaches would not refer participants to particular SWAPs if they haven’t previously received good outcomes for their claimants, indicating that Work Coach buy-in was also important.

Knowledge and time. Work Coaches struggle to identify all of the opportunities out there. We’ve modified how we communicate, we have a SharePoint area, a ‘what’s on’ page that they look at every morning listing what’s on offer which has improved things” (Staff, Area 3) We’ve got to make sure they are delivering what they say they are delivering. If someone has a customer with a bad experience, then they will stop referring if they think the provider is unreliable…” (Staff, Area 2)

Other DWP provision

Claimant ineligibility for SWAP because of their participation in other JCP provision, was a common frustration mentioned by DWP staff in differing roles when discussing referrals, as well as some training providers. Work Coaches mentioned that this was particularly an issue when claimants weren’t getting what they needed from the other provision, but they were still prevented from referring these individuals to a SWAP due to rules around claimants receiving double funding. In general, there appeared to be uncertainty among Work Coaches about which provisions did or didn’t rule out attendance on a SWAP , and so further clarity on this may be needed. The Way to Work scheme was also seen by some DWP staff as diverting possible participants away from SWAP by providing interviews without the need for training.​

There was some confusion if someone could go on a SWAP if they had been referred to Restart, can they still do a SWAP . The guidance was unclear and even managers didn’t know.” (Staff, Area 2)

External factors

Claimant personal circumstances.

How well SWAP attendance aligned with claimant personal circumstances, such as childcare responsibilities and access to transport could also be a barrier to referring claimants to SWAP . Limited English language proficiency to be able to complete course documentation was also a consideration, and this was highlighted in particular in Area 2, which had a diverse customer base. Some districts were trying to overcome this challenge by working with training providers and employers from the same communities as the claimants.

I think personally some of my ESOL customers, I find they miss out on SWAPs , and a lot of them are interested in things like warehouse work and like the SIA . They don’t really get a chance to do it because they’re only available a couple of weeks during the year when they’re not at college.” (Work Coach, Area 4)

Claimant interest

Claimant interest in the SWAP and/or end role was seen as an important factor by staff of all roles. Interviews with DWP staff revealed that having an end employer who was well known to claimants tended to increase the number of referrals made to a SWAP . Popularity of SWAPs could also differ between different claimant groups. Homeworking SWAPs , for example, were thought to strongly appeal to parents as they could more easily attend around their caring responsibilities.

Umm I think popular sectors. Sectors people normally relate to more, warehousing, security. Care, I keep going back to care, it’s a harder one. Security is a good one because the SIA badge on offer, they get the SIA badge at the end of it as well as a guaranteed interview. As long as the customers are aware of the employer, if it’s a well-known employer that’s a biggie [sic]. They already know about that employer, could have friends or family working there, so well-known employers are good.” (Staff, Area 4)

7.5. Summary

This chapter has highlighted some discrepancy in how claimants and Work Coaches experience the SWAP referral process. Claimants tended to describe a lighter-touch referral process than Work Coaches, which focussed on providing logistical information. While most claimants felt they had received sufficient information about the programme before starting, and that they had the choice to take part, it was evident that some claimants felt that the level of information provided was insufficient and a small number thought participation was mandatory. Training providers and employers had differing reflections regarding the overall effectiveness of the referrals process. Employers tended to focus on claimant suitability as well as the number of referrals received, with mixed views reported in relation to this. Training providers instead focused on the recent decline in overall referrals received for SWAPs , which could make their work in planning future SWAPs more challenging. A range of factors were thought to influence the number and quality of referrals made, and these factors link back to the importance of the interaction between claimants and their Work Coaches in determining whether a  SWAP is the most suitable employment provision for individual claimants.

8. Claimant experiences of programme delivery

This chapter explores the experiences and perceptions of the claimant participants.  It explores what motivations they had for taking part in the SWAP , their experiences of the PET , WEP and GJI , as well as how well the SWAP aligned with their personal circumstances and the support they received during and after taking part. It is important to note that this chapter primarily draws from data collected in Areas 1 to 3, due to the issues with the claimant sample for Area 4 (outlined in Chapter 2.3. ‘Sampling and recruitment’).

8.1. Motivations for taking part

Across the case study areas, claimants reported a variety of motivations for taking part in a SWAP , of which the following were most prevalent. The most common reason claimants across all case study areas suggested they took part in a SWAP was to improve their chances at moving into or closer to employment. This motivation, to an extent, aligned with the SWAP outcomes identified from the data (see Chapter 10, ‘Outcomes’). In these situations, claimants thought a SWAP was the best way to facilitate this move towards employment as it provided access to a guaranteed job interview ( GJI ), or because there were multiple jobs available locally within specific sectors like security or construction. For example:

Yeah, it was interest in the sector and the guaranteed interview at the end. I sat through it for 5 days, the training course, just to get the interview at the end of it… I only went on the course to get the interview anyway.” (Claimant, Healthcare SWAP , Area 1)

In addition, claimants thought the opportunity to attain employability skills such as improved confidence or improved CV skills (in terms of both writing their CV and adding new skills to their CV), or outcomes like receiving a licence or certificates in sectors like security or construction, would help them find employment faster than traditional application methods.

Other claimants reported that they had an interest in the skills and sector of the SWAP , and felt the SWAP offered the opportunity to see if the end job or sector was suitable for their interests, or if it fitted with their personal circumstances:

[I] wanted to do the FLT [forklift truck] course to see if I could just do it [with the restrictions in neck].” (Claimant, Logistics and Freight Transport SWAP , Area 1) Basically what I really wanted was just to know what it was all about, so if I found a job I liked I would know how to go about it.” (Claimant, Construction SWAP , Area 2)

Another prevalent motivation for taking part in a SWAP was that claimants were already familiar with the content of the course through previous first hand or second-hand knowledge or experience. This suggests that some claimants wanted to use the SWAP to continue working in the same sector or a similar role.

I have a qualification in care. The agency was nursing caring, and all sorts of nursing stuff. That’s why I was interested.” (Claimant, Recruitment Agencies SWAP , Area 4)

Finally, where claimants felt an application process was challenging, either because of a specific employer like the Civil Service, or because they found it to be a challenge in general, some claimants went on the related SWAP to gain support in that application process.

Genuinely I just wanted to have any insights into the process and um the structure of applying to the Civil Service and how that differs from the private sector” (Claimant, Civil Service SWAP , Area 3)

Following on from claimant motivations, the following subsections explore claimants’ perceptions of each of the SWAP components in turn.

8.2. Experiences of the PET

Claimants’ perceptions of the usefulness of the SWAP PET tied in with whether the expectations and reasons for starting a SWAP were met. Claimants found the PET to be most useful or impactful when it included sector-specific information or an interview/application support.

Where sector-specific information was provided, (for instance, information about what they could expect from the different elements of the end job, or practical or transferrable knowledge across multiple types of job), claimants often believed this to be the most impactful or useful takeaway from the training. This also extended to information provided to them by course leaders on the tools or knowledge needed to start their own businesses. This was particularly prevalent in Area 3. Finally, claimant interview or application support such as interview techniques or support with the application process was considered useful. Overall, claimants tended to value the practical elements or knowledge that they believed improved their employability or allowed them to venture into their own business interests.

Yep I have learnt so many things by doing this course. In level 1 I learned I can start my own salon and get a license for my salon - I can do insurance when I do insurance. In level 2 I can start my business without any hesitation.” (Claimant, Beauty Therapy and Personal Services SWAP , Area 2) Actually, the course was quite good. Because they prepared us for what to say in the interview, what questions you can ask. What to wear and how to look smart.” (Claimant, Hospitality SWAP , Area 3)

As such, though most claimants felt the PET was useful to some extent, claimants who did not find the PET useful tended to perceive it this way because their expectations were not met, the course duplicated their existing knowledge, or they didn’t feel that the PET provided information or knowledge to increase their employability either generally or for the end job role.

For me it wasn’t useful because I’ve done all that and beyond.” (Claimant, Healthcare SWAP , Area 1)

Claimants also commented on the length and pace of the training; some claimants wanted the pace to be less intense, and the length of the PET to be longer. This corresponds with previous research, whereby claimants were less positive in their attitudes towards the PET when a SWAP was shorter (4 weeks or less) than those on longer SWAPs ( DWP 2014). However, it is worth noting that this perspective was not universal among claimants interviewed, suggesting that the pace and intensity of a course was subjective to the existing level of understanding a claimant had on the topic, and how easily they felt they could follow the content.

I felt for - when I was doing the course – [I felt] for other people, because it had to be done in such a short period of time, we got a week, if you couldn’t keep up, you were left behind. I felt sorry for the people who didn’t understand and were winging it. Because it was so short…. If there was more time, it would be better.” (Claimant, Construction SWAP , Area 3)

8.3. Experiences of the WEP

Few claimants said they were offered a WEP , and almost all claimants would have liked one as they felt it would have provided them with a practical understanding of the end job role, as well as given them the opportunity to put their PET into practice and gain ‘hands-on’ experience. Some claimants perceived the ‘hands-on’ experience to be incredibly valuable as they felt it would increase their confidence in interviews, and – for claimants who were hesitant about applying for a job within the sector of the SWAP – it would provide an opportunity to see if they enjoyed the work, reducing their overall anxiety about this. In these cases, claimants felt they could use the WEP as a ‘try before you buy’ experience.

To get more confident. It gives you a boost. For the interview you would be more confident to speak about your experience. It would give you more chances to get a good job.” (Claimant, Hospitality SWAP , Area 3)

The lack of WEP corresponds with reflections from a small number of DWP staff who recognised this was an element which could be improved to bring their current SWAP offer more in line with the programme’s intention. Staff mentioned that following Covid-19, a lot of WEP elements were delivered in a less traditional way, such as through videos about the employer organisation, or existing staff speaking to SWAP participants about their day-to-day work, rather than claimants gaining experience in the workplace. The WEP offered was therefore dependent on what time and resource employers were willing to input, as well as practicalities, such as feasibility of obtaining the clearances required for claimants to be able to enter the workplace. In some cases, claimants reported that these less traditional approaches to a WEP were provided. Claimants found these provisions insightful and, when prompted, they agreed it gave a practical understanding of the end job or employer. Notably, however, claimants did not tend to consider this to be work experience themselves, and many would have still preferred the opportunity of a more traditional WEP with the end employer.

Yes, two employers came in and told us about the workplace, what kind of work it was, a care home. She was explaining the different areas we could go into.” (Claimant, Healthcare SWAP , Area 1)

Claimants often mentioned that the lack of WEP or practical elements was an aspect that needed to be addressed to make the SWAP more worthwhile, as it was thought that this element would allow them to enhance their skillsets and therefore CVs. This aspect is therefore a key area of SWAP delivery that could be improved to enhance claimants’ experiences of the programme.

8.4. Experiences of the GJI

Guaranteed job interviews (GJIs) were often perceived to be important by the claimants who were interviewed. While some claimants reported receiving a GJI , those who did not said they would have wanted to have one. This echoes reflections from Work Coaches in Areas 2 and 3, who noted that there wasn’t always a GJI at the end of a SWAP .  Like the WEP , claimants who didn’t receive a GJI felt that having one would have allowed them the opportunity to practice being interviewed. In addition, for claimants who had personal circumstances that could impact their opportunities for work, they believed a GJI would give them a chance to explain their circumstances to the employer directly, to see if these could be accommodated and to learn more about the specifics of the end job:

I would like to go to the interview, to know what they are asking to maybe have a chance, to explain your current situation, when you are talking face to face people can understand your hours, you can’t explain on your job application. With part time it might be evening work, weekend work but they don’t mention this. And you spend your time doing make up, going to the interview, and only then they tell you.” (Claimant, Public Sector SWAP , Area 3)

As claimants often stated that they were taking part in a SWAP to find employment, where they were advertised a SWAP with the promise of a GJI which was then not delivered, this was disappointing for them.

8.5. Fit with claimant circumstances

Claimants tended to perceive SWAPs to be a good overall experience for them, and that the SWAP fitted with their circumstances (for example, the locations and programme timings were accessible). This was case across all case study areas (except Area 4 where too few claimants were interviewed to draw conclusions on this). However, in circumstances where claimants were the main carer – predominately for parents with children – they felt that their ability to attend the training or end job was limited because of these caring responsibilities. In this way, caring responsibilities was a prominent barrier to these claimants being able to fully participate in the SWAP or apply for the end job on offer. Notably, most claimants who discussed this were women.

Yeah, that was nice…I didn’t get the chance to do the thing they gave it to me, like the homework. …They were ready but I wasn’t ready because I was already giving my whole day 9-5 and I needed to do self-study. My husband had to go [abroad] and my daughter was unwell…This was the only reason to honestly. The course was fine. If I had child support, I would have managed to finish my course. (Claimant, IT and Communications SWAP , Area 1)

When carers felt their needs and personal circumstances were met, it tended to be when the SWAP took place during school hours, and therefore these participants could drop off or collect their children around the timings of the programme, or they were given the option to do the course from home when their child was not in school. However, it is important to note that this option was viewed differently by claimants, as for some claimant participants who completed a SWAP while simultaneously caring for a child at home, this could still be a challenge.

When my son was at home, I found it hard to concentrate. So, I just done it when he was in nursery.” (Claimant, Education and Teaching SWAP , Area 2)

8.6. Support received during a SWAP

Where claimants were prompted about the support they received while on a SWAP , discussion tended to focus on the support provided by their Work Coach and/or the PET course lead. Claimants acknowledged the logistical support the JCP provided, which included financial support for arranging travel to the SWAP location and purchasing suitable clothes and equipment. Most claimants were happy with the level of support provided in these areas.

The jobcentre supplied me with a bus ticket, I got the bus into town every day […] at that time I smashed my phone, so I got a new phone as well out of them.” (Claimant, Construction SWAP , Area 4)

Some claimants also discussed receiving encouragement and emotional support from their Work Coach while on the programme and immediately afterwards. This was mostly mentioned by claimants in Area 1 and Area 3.

Yeah, yeah, yeah. Like I said, my Work Coach at the time, she was so supportive, unbelievable, absolutely wonderful.” (Claimant, Healthcare SWAP , Area 1)

The PET course lead was another factor claimants suggested allowed them to feel supported on the SWAP . However, when claimants did not feel supported, or in one SWAP , where the trainer was reported to have displayed inappropriate and problematic behaviour, claimants held negative views about the course lead. These claimants were able to distinguish between the usefulness of the SWAP and their dislike of the course lead, however, as most of these claimants still suggested they gained something useful from the programme. Despite this, given the importance of the trainer for claimants’ experiences of a SWAP , this is an area that could require more continual oversight and quality assurance from JCPs.  

No that’s it, I think training in itself to help people get an interview is a really good idea but the way they and he [training provider] in particular delivered it, it just wasn’t helpful at all […] A lot of sexist comments, borderline racial comments. Homophobic comments. Absolutely loads of them. I was in disbelief that he had been allowed to teach. He was just not professional at all.” (Claimant, Healthcare SWAP , Area 1)

In addition, where claimants expressed a desire for more support while they were on the SWAP , this was often expressed in terms of more information about the financial support available to enable them to attend (which suggests this information is not consistently communicated to claimants), or support regarding their learning needs on the SWAP itself. The former point was echoed by a couple of employers, who noted that not all claimants attending their SWAPs were aware of the financial assistance available from JCPs for equipment and travel costs.

My Work Coach told me they could provide financial aid to go there and come back. [Participant asked about getting this but…] she didn’t get back to me though, but I carried on and didn’t let that distract me, I spoke to some of the participants who did have the financial support, I wrote it in the journal about it but they [the Work Coach] never got back to me”. (Claimant, Logistics SWAP , Area 2)

8.7. Post- SWAP

Some claimants discussed their experience post- SWAP , and where this was the case, they tended to feel they had not received enough or any support during this period. This was occasionally perceived as a lack of emotional support, wherein claimants felt that once the SWAP was completed, Work Coaches stopped being as responsive as they were during the referral and training periods.

When my course finished and I saw a different Work Coach, they only asked if I completed the course and got a certificate, I feel like I don’t spend more than 2 minutes, because I am waiting, and [they] only ask how [I] am doing, we have this and that.” (Claimant, Administration SWAP , Area 2)

Though not explicitly mentioned by participants, the data indicated that there could be a lack of clear responsibility taken by the end employer, training provider or JCP in the period between claimants finishing a SWAP and either beginning employment or looking for other work. This tended to be the case when pre-employment processes were delayed and/or disorganised, or the end job was not in line with what had been advertised. In these cases, claimants were often frustrated and suggested there was a lack of accountability and support available to resolve these issues.

When I get to the venue for the interview, I was interviewed for the kitchen staff not the support worker. I said I’m here for the support worker job and they said, ‘oh there’s no jobs for that, they’ve all gone’, so I was interviewed by the restaurant staff and cleaner. […] I did let the company know, the one we went on the course with, I let them know the situation and she noted it all down, but I didn’t hear anything, so I don’t know if she did anything with it.” (Claimant, Healthcare SWAP , Area 1)

8.8. Overall reflections

Overall, most claimants across all areas perceived SWAP to be a positive experience.  In line with previous research findings ( DWP 2013a; DWP 2014) the claimants interviewed primarily felt they had gained new skills that would support them in attaining employment. In addition, some claimants shared that if it were not for their involvement in SWAP , they would not have considered work in that particular sector, suggesting that the programme can provide claimants with a greater view of jobs than traditional job searching.

Interviewer: Would you have considered a job in this area without attending the programme? Claimant: It didn’t even come to my mind, and I thought I couldn’t do it due to my sciatica, it is hard work, I only did it as the Work Coach said good things about the course”.  (Claimant, Healthcare SWAP , Area 1)

Some claimants, however, felt that while the SWAP was a good experience overall, they didn’t find it useful, or it didn’t translate into employment as they had expected; however, this tended to be when a claimant wanted a job in a specialised area, such as IT and Communications.

8.9. Summary

Claimants reported a variety of motivations for taking part in SWAP and while the overall experience of claimants tended to be positive, the SWAP wasn’t always considered useful for moving into employment. SWAP outcomes for claimants are discussed further in Chapter 10. In terms of the specific components of SWAP , claimants tended to report the PET was most useful when it was specific to the end role or sector, and less useful where it duplicated existing knowledge or was considered less relevant. It was evident that few claimants took part in a WEP , although the idea of work experience was considered valuable in terms of gaining hands-on experience with which to test out the role and increase their confidence. Similarly, the GJI was perceived as an important part of the experience which, when not provided, was disappointing for claimants. In general, claimants reported few issues in being able to attend the SWAPs , although some claimants with caring responsibilities could find this challenging. Finally, claimants viewed positively any financial or other logistical support they received during the SWAP , although there were some gaps reported, particularly in terms of the period between finishing a SWAP and either starting work or continuing with job searching.

9. Employer experiences of programme delivery

Following on from the claimant experiences of SWAP , this chapter covers the key themes related to employers’ experiences of this programme. The chapter starts with an overview of employer motivations for taking part in SWAP . Attention then turns to employers’ understanding and reflections on the specific components of the programme (for instance, the PET , WEP and GJI ). It also covers employer reflections on claimants’ attitudes, and challenges in working with DWP on SWAP .

9.1. Motivations for taking part

Overall, employers saw SWAP as one approach in their repertoire of recruitment strategies, alongside social media, online portals, outreach to educational institutions, as well as other DWP programmes like Restart. Some employers noted that recruitment had become harder since the Covid-19 pandemic. In particular, employers noted that they struggled to fill roles that involved shift work with anti-social hours.

Aside from recruitment value, some employers viewed SWAP as facilitating their commitment to corporate social responsibility. The opportunity to serve the local community through providing employment was a major motivating factor for their engagement in a SWAP .

We’ve supported the local community, youngsters who want to change their lives and get something consistent that gives them a career progression.” (Employer, Area 2)

When expressing their satisfaction at seeing good outcomes for claimants, diversity was a common theme, a sentiment which was also expressed by some training providers. Employers held diversity in high esteem across the breadth of intersectionality (for example, age, ethnicity, class, disability). They were satisfied that SWAP had broadened the pool of candidates applying for their roles. For one employer, this aspect of SWAP was thought the most beneficial of their experience:

the diversity of the group. It was fantastic for us, we definitely have a core audience and the people who came [claimants] broadened the ethnic and socioeconomic background, even age we had guys aged 19 to 62. It was such a diverse group so from our perspective, being able to learn from that and reach different audiences has been really beneficial.” (Employer, Area 4)

9.2. Understanding and experiences of SWAP components

Overall, employers were enthusiastic about the premise of SWAP . They liked the flexible, holistic format of the programme and its potential to deliver positive outcomes for themselves and claimants. At the same time, employers’ understandings of the programme varied, and a small number of employers held misconceptions about it. These misconceptions related to their responsibilities regarding SWAP delivery, minimum length, and the necessary components of the programme. For example, one employer thought that a SWAP had to be 6 weeks long rather than up to 6 weeks. This meant that this employer was contributing more time and effort than was proportionate to their vacancy requirement. Other employers described SWAPs that appeared to last beyond the intended 6-week timeframe.

[laughs at question] “That was another thing, my understanding was that I thought it [ SWAP ] had to be 6 weeks. Nobody told me that it could be a few days, I wouldn’t have planned 6 weeks if I didn’t have to do 6 weeks [laughs]” (Employer, Area 4)

A small number of employers also varied in their understanding of the training element. For example, one thought that they themselves were responsible for providing training, whilst another thought training was no longer a required element for a SWAP .  When reflecting on their experience, most employers felt that the PET delivered was bespoke and appropriate to their needs, and that claimants who completed the training were well-prepared for their interviews, knowledgeable and confident.

We’ve had lots of positive feedback, it gives the candidate a really good understanding and foundation, employers feel that candidates come more prepared, so on interview day, they have lots more knowledge and understanding than someone who would come to them through a direct application.” (Coordinating Employer, Area 4)

In contrast, where employers were less certain that the training had met their needs, this tended to be where they weren’t sure what training had been delivered, or they considered the training to be less necessary for their sector. This was mentioned by two logistics employers (warehousing) and one hospitality employer, with one of these employers stating that for them claimant attitudes were much more important.

I understand the training is somewhat important, but for me it’s the attitudes of the candidate […] they come and do this course as a refresher […] any bad habits may be ironed out and then it’s about attitude, what I’m looking for is someone attempting the course with the idea of kickstarting their career and getting started again rather than ‘oh fantastic you’ve got a piece of paper’.” (Employer, Area 1)

A small number of employers believed that work experience was not a mandatory element of SWAP , with one employer associating work experience only with very young people, stating:

[It’s] just not the environment for a work experience thing, and we can’t hire anybody below 18 years old because of dealing with age restricted products, it’s just not something that we offer.” (Employer, Area 3)

As a result, some employers admitted they didn’t offer any form of WEP on their SWAP , and this was particularly the case in Area 3. Other employers stated that they did provide some work experience, such as shadowing existing employees or presentations about their company, however many acknowledged that a more practical, hands-on WEP would be challenging to provide due to their wider operating environment, and the duty of care these employers had for the participants, and those around them (for example, vulnerable patients receiving care, or other workers present on their construction sites).

Yeah from my point of view we’d have to issue a whole other process to give these guys [claimants] work experience. Health and safety, as you probably know, is a big issue in construction and we don’t want to put people in harm’s way. Like, when people don’t do a job properly this can cause something bad to happen on site.” (Employer, Area 4)

In terms of the GJI , most employers stated that SWAP attendees went through the same interview process as other candidates. One employer believed that the GJI was the most attractive component of the SWAP for claimants, and the main reason claimants participated in the programme.

As an employer, the [ GJI ] is how you’re going to get people…People won’t turn up if there isn’t anything to work towards or a reason to stay.” (Employer, Area 1)

Three employers described a more informal interview process for SWAP candidates which involved the employer telling the candidates about the work, and the expectations involved, to ensure the claimants understood and were happy to proceed with this. For one of these employers, this interview took place at the start of rather than at the end of the SWAP , and for them this approach worked well in screening out unsuitable candidates for the SWAP and the role.

I think the suitability works for us, I would say again… the vetting process the college have in place, I work very closely with them, the initial leg work they have done and that I have done with them to make sure we are attracting the right people… it works well actually” (Employer, Area 2)

For a further two employers, referred claimants were interviewed twice, once at the start of the SWAP , and again at the end. Both interviews were conducted by different parties, and the initial interview was focussed on checking claimant suitability for the SWAP (including aspects such as Maths and English ability, claimant understanding and interest in the role). An interview for the end role then took place following the PET and WEP . It’s worth noting that all three of these employers were satisfied with the suitability of candidates who then progressed onto the SWAP , and this initial screening interview may have been beneficial for this. Further reflections on claimant suitability, in terms of claimant attitudes are detailed in the next section.

9.3. Employer perceptions of claimant attitudes

As outlined previously (Section 7.3. Effectiveness of the referral process), while a small number of employers were very satisfied with the suitability of claimants referred to the SWAP , most reported some experience of claimants being referred that they didn’t feel wanted to work, either in the roles they were offering or more generally. This was usually speculated to be the case where employers thought claimants were reluctant to participate, employers experienced claimants dropping off the SWAP part-way through, or claimants failed to disclose important information relevant for the end role (for example, failing drug and alcohol screening and DBS checks). While some employers felt that internal processes could be more thorough to address this issue (explored further in the next section), a small number thought this issue was reflective of the wider claimant pool DWP is currently working with due to recent labour market changes.

This is where fundamentals of sector-based work academy fall down, people that are unemployed coming to jobcentre, a good chunk of them it’s got nothing to do with skills and capability. […] it doesn’t come down to ability, it comes down to attitudes, wants and desire, to get up at 5 o’clock in the morning in the middle of November when it’s raining. […] these are the things that are missing” (Employer, Area 1)

9.4 Working with the JCP

Beyond the more general points around partnership working described in Chapter 6, employers reflected on the positives and challenges involved in working with DWP . Most employers reflected positively on their experience of working with JCP Staff to deliver their SWAP . Where this was the case, employers valued the regular communication they received from JCP Staff and felt that these staff members did everything they could to make the SWAP a success and obtain a sufficient number of referrals (even where this ultimately wasn’t achieved).

Interviewer: “What does the [ DWP ] do to make it work so well? Participant: They advertise for the job, organise presentation days, got in touch with training providers to get it up and running, organise work experience, interviews, we agreed times with them. It took a lot of time away from recruitment for us”. (Employer, Area 1)

A significant minority did, however, reflect on challenges they’d experienced working with DWP staff. This mostly linked back to the dual issues of quantity and quality of referrals to SWAP covered earlier in the report. In cases where fewer referrals were received than expected, some employers were unsure whether the SWAP had been sufficiently promoted to Work Coaches. Where employers experienced issues with claimant suitability, a small number of employers thought that more robust screening of candidates within JCPs was required to ensure candidates were a good fit before being referred. This echoed the findings of a previous study (2013b) whereby employers suggested improving the programme by having JCPs conduct more checks on the suitability of the claimants referred, and better preparation of these claimants to reduce drop-out rates. It’s worth noting, however, the barrier to this in terms of the amount of time Work Coaches have in which to make considered referrals to the programme (see Section 7.4. Factors affecting referrals). A further employer believed individual staff within DWP should be held responsible for the quality of referrals, and contextualised Work Coach behaviour as directed by DWP culture, which they perceived as overly target-driven.

 “There should be true accountability on advisers in jobcentres […] for want of a better phrase, you’re wasting employers time […] if it went really, really badly, well it did go badly for me, I’m lucky, I know SWAPs can work, if it went really badly [and didn’t know how well they can work], I might say I’m not working with jobcentres again […] so for me, some proper accountability, but also again, accountability on all parties to make things work.” (Employer, Area 1)

To address issues with the volume and quality of referrals, a small number of employers indicated they would like to be more involved in the referrals process at the very start of SWAP set-up. These employers stated that they’d be happy to have greater involvement in the claimant screening or vetting process or said they would be open to meeting directly with claimants and Work Coaches to discuss the SWAP opportunity and explain the candidate criteria more directly. These employers were keen to be involved in these processes and believed these measures would help them curate their intake of candidates. It’s worth noting, however, that while this is a good solution for employers who are happy to provide more input into the SWAP process, other employers valued SWAP because it saved them time with their recruitment processes.

I think probably more detail and work in regard to the referrals side for me, more time with Work Coaches to be able to understand it a little bit more and what they’re talking about to candidates when talking about the role, and that just saves time, time’s quite precious. We’re happy to attend jobcentres to increase knowledge and build relationships.” (Employer, Area 4)

9.5. Overall reflections

Although most employers reflected positively on their involvement in SWAP , particularly in Area 1, across other areas these experiences varied from disappointed to very satisfied. Despite this, employers’ engagement with the programme did not seem to be determined by the outcomes they gained from it. Even employers who had been disappointed with their experience indicated they would continue to engage with SWAP in the future, hopeful that the programme could improve.

Yeah, I mean I think, although we’ve not had the numbers come through we’d hoped, we’re not in the position where we’d say it’s a lost cause. With any new endeavour there are bumps in the road, what you have to do is look at each constituent part […] are there opportunities in each part to tweak it, refine it and change it? We’re only 2 [ SWAPs ] in, it’s still relatively early days, I don’t think we’re in a position where we’ll throw our hands in the air and give up, we’re a long way from that, I think there are plenty of opportunities we can look at that in more detail.” (Employer, Area 3)

9.6. Summary

Overall, employers shared diverse experiences of SWAP . Among the key motivations expressed by employers for taking part in the programme were its potential contribution to their recruitment process, as well as their corporate social responsibility, suggesting that for some employers their engagement was not simply outcome driven. A small number of employers held misconceptions about the core subcomponents of the programme, and this may have affected their subsequent SWAP offer to claimants. It was also evident that employers held a range of views of the usefulness of PET , which may be influenced by how relevant it was. When offered GJIs, SWAP candidates usually went through the same process as mainstream candidates, however a small number of employers described a different approach that could either be more informal, or involve extra processes, depending on the employer.  Finally, most employers reported encountering poor claimant attitudes during the SWAP , and this was linked by some employers to a lack of oversight and accountability within JCPs for the referrals made.

10. Outcomes from SWAP

Participants discussed a range of outcomes related to the SWAP offer and how these outcomes may vary across claimant circumstances and different types of SWAPs . It is worth noting that participant reflections about outcomes were relatively similar across case study areas, but there were nuances in terms of the type of participant and their role (for example, claimant vs. DWP staff). Participants were prompted to reflect on specific outcomes such as employment and confidence for claimants, and outcomes relating to vacancies filled for employers. 

10.1. Labour market and employability outcomes for claimants

Two types of outcomes for claimants were evident in the data collected. These were 1) labour market outcomes and 2) employability outcomes, with employability outcomes more prominent in the data.

Labour market outcomes

Only a small number of claimants were in work at the time of the interview and some of the reasons provided by claimants for this were related to health conditions, caring responsibilities, or waiting for pre-employment checks to go through.  However, the lack of employment could also reflect an issue with the fit between SWAPs and claimant circumstances (see also Section 7.3 on quality of referrals). This is evidenced below whereby the claimant didn’t take up the GJI offered during the SWAP because they would not have been able to do the end role. This participant later stated that their Work Coach was happy for them to be referred to the SWAP just so they could gain the course certificate.  

Interviewer: Did you take up the offer? Claimant: No because I have health problems. [I] wasn’t fit to work on [a] construction site.” (Claimant, Construction SWAP , Area 3)

It is worth noting that when claimants were in-work they were in a job which was not always the same as the job role linked to the SWAP , or it was not always clear whether the claimant’s current job was linked to the SWAP or not. For example, a claimant from Area 2 who went on a logistics SWAP had to wait a while for the GJI appointment to come through for the SWAP , and in the meantime, applied for a role at a different company they were now working at. A different claimant did start work but the job they found was not suitable for their health condition and it appeared (from the interview more broadly rather than the quote below) that the job in question was not the job role linked to the SWAP but one they found through their Work Coach afterwards:

Well I got the interview for the ward hostess ‘cos I thought I’d give that a go, and I got the position, but like I said I couldn’t manage. My Work Coach [name] said, try it, see how you get on, you never know. [I was] run ragged, you know, 6-hour shift and only a 15 minute break, you never stop, trolleying meals, trolleying back, cleaning the dishes, cleaning the floor […] I got told off for talking to a patient, the lady [patient] worked at the [name] bank, she was disgusted. My leg was killing me when I was coming home, it was throbbing, I couldn’t walk, the next day was horrific.” (Claimant, Healthcare SWAP , Area 1)

Evidence that SWAP leads to employment was more prominent in the data from DWP staff and training providers. Some staff and training providers cited success rates that were widely-ranging. These numbers have not been cited in this report because it was not always clear on what evidence the cited numbers were based.

…they complete and mostly most people get offered a job I would say, from the ones I’ve run, there’s very few, more like the odd person who doesn’t get offered a job at the end of it”. (Staff, Area 1).

At times the link between SWAP and claimants starting a new job could be more indirect. For example, SWAPs could indirectly help in hiring a claimant by providing an opportunity for the claimant to meet a prospective employer and show their potential.

[Claimant] was supposed to be starting on a SWAP on the Monday but they [the employer] had a word with him on the Friday, and they employed him directly as a team leader and so we were actually down one star on our SWAP ‘cos actually they just literally gone straight into employment, direct employment with him which was absolutely great for the customer”. (Staff, Area 3)

Despite the indirect impact of participating in a SWAP , there were situations where the job claimants moved into was accessible through other means. For instance, a claimant from Area 1 felt that they could have signed up to the recruitment agency they worked for without having to go through the SWAP in administration. In another case, a claimant got a job through their personal networks.

Interviewer: Have you applied for any jobs in this sector? Participant: No, I already have a job lined up at my friend’s business. I don’t have to apply for it.” (Claimant, Security SWAP , Area 3)

Employability outcomes

In addition to leading to employment, there were also instances where SWAPs enabled claimants to move closer to the labour market by increasing their employability, and SWAPs facilitated this in several ways. For example, participants highlighted the role of gaining a qualification for accessing employment opportunities within the relevant sector. Where they did not lead to gaining job/sector-specific skills, SWAPs could boost claimants’ general employability skills by improving their understanding of the recruitment process

Now I have my [ SIA ] badge I have an advantage [when applying for the security jobs]. For some companies they will train you and help you with your badge, but we are already trained.” (Claimant, Security SWAP Area 2)

A second important type of employability outcome was related to confidence, which could mean the confidence to learn new skills as well as confidence to navigate the recruitment process.

I got confidence!… I knew what to expect but still nervous because it had been 12 years and I’ve been a carer and all my skills have gone. It’s always nervous because you know at end of the week you need to take a test… Now I’ve passed I know I can still do it […] I can still learn new skills and contribute.” (Claimant, Logistics & Freight Transport SWAP , Area 1)

A third type of employability outcome related to exploration, for instance, trying out a new type of job or a new type of sector. For example:

Interviewer: Did you get anything beneficial from your day? Participant: Yes, I realise I can work in a warehouse job because I found out what it is.” (Claimant, Manufacturing SWAP , Area 3)

10.2. Facilitating the recruitment process for employers

Beyond outcomes for claimants, SWAPs could help with job-matching and filling vacancies in the local labour market. From the employers’ perspective, SWAP could facilitate the recruitment process by linking them with relatively suitable candidates.

We got 15 people recruited in the end via a SWAP model, they all came through the SWAP . We did have others on the SWAP for other roles too. The people into work was higher than 15.” (Employer, Area 1) The SWAP model is a bit of a safety net for HR, because people are going on the SWAP it’s almost like a long interview… we can see if they turn up every day, what’s their attitude like? The colleges give us a bit of a report for each person which gives reassurance and makes them more willing to offer them the jobs.” (Employer, Area 1)

However, there was a sense of doubt about the magnitude of the effectiveness of the SWAP for employers in terms of the number of vacancies filled.

If the intention is to bring people into work that are good candidates, appropriate candidates, we’d want to see more of those outcomes coming to fruition. Two heads out of a circa of about 18-19 people, probably isn’t a good conversion rate. We’ll see how SWAP 3 goes, I’m hoping for a better conversation rate. So that’s probably, the outcomes aren’t delivering the intention and that’s the only bit of the SWAP at the moment I’m thoughtful about. If it doesn’t deliver, we’ll have to look at the constituent parts in detail and whether they’re aligned to achieve those outcomes.” (Employer, Area 3)

Some employers also mentioned issues with staff retention. While claimants recruited through SWAPs did not always stay, they may still continue their labour market activity through other employment or education. Nevertheless, these claimants would arguably still move forward on the journey to a better job and/or a career.

A couple have come through SWAP a few have left us and gone elsewhere. Our success has been our downfall. One lady left us to work in schools with special needs, but never would have thought about that career (without the care experience), and she also wanted to be closer to home. Another has gone into study nursing. He’s a student now. After working for us. He came from the SWAP programme.” (Employer, Area 1).

Despite the magnitude and retention of candidates, which were limited at times, SWAPs could have broader benefits for employers such as aiding diversity (see also Section 9.1. about employers’ reflections on diversity) and saving time and money from outsourcing their recruitment process.

They [the employer] were paying £400 to a recruitment agency to fulfil the contract. DWP has the great thing of being free and it’s been very successful in employing the people that they need.” (Staff, Area 3)

10.3. Variation of outcomes of SWAPs

Participants were asked to reflect on how the outcomes of SWAPs vary in terms of claimant circumstances and employer/ SWAP type. Each of these variations is now discussed in turn. It is worth noting that participants found questions about variation of outcomes difficult to answer. In fact, influences such as sector demand, the skills gap and ability for a SWAP to close this gap, and whether these roles are basic entry level role or more career-type opportunities, were also thought to be important.  Therefore, rather than a robust classification, there was evidence in the data of complex linkages between outcomes and claimant and employer circumstances, and the interaction of these circumstances may lead to the effectiveness of certain SWAPs . For example, this is likely the reason why very specialised SWAPs such as rail track engineering or fibreoptics were used as examples of a successful SWAP – due to employer demand, the ability of these SWAPs to deliver a package of training that would be difficult for claimants to access otherwise, and the earning and career potential of the end roles available.

Variation of outcomes by claimant circumstances

While some participants felt that SWAPs are suitable for everyone, others identified a wide range of claimant circumstances where SWAPs may be beneficial. SWAP was seen as beneficial for exploring new sectors and as such it was suggested it could be suitable for those returning to the labour market after a long period of being out of work but also those who are new to it (for example, young people). Such exploration could also be prompted by external factors such as the Covid-19 pandemic.

With customers, it’s anybody that their knowledge of a sector or knowledge of recruitment is lacking. Particularly younger people that are new to the labour market knowledge from schools is lacking so the pre-employment training is massive. Those that have been unemployed for a long time, there were a lot of people that lost jobs in Covid so they learn about sectors that they hadn’t worked in. Parents that have been caring for children for a long time. Anyone away from the labour market for a while or wants to move sector will gain.” (Staff, Area 3)

Claimant attitude was also seen by DWP staff as an important factor linked to the effectiveness of SWAP . For example:

I think it’s got to be about that individual wanting it as well, that’s a massive factor. And I guess it’s about helping that person understand maybe what skills they’ve got. It might be really obvious, but for others it might be talking about transferable skills so that they can go, oh yeah okay, and then build on it from there. But it’s very much about the individual and their matching on it, and people being realistic about what jobs are in the local area.” (Work Coach, Area 3)

Participants (especially DWP staff) felt that SWAP could be beneficial for particular groups like older people, those with health conditions and those who experience language barriers, but special considerations are needed in order to achieve a successful SWAP outcome, and these claimants would need to be eligible and appropriate for the roles offered at the end of the SWAP .

Work coach: “I think some adaptability is needed, although we did run a special swap for our Ukrainian customers and that worked quite well. So maybe some of them have to be tailored a bit which makes it a bit more difficult, but yeah that one was quite successful, the Ukrainian SWAP ”. Moderator: What made it successful? Work coach: “We had a translator in it […] company that wanted sort of specific staff and they were willing to make work adjustments and they’d had that discussion beforehand, so it just takes a bit more planning I think.” (Work Coach, Area 3)

Variation of outcomes by employer characteristics

Participants were prompted to reflect on employer characteristics and how these linked to the effectiveness of SWAPs . Emerging factors linked to effective outcomes included 1) the employer being large (for instance, having a lot of vacancies to fill), 2) the SWAPs being employer-led (as detailed in Section 6.4), 3) the employer expanding in the area, 4) where there is a misunderstanding around the type of work involved (for example, care work) the SWAP allows the employer to provide this information to candidates, 5) where there are good transport links to the employer location and 6) where there is high turnover.

A SWAP will work best for bigger organisations or middle size organisations with enough vacancies to do a SWAP . The one-man band with one vacancy we know it’s not really - not relevant for them”. (Staff, Area 4)

Variation of outcomes by SWAP characteristics

Finally, participants were prompted to reflect on the SWAP characteristics that led to the effectiveness of the programme. These characteristics could be grouped in terms of 1) delivery mode, 2) content of the SWAP , and 3) sector or role, each of which is now discussed in turn.

First, in terms of delivery mode, participants linked SWAPs success to face-to-face delivery, which could be linked to better engagement from claimants.

I prefer face to face. And it surprised me to say that because during the pandemic, when we did go virtual, I thought this is a really good idea. This, ‘cause you do your course at home and get your job interview via teams and you can, you can be starting work but it’s difficult. It’s easy to go missing, not to log on one day. Whereas I think if you’re doing a face to face what you gotta [sic] get up, you gotta [sic] get dressed. You gotta [sic] get out the house […] it all looks into that mindset that you need in order to start work, so I prefer face to face for that reason.” (Staff, Area 1)

In terms of duration, SWAPs of different lengths may be linked to different outcomes. For example, longer SWAPs were seen to be linked to a greater sense of responsibility and ownership from the participating claimants, and allowed a greater depth of training to be delivered. Shorter SWAPs on the other hand were thought to be better in terms of maintaining claimant engagement through the different elements of the programme to the end. This suggests that SWAP length needs to be personalised and bespoke to the employment opportunities on offer.

I think the longer ones do grow a sense of ownership for the customer, so they do grow into it a bit more as opposed to the short half day things we’ve offered in the past. They don’t give any sense of responsibility, and they’re not necessarily gonna keep to that job, like it might be a hospitality job or something like that. The rail tracks that were running rail futures, it’s a very high result coming out of it after 6 weeks of training.” (Work Coach, Area 3) I think, for the majority of them, sort of a week or two weeks, that kinda [sic] keeps the interest and gives them the opportunity to get the training qualifications and that bit of work experience. And if you can keep the job interview either within those days or like the following days, once they’ve completed the training and the work experience, then that’s the best time to kind of have it really.” (Staff, Area 4)

Second, in terms of content, participants linked the effectiveness of the programme to the SWAP having a qualification attached to it and the SWAP including a guaranteed interview. In terms of the SWAPs having a qualification attached one participant explained:

We have a substantial amount of vacancies in them areas but also they get the sector training. So, for example, they’ll get the CSCS card, so the health and safety card which gets them onto construction sites …security, again, they would deliver the SIA licence so there’s also that, so at the end of it they also have the CSCS or the SIA badge…if they don’t get through that interview for the guaranteed job interview, ‘cause you know, not everyone will get the job at the end of it, they still have them skills and that qualification at the end to then look for other vacancies within that sector.” (Staff, Area 4).

In fact, DWP staff often gave examples with qualifications in construction (for example, CSCS cards) and security ( SIA badges) but driving qualifications like those for HGVs were also present in the data. As noted in Section 5.1. which outlines the SWAPs delivered locally, these qualifications were often linked to longer SWAPs . Arguably having such qualifications gave holders a competitive advantage in a particular sector. In terms of guaranteed interview as a SWAP characteristic potentially linked to SWAP effectiveness, one participant noted:

…if there’s no jobs at the end of it, then where do the customers go from there, they can put that on their CV but there’s nowhere for the customer to go from that, I think it’s always better for there to be a guaranteed interview at the end of a SWAP .”  (Work Coach, Area 2)

Third, in terms of variation by sector, a wide range of sectors were reported by participants as being linked to effective SWAPS, including (not in order of prominence in the data): construction, customer service, security, health and social care, administration, hospitality, rail, warehousing, manufacturing and logistics. There may have been slight variations in what SWAPs were perceived as being effective in different areas and a tentative suggestion could be made that these variations could be due to local labour market conditions such as local sector demand. At the same time participants shared some challenges related to specific sectors. For example, participants explained that the issues in the care sector included low pay, high turnover and difficulties in the recruitment and engagement with care SWAPs .  

I know when we’ve done health and social care in the past, it’s a difficult one to recruit into, but we do get good outcomes, but the customers don’t tend to stay. But it’s more about the sector rather than the quality of the swap, that sector, people don’t stay in that particular role.” (Staff, Area 1)

Similarly, the Civil Service SWAPs were seen as effective by some DWP staff, but due to regulations governing recruitment they do not offer a GJI and therefore they are not linked to a specific vacancy, which limits the direct labour market outcomes this type of SWAP can achieve. For example, some Work Coaches in Area 2 reflected that while they were often advertised as ‘admin’ SWAPs , the content wasn’t directly relevant to admin, and therefore claimants interested in this sector would be better off with a course that focussed more on computer or Excel skills.

Monitoring of outcomes

Finally, at least one member of staff in each of Areas 2 to 4 highlighted that there needed to be more monitoring and review of outcomes locally in order to understand which SWAPs were more or less effective at delivering for claimants and employers. In each district there appeared to be a strong focus on SWAP starts, with little evidence of DWP staff using SWAP tracker data at the district level to inform programme decision-making (although this wasn’t directly asked about). Where a need for greater monitoring was mentioned, these participants thought that a better understanding of these outcomes could be used to inform and improve future SWAP opportunities in their districts.

I think at the minute we’re doing okay. At this rate, you know this pace, we’re gonna be exceeding our profile by the end of the year. What we’re not doing enough of at the moment is capturing that result of what the actual outcome of the SWAP was. So, you know, yes we’ve had, I don’t know, 2,000 people start a SWAP , but what we’re still not clear about is how many of those people who have started a SWAP actually found employment and got into work? And who was successful? Who wasn’t successful? How do we then capture some of that feedback and improve our future opportunities?” (Staff, Area 3)

10.4. Summary

Overall SWAPs led to different sets of outcomes for the claimants (for example, labour market outcomes and employability), and the employers involved (for example, job-matching and facilitating the recruitment process). Outcomes for these groups could vary in several ways. Individual circumstances (for example, health conditions) required different considerations to ensure the effectiveness of SWAPs , and employer characteristics such as size, expansion in the local area and location were also considered important. The effectiveness of the programme also varied according to a range of SWAP characteristics such as mode of delivery (for example, face-to-face), content (links to a GJI and to specific qualifications) and the sector of the opportunity. Finally, there was little evidence of systematic monitoring of SWAP outcomes and usage of this information locally.

11. Conclusions

The aim of this research was to increase understanding of the differing types of SWAPs offered and how these impacted on claimant and employer experiences of and satisfaction with this programme. To achieve this aim and provide in-depth, insight, the research used a case study methodology to cover four JCP district areas. In each of these areas interviews and focus groups were conducted with DWP staff, training providers, claimants and employers involved in the programme. The findings provided important insights on the variations of SWAPs delivered, the experiences of those involved, and the extent to which the SWAPs encountered met claimant and employer preferences, as well as the barriers and facilitators to meeting these.

Variation in SWAPs

There was significant variation in the SWAPs delivered across all case study areas, with variations observed in terms of length, core components delivered, mode of delivery and the specific skills and/or qualifications gained. This diversity showcases the flexibility of the SWAP model, in that it can be applied to a range of job roles and sectors. However, given the scale of variation encountered it is difficult to propose an all-encompassing typology that reflects this diversity. Instead, this study has identified the strengths and weaknesses of different models of SWAP as well as wider elements of programme delivery encountered through the research.

SWAPs that were initiated by training providers with their own end employers, for example, tended to be considered more challenging in terms of DWP staff obtaining updates on claimant progress and outcomes, due the increased distance of staff from the end employers. This meant it was more difficult to identify when these SWAPs were not delivering as intended. Similarly, SWAPs that involved active employer input and engagement were thought to increase the interactions between claimants and employers, and facilitate a better fit between employers’ needs and the content delivered.

Length of SWAPs was an aspect that received mixed reflections. Longer SWAPs were viewed by DWP staff as beneficial for providing claimants with more responsibility and ownership of the training opportunity, and some claimants reported that they’d have liked their SWAP to have been longer to reduce the pace and intensity of the learning they received. More commonly, DWP staff and employers stated that shorter SWAPs were better in maintaining claimant engagement and reducing drop-off rates. 

SWAPs with PET that was considered relevant and linked to the specific role or sector in which the role was offered were valued among claimants and most employers. In addition, not all SWAPs delivered a WEP and a GJI , despite claimants valuing the idea of these components for enhancing their skillsets and CVs. Ensuring all SWAPs contain the required components could improve claimants’ overall experiences of the programme. Some employers, however, reflected that providing a WEP could be difficult to arrange due to practical issues such as the need to complete background checks, obtain licences or undertake further training to be able to enter their work environments.

The variation in SWAPs encountered likely corresponds to the way that SWAPs are created from a complex interplay of internal and external factors. This research suggests that internal influencing factors relate to the very localised set-up of SWAPs , and therefore include the operational staffing structures used within JCP districts (whether centralised, localised or clustered) which can affect aspects such as ease of information sharing regarding SWAPs and ease of outcome tracking and monitoring. Other internal factors include staff knowledge and understanding of the programme, and the strength of relationships and ways of working between DWP staff, training providers and employers. External influencing factors evident within the data included local labour market conditions, as well as funding sources used to fund the PET , and their associated restrictions.

Experiences of the programme

Given the variation in SWAPs it is therefore understandable that experiences of the programme were also varied. Experiences varied not only across case study areas, and the different SWAPs delivered, but also across types of participants (such as between claimants and employers).

Among DWP staff, most felt SWAPs were successful at moving claimant into employment and that local delivery of the programme aligned well with labour market needs in their areas. Overall claimants tended to report a positive experience, although SWAPs weren’t always thought to be useful for moving directly into work. Similarly, employers were generally positive about the programme, with poor experiences mostly linked to a perceived lack of claimant suitability and negative claimant attitudes. This highlights the importance of the referral process in terms of linking the right claimant with the right job opportunity (and therefore employer), and the need for detailed discussions between claimants and Work Coaches about the expectations involved (something few claimant participants reported having taken place).

Although support mechanisms were identified in the data that facilitated the SWAP journey for claimants and employers, there were also some notable gaps which could negatively impact outcomes of this programme. Claimants overall felt supported in their SWAP journey however there was appeared to be a gap in terms of follow-up support after the SWAP was completed, and financial support regarding travel costs and/or equipment didn’t appear to be consistently offered. There may also be a need for expanding provision to provide more opportunities for claimants with particular circumstances, such as claimants with health conditions, caring responsibilities (such as childcare) and claimants who may experience language barriers. These claimants would, however, still need to be eligible and suitable for the jobs on offer at the end of the SWAP .

Delivering for employers and claimants

Finally, this study provides valuable insight into the extent to which, as an overarching programme, SWAP achieved outcomes for employers and claimants. Overall, the wide range of perceived purposes of the programme identified by DWP staff aligned with the outcomes noted by research participants, although the envisaged outcomes were not always achieved. Participation in SWAP only led to employment for a small number of claimant participants; however, most claimants interviewed felt it had moved them closer to work by providing them with more general employability outcomes, such as sector-specific skills, improved understanding of recruitment processes and improved confidence.

For employers, SWAPs could help facilitate their recruitment processes by linking them with suitable candidates, as well as reduce the cost of their recruitment and contribute towards widening the diversity of their candidate pools. Not all employers felt that their vacancy needs were met by SWAPs and where employers were disappointed in the outcomes achieved, this was either in terms of the number of claimants recruited through the SWAP and/or the suitability of the candidates referred. These employers suggested more robust matching of claimants to SWAP opportunities or screening of referrals was needed by DWP staff.

Reflecting the variation of SWAPs encountered, it is difficult to attribute positive outcomes for claimants and employers to specific types of SWAPs delivered, and DWP staff across all case study areas found it difficult to do so. When asked to share effective SWAPs , for example, a wide range of sectors were listed by participants. Looking across the data, in general, DWP staff linked effective SWAPs to face-to-face training (which maximised claimant engagement), the delivery of a qualification (increased claimant competitiveness in specific sectors), and the presence of a GJI as part of the SWAP offer (thought to lead more directly to employment opportunities). Again, difficulties identifying effective SWAPs likely reflects the complex interplay of factors that influence these outcomes, with local sector demand, the ability of a SWAP to close the skills gap concerned and the type of end role on offer (in terms of whether it opens a career pathway) also considered relevant by DWP staff. Finally, there was an emphasis locally on the number of SWAP starts achieved against allocated profiles, and a small number of staff highlighted the need for greater monitoring and review of outcomes in their districts. Therefore, these findings collectively suggest the need for more active and efficient monitoring of SWAP outcomes to facilitate the easier identification of SWAPs to be prioritised at a national and local level.

Overall SWAP is a widely diverse programme that has been shaped by local practices, networks and labour market conditions. The diversity of SWAPs reflects the flexibility of this programme and the mostly positive experiences of claimants and employers detailed in this report demonstrate its potential to meet the needs of a range of claimants, employers and the DWP . On the following pages, specific learning from this research and implications for future programme delivery are drawn out further.

12. Considerations for future programme delivery

The findings presented in this report indicate the following areas should be considered for improving future SWAP delivery:

Providing further guidance/communication to DWP staff on the intended claimant target group(s) for the programme.

To improve consistency in the referrals made and ensure that claimants referred correspond to the groups the programme is designed to support (claimants “close to the labour market”).

Ensuring the conditions of SWAP funding are broad enough to support technical training to meet more specific roles and/or sector needs, as well as claimants of all ages.

To address any bias towards more generalist training in AEB -funded courses, and the current gap in funding for claimants aged 16 to 18 years.

Providing guidance to DWP staff responsible for SWAP delivery on alternative funding sources for the Pre-employment Training ( PET ) component.

To improve staff capability to pursue alternative funding where the skills training gap can’t be bridged by AEB -funded courses.

Providing a single, consistent DWP contact for employers and training providers to use in each district when setting up and/or managing SWAPs in that area.

To improve the experience of employers and training providers of working with DWP to deliver this programme.

Ensuring DWP staff responsible for SWAP delivery understand the expectations of employer involvement in SWAP set-up and management.

To ensure employers are involved and communicate their requirements in relation to the skills to be delivered through the SWAP , and to maximise the flow of information between all parties.

Adding SWAP opportunities to the Universal Credit ( UC ) build.

This would allow Work Coaches and claimants on UC to more easily identify what SWAP opportunities are available, as well as relevant eligibility factors. If claimants reviewed these opportunities in advance of meetings, this could allow more time for discussions on suitability within Work Coach-claimant meetings. Other ways of alerting claimants to SWAP opportunities will still be required for claimants on alternative benefits.

Ensuring more effective pre-referral checks are conducted before claimants are referred to a SWAP .

To ensure the right claimant is referred to the right SWAP .

More effective checks could be undertaken by increasing Work Coach appointment times with claimants for more detailed discussions on eligibility, by having a designated individual within each Jobcentre/site to review eligibility of claimants, or with input from employers and training providers.

Relaxing wider DWP rules on double funding, to allow claimants on other provision to be eligible for SWAP where this would be beneficial.

To widen the available pool for claimants for SWAPs , potentially improving the suitability of claimants referred.

Ensuring SWAPs deliver the Work Experience Placement ( WEP ) and Guaranteed Job Interview ( GJI ) in line with the programme intention as far as possible.

This would help increase the value of the SWAPs for participating claimants by enhancing their skillsets and CVs, and linking more directly to employment opportunities. Where these components are not possible, clear alternatives should be offered and the value of these communicated to claimants.

Expanding SWAP provision to offer more flexibility for claimants considered close to the labour market, but who have extra considerations that can make attending a SWAP more challenging.

This would include, for example, SWAPs with part-time learning for claimants with caring responsibilities, or SWAPs which factor in limited English language proficiency by putting in place measures to aid communication with attending claimants (for example, having an interpreter present). Expanding provision would help address the gaps in provision for these claimant subgroups, for whom a SWAP could be beneficial in finding employment. The jobs on offer through the SWAP would still need to be suitable for these claimants.

Reviewing what quality assurance of SWAPs takes place.

To more easily identify and address issues including irrelevant content, missing components and inappropriate or other problematic behaviour from training leads.

Implementing more active and efficient monitoring of SWAP outcomes at a local and national level to facilitate the easier identification of effective SWAPs .

This could then be used to inform future SWAP delivery.

Ensuring financial support available to claimants for travel, clothing and equipment costs is consistently offered to SWAP participants.

To minimise these costs as a barrier to participation in a SWAP .

Supporting claimants in following up with employers and/or training providers where there are issues post- SWAP (for example, where pre-employment processes are delayed or disorganised, or the end role on offer doesn’t align with the SWAP ).

To minimise the potential impact on employment outcomes where these issues occur.

13. References

DWP (2013a) The Youth Contract: Findings from research with Jobcentre Plus staff in five case study districts, Research Report No. 833 (Accessed July 2022).

DWP (2013b) Employer perceptions of work experience and sector-based work academies, Research Report No. 842 (Accessed July 2022).

DWP (2014) Customers’ experiences of the Youth Contract, Research Report No. 865 (Accessed July 2022).

DWP (2016) Sector-based work academies: A quantitative impact assessment, Research Report No. 918 (Accessed July 2022).

NAO (2021) Employment Support. Session 2021-22, HC 29 (Accessed July 2022).

The programme does not run in Wales.  ↩

For low level sanctions, claimants are sanctioned from the date they failed to meet a work-related activity until they comply with the activity again, or no longer need to comply, plus an extra fixed period of days.  ↩

A ‘start’ is defined as when a claimant begins their pre-employment training.  ↩

A Theory of Change outlines how and why the activities of an intervention (such as SWAP ) lead to the intended or observed outcomes and impacts.  ↩

As a comparison, Jobs Entry: Targeted Support (JETs) aimed to support 286,000 people between October 2020 and October 2021 (NAO 2021).  ↩

A breakdown of participating employers, training providers and claimants by sector of SWAP is provided in Annex 2.  ↩

The claimant sample required a minimum of 150 claimants to have started a SWAP in the previous 3 months and who could be successfully matched to contact details.  ↩

Post- SWAP earnings related to participants who attended a SWAP between 8th February 2021 and 31st December 2021, and who recorded any subsequent earnings up to January 2022. Figures across all JCP districts ranged from 47 to 77%.  ↩   ↩ 2

‘Achiever/Over-achievers’ had an average number of starts on or above the previous 4-week period of their forecasted weekly profile (data relates to w/e 13th March 2022). ‘Under-achievers’ were below their forecasted profile of starts over this period. Districts could, however, still be ahead of their overall forecasted number of starts to have achieved by this point in the operational year.  ↩

Consistency was reviewed by examining recorded starts against expected profile for each quarter of the 21/22 operational year.  ↩

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Home > ETD > Doctoral > 5543

Doctoral Dissertations and Projects

Virtual coaching, self-directed learning, and the implementation of evidence-based practices: a single qualitative case study.

Elisabeth Myers , Liberty University Follow

School of Education

Doctor of Philosophy in Education (PhD)

Christine Saba

virtual coaching, self-directed learning, evidence-based practices, self-determination theory, sustained implementation

Disciplines

Education | Educational Leadership

Recommended Citation

Myers, Elisabeth, "Virtual Coaching, Self-Directed Learning, and the Implementation of Evidence-Based Practices: A Single Qualitative Case Study" (2024). Doctoral Dissertations and Projects . 5543. https://digitalcommons.liberty.edu/doctoral/5543

The purpose of this single instrumental case study was to understand how a virtual coaching program provides opportunities for self-directed learning during the implementation of evidence-based practices for adults at Navigator Coaching. The theory guiding this study was Deci and Ryan’s self-determination theory as conceptualizations of self-directed learning described in the literature mirror descriptions of self-determination. The central research question was: How does a virtual coaching program provide opportunities for self-directed learning during the implementation of evidence-based practices? As a single instrumental case, the setting for this study was one virtual life-coaching program in North America. The sample of participants included 12 adults who were currently enrolled in the program for a minimum of 6 months and participated in weekly program activities. Multiple data collection methods were employed to describe and understand the case: observations, audiovisual materials, and individual interviews. Interpretational analysis and a multistep data analysis process including direct interpretation, categorical aggregation, correspondence tables, and interpretive commentaries were utilized to develop the themes and overall synthesis of the case. Opportunities for self-directed learning were provided in weekly live sessions, modules in the program library, and in the Facebook group. Program members utilized instructional opportunities to satisfy their need for autonomy, thus becoming students of self. Participation in a purposeful community that was focused on solutions provided opportunities for program members to satisfy competence and relatedness needs. Program members implemented evidence-based practices and developed skills to create weekly learning plans, which assisted them in becoming agents of their highest selves.

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