sample case study for 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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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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Home » Case Study – Methods, Examples and Guide

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.

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Research Writing and Analysis

• NVivo Group and Study Sessions
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• Step 1: Seek Out Evidence
• Step 2: Explain
• Step 3: The Big Picture
• Step 4: Own It
• Step 5: Illustrate
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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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• Int J Qual Stud Health Well-being

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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18 Qualitative Research Examples

Qualitative research is an approach to scientific research that involves using observation to gather and analyze non-numerical, in-depth, and well-contextualized datasets.

It serves as an integral part of academic, professional, and even daily decision-making processes (Baxter & Jack, 2008).

Methods of qualitative research encompass a wide range of techniques, from in-depth personal encounters, like ethnographies (studying cultures in-depth) and autoethnographies (examining one’s own cultural experiences), to collection of diverse perspectives on topics through methods like interviewing focus groups (gatherings of individuals to discuss specific topics).

Qualitative Research Examples

1. ethnography.

Definition: Ethnography is a qualitative research design aimed at exploring cultural phenomena. Rooted in the discipline of anthropology , this research approach investigates the social interactions, behaviors, and perceptions within groups, communities, or organizations.

Ethnographic research is characterized by extended observation of the group, often through direct participation, in the participants’ environment. An ethnographer typically lives with the study group for extended periods, intricately observing their everyday lives (Khan, 2014).

It aims to present a complete, detailed and accurate picture of the observed social life, rituals, symbols, and values from the perspective of the study group.

Example of Ethnographic Research

Title: “ The Everyday Lives of Men: An Ethnographic Investigation of Young Adult Male Identity “

Citation: Evans, J. (2010). The Everyday Lives of Men: An Ethnographic Investigation of Young Adult Male Identity. Peter Lang.

Overview: This study by Evans (2010) provides a rich narrative of young adult male identity as experienced in everyday life. The author immersed himself among a group of young men, participating in their activities and cultivating a deep understanding of their lifestyle, values, and motivations. This research exemplified the ethnographic approach, revealing complexities of the subjects’ identities and societal roles, which could hardly be accessed through other qualitative research designs.

Read my Full Guide on Ethnography Here

2. Autoethnography

Definition: Autoethnography is an approach to qualitative research where the researcher uses their own personal experiences to extend the understanding of a certain group, culture, or setting. Essentially, it allows for the exploration of self within the context of social phenomena.

Unlike traditional ethnography, which focuses on the study of others, autoethnography turns the ethnographic gaze inward, allowing the researcher to use their personal experiences within a culture as rich qualitative data (Durham, 2019).

The objective is to critically appraise one’s personal experiences as they navigate and negotiate cultural, political, and social meanings. The researcher becomes both the observer and the participant, intertwining personal and cultural experiences in the research.

Example of Autoethnographic Research

Title: “ A Day In The Life Of An NHS Nurse “

Citation: Osben, J. (2019). A day in the life of a NHS nurse in 21st Century Britain: An auto-ethnography. The Journal of Autoethnography for Health & Social Care. 1(1).

Overview: This study presents an autoethnography of a day in the life of an NHS nurse (who, of course, is also the researcher). The author uses the research to achieve reflexivity, with the researcher concluding: “Scrutinising my practice and situating it within a wider contextual backdrop has compelled me to significantly increase my level of scrutiny into the driving forces that influence my practice.”

Read my Full Guide on Autoethnography Here

3. Semi-Structured Interviews

Definition: Semi-structured interviews stand as one of the most frequently used methods in qualitative research. These interviews are planned and utilize a set of pre-established questions, but also allow for the interviewer to steer the conversation in other directions based on the responses given by the interviewee.

In semi-structured interviews, the interviewer prepares a guide that outlines the focal points of the discussion. However, the interview is flexible, allowing for more in-depth probing if the interviewer deems it necessary (Qu, & Dumay, 2011). This style of interviewing strikes a balance between structured ones which might limit the discussion, and unstructured ones, which could lack focus.

Example of Semi-Structured Interview Research

Title: “ Factors influencing adherence to cancer treatment in older adults with cancer: a systematic review “

Citation: Puts, M., et al. (2014). Factors influencing adherence to cancer treatment in older adults with cancer: a systematic review. Annals of oncology, 25 (3), 564-577.

Overview: Puts et al. (2014) executed an extensive systematic review in which they conducted semi-structured interviews with older adults suffering from cancer to examine the factors influencing their adherence to cancer treatment. The findings suggested that various factors, including side effects, faith in healthcare professionals, and social support have substantial impacts on treatment adherence. This research demonstrates how semi-structured interviews can provide rich and profound insights into the subjective experiences of patients.

4. Focus Groups

Definition: Focus groups are a qualitative research method that involves organized discussion with a selected group of individuals to gain their perspectives on a specific concept, product, or phenomenon. Typically, these discussions are guided by a moderator.

During a focus group session, the moderator has a list of questions or topics to discuss, and participants are encouraged to interact with each other (Morgan, 2010). This interactivity can stimulate more information and provide a broader understanding of the issue under scrutiny. The open format allows participants to ask questions and respond freely, offering invaluable insights into attitudes, experiences, and group norms.

Example of Focus Group Research

Title: “ Perspectives of Older Adults on Aging Well: A Focus Group Study “

Citation: Halaweh, H., Dahlin-Ivanoff, S., Svantesson, U., & Willén, C. (2018). Perspectives of older adults on aging well: a focus group study. Journal of aging research .

Overview: This study aimed to explore what older adults (aged 60 years and older) perceived to be ‘aging well’. The researchers identified three major themes from their focus group interviews: a sense of well-being, having good physical health, and preserving good mental health. The findings highlight the importance of factors such as positive emotions, social engagement, physical activity, healthy eating habits, and maintaining independence in promoting aging well among older adults.

5. Phenomenology

Definition: Phenomenology, a qualitative research method, involves the examination of lived experiences to gain an in-depth understanding of the essence or underlying meanings of a phenomenon.

The focus of phenomenology lies in meticulously describing participants’ conscious experiences related to the chosen phenomenon (Padilla-Díaz, 2015).

In a phenomenological study, the researcher collects detailed, first-hand perspectives of the participants, typically via in-depth interviews, and then uses various strategies to interpret and structure these experiences, ultimately revealing essential themes (Creswell, 2013). This approach focuses on the perspective of individuals experiencing the phenomenon, seeking to explore, clarify, and understand the meanings they attach to those experiences.

Example of Phenomenology Research

Title: “ A phenomenological approach to experiences with technology: current state, promise, and future directions for research ”

Citation: Cilesiz, S. (2011). A phenomenological approach to experiences with technology: Current state, promise, and future directions for research. Educational Technology Research and Development, 59 , 487-510.

Overview: A phenomenological approach to experiences with technology by Sebnem Cilesiz represents a good starting point for formulating a phenomenological study. With its focus on the ‘essence of experience’, this piece presents methodological, reliability, validity, and data analysis techniques that phenomenologists use to explain how people experience technology in their everyday lives.

6. Grounded Theory

Definition: Grounded theory is a systematic methodology in qualitative research that typically applies inductive reasoning . The primary aim is to develop a theoretical explanation or framework for a process, action, or interaction grounded in, and arising from, empirical data (Birks & Mills, 2015).

In grounded theory, data collection and analysis work together in a recursive process. The researcher collects data, analyses it, and then collects more data based on the evolving understanding of the research context. This ongoing process continues until a comprehensive theory that represents the data and the associated phenomenon emerges – a point known as theoretical saturation (Charmaz, 2014).

Example of Grounded Theory Research

Title: “ Student Engagement in High School Classrooms from the Perspective of Flow Theory “

Citation: Shernoff, D. J., Csikszentmihalyi, M., Shneider, B., & Shernoff, E. S. (2003). Student engagement in high school classrooms from the perspective of flow theory. School Psychology Quarterly, 18 (2), 158–176.

Overview: Shernoff and colleagues (2003) used grounded theory to explore student engagement in high school classrooms. The researchers collected data through student self-reports, interviews, and observations. Key findings revealed that academic challenge, student autonomy, and teacher support emerged as the most significant factors influencing students’ engagement, demonstrating how grounded theory can illuminate complex dynamics within real-world contexts.

7. Narrative Research

Definition: Narrative research is a qualitative research method dedicated to storytelling and understanding how individuals experience the world. It focuses on studying an individual’s life and experiences as narrated by that individual (Polkinghorne, 2013).

In narrative research, the researcher collects data through methods such as interviews, observations , and document analysis. The emphasis is on the stories told by participants – narratives that reflect their experiences, thoughts, and feelings.

These stories are then interpreted by the researcher, who attempts to understand the meaning the participant attributes to these experiences (Josselson, 2011).

Example of Narrative Research

Title: “Narrative Structures and the Language of the Self”

Citation: McAdams, D. P., Josselson, R., & Lieblich, A. (2006). Identity and story: Creating self in narrative . American Psychological Association.

Overview: In this innovative study, McAdams et al. (2006) employed narrative research to explore how individuals construct their identities through the stories they tell about themselves. By examining personal narratives, the researchers discerned patterns associated with characters, motivations, conflicts, and resolutions, contributing valuable insights about the relationship between narrative and individual identity.

8. Case Study Research

Definition: Case study research is a qualitative research method that involves an in-depth investigation of a single instance or event: a case. These ‘cases’ can range from individuals, groups, or entities to specific projects, programs, or strategies (Creswell, 2013).

The case study method typically uses multiple sources of information for comprehensive contextual analysis. It aims to explore and understand the complexity and uniqueness of a particular case in a real-world context (Merriam & Tisdell, 2015). This investigation could result in a detailed description of the case, a process for its development, or an exploration of a related issue or problem.

Example of Case Study Research

Title: “ Teacher’s Role in Fostering Preschoolers’ Computational Thinking: An Exploratory Case Study “

Citation: Wang, X. C., Choi, Y., Benson, K., Eggleston, C., & Weber, D. (2021). Teacher’s role in fostering preschoolers’ computational thinking: An exploratory case study. Early Education and Development , 32 (1), 26-48.

Overview: This study investigates the role of teachers in promoting computational thinking skills in preschoolers. The study utilized a qualitative case study methodology to examine the computational thinking scaffolding strategies employed by a teacher interacting with three preschoolers in a small group setting. The findings highlight the importance of teachers’ guidance in fostering computational thinking practices such as problem reformulation/decomposition, systematic testing, and debugging.

Read about some Famous Case Studies in Psychology Here

9. Participant Observation

Definition: Participant observation has the researcher immerse themselves in a group or community setting to observe the behavior of its members. It is similar to ethnography, but generally, the researcher isn’t embedded for a long period of time.

The researcher, being a participant, engages in daily activities, interactions, and events as a way of conducting a detailed study of a particular social phenomenon (Kawulich, 2005).

The method involves long-term engagement in the field, maintaining detailed records of observed events, informal interviews, direct participation, and reflexivity. This approach allows for a holistic view of the participants’ lived experiences, behaviours, and interactions within their everyday environment (Dewalt, 2011).

Example of Participant Observation Research

Title: Conflict in the boardroom: a participant observation study of supervisory board dynamics

Citation: Heemskerk, E. M., Heemskerk, K., & Wats, M. M. (2017). Conflict in the boardroom: a participant observation study of supervisory board dynamics. Journal of Management & Governance , 21 , 233-263.

Overview: This study examined how conflicts within corporate boards affect their performance. The researchers used a participant observation method, where they actively engaged with 11 supervisory boards and observed their dynamics. They found that having a shared understanding of the board’s role called a common framework, improved performance by reducing relationship conflicts, encouraging task conflicts, and minimizing conflicts between the board and CEO.

10. Non-Participant Observation

Definition: Non-participant observation is a qualitative research method in which the researcher observes the phenomena of interest without actively participating in the situation, setting, or community being studied.

This method allows the researcher to maintain a position of distance, as they are solely an observer and not a participant in the activities being observed (Kawulich, 2005).

During non-participant observation, the researcher typically records field notes on the actions, interactions, and behaviors observed , focusing on specific aspects of the situation deemed relevant to the research question.

This could include verbal and nonverbal communication , activities, interactions, and environmental contexts (Angrosino, 2007). They could also use video or audio recordings or other methods to collect data.

Example of Non-Participant Observation Research

Title: Mental Health Nurses’ attitudes towards mental illness and recovery-oriented practice in acute inpatient psychiatric units: A non-participant observation study

Citation: Sreeram, A., Cross, W. M., & Townsin, L. (2023). Mental Health Nurses’ attitudes towards mental illness and recovery‐oriented practice in acute inpatient psychiatric units: A non‐participant observation study. International Journal of Mental Health Nursing .

Overview: This study investigated the attitudes of mental health nurses towards mental illness and recovery-oriented practice in acute inpatient psychiatric units. The researchers used a non-participant observation method, meaning they observed the nurses without directly participating in their activities. The findings shed light on the nurses’ perspectives and behaviors, providing valuable insights into their attitudes toward mental health and recovery-focused care in these settings.

11. Content Analysis

Definition: Content Analysis involves scrutinizing textual, visual, or spoken content to categorize and quantify information. The goal is to identify patterns, themes, biases, or other characteristics (Hsieh & Shannon, 2005).

Content Analysis is widely used in various disciplines for a multitude of purposes. Researchers typically use this method to distill large amounts of unstructured data, like interview transcripts, newspaper articles, or social media posts, into manageable and meaningful chunks.

When wielded appropriately, Content Analysis can illuminate the density and frequency of certain themes within a dataset, provide insights into how specific terms or concepts are applied contextually, and offer inferences about the meanings of their content and use (Duriau, Reger, & Pfarrer, 2007).

Example of Content Analysis

Title: Framing European politics: A content analysis of press and television news .

Citation: Semetko, H. A., & Valkenburg, P. M. (2000). Framing European politics: A content analysis of press and television news. Journal of Communication, 50 (2), 93-109.

Overview: This study analyzed press and television news articles about European politics using a method called content analysis. The researchers examined the prevalence of different “frames” in the news, which are ways of presenting information to shape audience perceptions. They found that the most common frames were attribution of responsibility, conflict, economic consequences, human interest, and morality.

Read my Full Guide on Content Analysis Here

12. Discourse Analysis

Definition: Discourse Analysis, a qualitative research method, interprets the meanings, functions, and coherence of certain languages in context.

Discourse analysis is typically understood through social constructionism, critical theory , and poststructuralism and used for understanding how language constructs social concepts (Cheek, 2004).

Discourse Analysis offers great breadth, providing tools to examine spoken or written language, often beyond the level of the sentence. It enables researchers to scrutinize how text and talk articulate social and political interactions and hierarchies.

Insight can be garnered from different conversations, institutional text, and media coverage to understand how topics are addressed or framed within a specific social context (Jorgensen & Phillips, 2002).

Example of Discourse Analysis

Title: The construction of teacher identities in educational policy documents: A critical discourse analysis

Citation: Thomas, S. (2005). The construction of teacher identities in educational policy documents: A critical discourse analysis. Critical Studies in Education, 46 (2), 25-44.

Overview: The author examines how an education policy in one state of Australia positions teacher professionalism and teacher identities. While there are competing discourses about professional identity, the policy framework privileges a  narrative that frames the ‘good’ teacher as one that accepts ever-tightening control and regulation over their professional practice.

Read my Full Guide on Discourse Analysis Here

13. Action Research

Definition: Action Research is a qualitative research technique that is employed to bring about change while simultaneously studying the process and results of that change.

This method involves a cyclical process of fact-finding, action, evaluation, and reflection (Greenwood & Levin, 2016).

Typically, Action Research is used in the fields of education, social sciences , and community development. The process isn’t just about resolving an issue but also developing knowledge that can be used in the future to address similar or related problems.

The researcher plays an active role in the research process, which is normally broken down into four steps: 

• developing a plan to improve what is currently being done
• implementing the plan
• observing the effects of the plan, and
• reflecting upon these effects (Smith, 2010).

Example of Action Research

Title: Using Digital Sandbox Gaming to Improve Creativity Within Boys’ Writing

Citation: Ellison, M., & Drew, C. (2020). Using digital sandbox gaming to improve creativity within boys’ writing. Journal of Research in Childhood Education , 34 (2), 277-287.

Overview: This was a research study one of my research students completed in his own classroom under my supervision. He implemented a digital game-based approach to literacy teaching with boys and interviewed his students to see if the use of games as stimuli for storytelling helped draw them into the learning experience.

Read my Full Guide on Action Research Here

14. Semiotic Analysis

Definition: Semiotic Analysis is a qualitative method of research that interprets signs and symbols in communication to understand sociocultural phenomena. It stems from semiotics, the study of signs and symbols and their use or interpretation (Chandler, 2017).

In a Semiotic Analysis, signs (anything that represents something else) are interpreted based on their significance and the role they play in representing ideas.

This type of research often involves the examination of images, sounds, and word choice to uncover the embedded sociocultural meanings. For example, an advertisement for a car might be studied to learn more about societal views on masculinity or success (Berger, 2010).

Example of Semiotic Research

Title: Shielding the learned body: a semiotic analysis of school badges in New South Wales, Australia

Citation: Symes, C. (2023). Shielding the learned body: a semiotic analysis of school badges in New South Wales, Australia. Semiotica , 2023 (250), 167-190.

Overview: This study examines school badges in New South Wales, Australia, and explores their significance through a semiotic analysis. The badges, which are part of the school’s visual identity, are seen as symbolic representations that convey meanings. The analysis reveals that these badges often draw on heraldic models, incorporating elements like colors, names, motifs, and mottoes that reflect local culture and history, thus connecting students to their national identity. Additionally, the study highlights how some schools have shifted from traditional badges to modern logos and slogans, reflecting a more business-oriented approach.

15. Qualitative Longitudinal Studies

Definition: Qualitative Longitudinal Studies are a research method that involves repeated observation of the same items over an extended period of time.

Unlike a snapshot perspective, this method aims to piece together individual histories and examine the influences and impacts of change (Neale, 2019).

Qualitative Longitudinal Studies provide an in-depth understanding of change as it happens, including changes in people’s lives, their perceptions, and their behaviors.

For instance, this method could be used to follow a group of students through their schooling years to understand the evolution of their learning behaviors and attitudes towards education (Saldaña, 2003).

Example of Qualitative Longitudinal Research

Title: Patient and caregiver perspectives on managing pain in advanced cancer: a qualitative longitudinal study

Citation: Hackett, J., Godfrey, M., & Bennett, M. I. (2016). Patient and caregiver perspectives on managing pain in advanced cancer: a qualitative longitudinal study.  Palliative medicine ,  30 (8), 711-719.

Overview: This article examines how patients and their caregivers manage pain in advanced cancer through a qualitative longitudinal study. The researchers interviewed patients and caregivers at two different time points and collected audio diaries to gain insights into their experiences, making this study longitudinal.

Read my Full Guide on Longitudinal Research Here

16. Open-Ended Surveys

Definition: Open-Ended Surveys are a type of qualitative research method where respondents provide answers in their own words. Unlike closed-ended surveys, which limit responses to predefined options, open-ended surveys allow for expansive and unsolicited explanations (Fink, 2013).

Open-ended surveys are commonly used in a range of fields, from market research to social studies. As they don’t force respondents into predefined response categories, these surveys help to draw out rich, detailed data that might uncover new variables or ideas.

For example, an open-ended survey might be used to understand customer opinions about a new product or service (Lavrakas, 2008).

Contrast this to a quantitative closed-ended survey, like a Likert scale, which could theoretically help us to come up with generalizable data but is restricted by the questions on the questionnaire, meaning new and surprising data and insights can’t emerge from the survey results in the same way.

Example of Open-Ended Survey Research

Title: Advantages and disadvantages of technology in relationships: Findings from an open-ended survey

Citation: Hertlein, K. M., & Ancheta, K. (2014). Advantages and disadvantages of technology in relationships: Findings from an open-ended survey.  The Qualitative Report ,  19 (11), 1-11.

Overview: This article examines the advantages and disadvantages of technology in couple relationships through an open-ended survey method. Researchers analyzed responses from 410 undergraduate students to understand how technology affects relationships. They found that technology can contribute to relationship development, management, and enhancement, but it can also create challenges such as distancing, lack of clarity, and impaired trust.

17. Naturalistic Observation

Definition: Naturalistic Observation is a type of qualitative research method that involves observing individuals in their natural environments without interference or manipulation by the researcher.

Naturalistic observation is often used when conducting research on behaviors that cannot be controlled or manipulated in a laboratory setting (Kawulich, 2005).

It is frequently used in the fields of psychology, sociology, and anthropology. For instance, to understand the social dynamics in a schoolyard, a researcher could spend time observing the children interact during their recess, noting their behaviors, interactions, and conflicts without imposing their presence on the children’s activities (Forsyth, 2010).

Example of Naturalistic Observation Research

Title: Dispositional mindfulness in daily life: A naturalistic observation study

Citation: Kaplan, D. M., Raison, C. L., Milek, A., Tackman, A. M., Pace, T. W., & Mehl, M. R. (2018). Dispositional mindfulness in daily life: A naturalistic observation study. PloS one , 13 (11), e0206029.

Overview: In this study, researchers conducted two studies: one exploring assumptions about mindfulness and behavior, and the other using naturalistic observation to examine actual behavioral manifestations of mindfulness. They found that trait mindfulness is associated with a heightened perceptual focus in conversations, suggesting that being mindful is expressed primarily through sharpened attention rather than observable behavioral or social differences.

Read my Full Guide on Naturalistic Observation Here

18. Photo-Elicitation

Definition: Photo-elicitation utilizes photographs as a means to trigger discussions and evoke responses during interviews. This strategy aids in bringing out topics of discussion that may not emerge through verbal prompting alone (Harper, 2002).

Traditionally, Photo-Elicitation has been useful in various fields such as education, psychology, and sociology. The method involves the researcher or participants taking photographs, which are then used as prompts for discussion.

For instance, a researcher studying urban environmental issues might invite participants to photograph areas in their neighborhood that they perceive as environmentally detrimental, and then discuss each photo in depth (Clark-Ibáñez, 2004).

Example of Photo-Elicitation Research

Title: Early adolescent food routines: A photo-elicitation study

Citation: Green, E. M., Spivak, C., & Dollahite, J. S. (2021). Early adolescent food routines: A photo-elicitation study. Appetite, 158 .

Overview: This study focused on early adolescents (ages 10-14) and their food routines. Researchers conducted in-depth interviews using a photo-elicitation approach, where participants took photos related to their food choices and experiences. Through analysis, the study identified various routines and three main themes: family, settings, and meals/foods consumed, revealing how early adolescents view and are influenced by their eating routines.

Features of Qualitative Research

Qualitative research is a research method focused on understanding the meaning individuals or groups attribute to a social or human problem (Creswell, 2013).

Some key features of this method include:

• Naturalistic Inquiry: Qualitative research happens in the natural setting of the phenomena, aiming to understand “real world” situations (Patton, 2015). This immersion in the field or subject allows the researcher to gather a deep understanding of the subject matter.
• Emphasis on Process: It aims to understand how events unfold over time rather than focusing solely on outcomes (Merriam & Tisdell, 2015). The process-oriented nature of qualitative research allows researchers to investigate sequences, timing, and changes.
• Interpretive: It involves interpreting and making sense of phenomena in terms of the meanings people assign to them (Denzin & Lincoln, 2011). This interpretive element allows for rich, nuanced insights into human behavior and experiences.
• Holistic Perspective: Qualitative research seeks to understand the whole phenomenon rather than focusing on individual components (Creswell, 2013). It emphasizes the complex interplay of factors, providing a richer, more nuanced view of the research subject.
• Prioritizes Depth over Breadth: Qualitative research favors depth of understanding over breadth, typically involving a smaller but more focused sample size (Hennink, Hutter, & Bailey, 2020). This enables detailed exploration of the phenomena of interest, often leading to rich and complex data.

Qualitative vs Quantitative Research

Qualitative research centers on exploring and understanding the meaning individuals or groups attribute to a social or human problem (Creswell, 2013).

It involves an in-depth approach to the subject matter, aiming to capture the richness and complexity of human experience.

Examples include conducting interviews, observing behaviors, or analyzing text and images.

There are strengths inherent in this approach. In its focus on understanding subjective experiences and interpretations, qualitative research can yield rich and detailed data that quantitative research may overlook (Denzin & Lincoln, 2011).

Additionally, qualitative research is adaptive, allowing the researcher to respond to new directions and insights as they emerge during the research process.

However, there are also limitations. Because of the interpretive nature of this research, findings may not be generalizable to a broader population (Marshall & Rossman, 2014). Well-designed quantitative research, on the other hand, can be generalizable.

Moreover, the reliability and validity of qualitative data can be challenging to establish due to its subjective nature, unlike quantitative research, which is ideally more objective.

Compare Qualitative and Quantitative Research Methodologies in This Guide Here

In conclusion, qualitative research methods provide distinctive ways to explore social phenomena and understand nuances that quantitative approaches might overlook. Each method, from Ethnography to Photo-Elicitation, presents its strengths and weaknesses but they all offer valuable means of investigating complex, real-world situations. The goal for the researcher is not to find a definitive tool, but to employ the method best suited for their research questions and the context at hand (Almalki, 2016). Above all, these methods underscore the richness of human experience and deepen our understanding of the world around us.

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Chris Drew (PhD)

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

• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd/ 15 Animism Examples
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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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• Open access
• Published: 16 May 2024

Integrating qualitative research within a clinical trials unit: developing strategies and understanding their implementation in contexts

• Jeremy Segrott   ORCID: orcid.org/0000-0001-6215-0870 1 ,
• Sue Channon 2 ,
• Amy Lloyd 4 ,
• Eleni Glarou 2 , 3 ,
• Josie Henley 5 ,
• Jacqueline Hughes 2 ,
• Nina Jacob 2 ,
• Sarah Milosevic 2 ,
• Yvonne Moriarty 2 ,
• Bethan Pell 6 ,
• Mike Robling 2 ,
• Heather Strange 2 ,
• Julia Townson 2 ,
• Qualitative Research Group &
• Lucy Brookes-Howell 2  

Trials volume  25 , Article number:  323 ( 2024 ) Cite this article

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Background/aims

The value of using qualitative methods within clinical trials is widely recognised. How qualitative research is integrated within trials units to achieve this is less clear. This paper describes the process through which qualitative research has been integrated within Cardiff University’s Centre for Trials Research (CTR) in Wales, UK. We highlight facilitators of, and challenges to, integration.

We held group discussions on the work of the Qualitative Research Group (QRG) within CTR. The content of these discussions, materials for a presentation in CTR, and documents relating to the development of the QRG were interpreted at a workshop attended by group members. Normalisation Process Theory (NPT) was used to structure analysis. A writing group prepared a document for input from members of CTR, forming the basis of this paper.

Actions to integrate qualitative research comprised: its inclusion in Centre strategies; formation of a QRG with dedicated funding/roles; embedding of qualitative research within operating systems; capacity building/training; monitoring opportunities to include qualitative methods in studies; maximising the quality of qualitative research and developing methodological innovation. Facilitators of these actions included: the influence of the broader methodological landscape within trial/study design and its promotion of the value of qualitative research; and close physical proximity of CTR qualitative staff/students allowing sharing of methodological approaches. Introduction of innovative qualitative methods generated interest among other staff groups. Challenges included: pressure to under-resource qualitative components of research, preference for a statistical stance historically in some research areas and funding structures, and difficulties faced by qualitative researchers carving out individual academic profiles when working across trials/studies.

Conclusions

Given that CTUs are pivotal to the design and conduct of RCTs and related study types across multiple disciplines, integrating qualitative research into trials units is crucial if its contribution is to be fully realised. We have made explicit one trials unit’s experience of embedding qualitative research and present this to open dialogue on ways to operationalise and optimise qualitative research in trials. NPT provides a valuable framework with which to theorise these processes, including the importance of sense-making and legitimisation when introducing new practices within organisations.

Peer Review reports

The value of using qualitative methods within randomised control trials (RCTs) is widely recognised [ 1 , 2 , 3 ]. Qualitative research generates important evidence on factors affecting trial recruitment/retention [ 4 ] and implementation, aiding interpretation of quantitative data [ 5 ]. Though RCTs have traditionally been viewed as sitting within a positivist paradigm, recent methodological innovations have developed new trial designs that draw explicitly on both quantitative and qualitative methods. For instance, in the field of complex public health interventions, realist RCTs seek to understand the mechanisms through which interventions generate hypothesised impacts, and how interactions across different implementation contexts form part of these mechanisms. Proponents of realist RCTs—which integrate experimental and realist paradigms—highlight the importance of using quantitative and qualitative methods to fully realise these aims and to generate an understanding of intervention mechanisms and how context shapes them [ 6 ].

A need for guidance on how to conduct good quality qualitative research is being addressed, particularly in relation to feasibility studies for RCTs [ 7 ] and process evaluations embedded within trials of complex interventions [ 5 ]. There is also guidance on the conduct of qualitative research within trials at different points in the research cycle, including development, conduct and reporting [ 8 , 9 ].

A high proportion of trials are based within or involve clinical trials units (CTUs). In the UK the UKCRC Registered CTU Network describes them as:

… specialist units which have been set up with a specific remit to design, conduct, analyse and publish clinical trials and other well-designed studies. They have the capability to provide specialist expert statistical, epidemiological, and other methodological advice and coordination to undertake successful clinical trials. In addition, most CTUs will have expertise in the coordination of trials involving investigational medicinal products which must be conducted in compliance with the UK Regulations governing the conduct of clinical trials resulting from the EU Directive for Clinical Trials.

Thus, CTUs provide the specialist methodological expertise needed for the conduct of trials, and in the case of trials of investigational medicinal products, their involvement may be mandated to ensure compliance with relevant regulations. As the definition above suggests, CTUs also conduct and support other types of study apart from RCTs, providing a range of methodological and subject-based expertise.

However, despite their central role in the conduct and design of trials, (and other evaluation designs) little has been written about how CTUs have integrated qualitative work within their organisation at a time when such methods are, as stated above, now recognised as an important aspect of RCTs and evaluation studies more generally. This is a significant gap, since integration at the organisational level arguably shapes how qualitative research is integrated within individual studies, and thus it is valuable to understand how CTUs have approached the task. There are different ways of involving qualitative work in trials units, such as partnering with other departments (e.g. social science) or employing qualitative researchers directly. Qualitative research can be imagined and configured in different ways—as a method that generates data to inform future trial and intervention design, as an embedded component within an RCT or other evaluation type, or as a parallel strand of research focusing on lived experiences of illness, for instance. Understanding how trials units have integrated qualitative research is valuable, as it can shed light on which strategies show promise, and in which contexts, and how qualitative research is positioned within the field of trials research, foregrounding the value of qualitative research. However, although much has been written about its use within trials, few accounts exist of how trials units have integrated qualitative research within their systems and structures.

This paper discusses the process of embedding qualitative research within the work of one CTU—Cardiff University’s Centre for Trials Research (CTR). It highlights facilitators of this process and identifies challenges to integration. We use the Normalisation Process Theory (NPT) as a framework to structure our experience and approach. The key gap addressed by this paper is the implementation of strategies to integrate qualitative research (a relatively newly adopted set of practices and processes) within CTU systems and structures. We acknowledge from the outset that there are multiple ways of approaching this task. What follows therefore is not a set of recommendations for a preferred or best way to integrate qualitative research, as this will comprise diverse actions according to specific contexts. Rather, we examine the processes through which integration occurred in our own setting and highlight the potential value of these insights for others engaged in the work of promoting qualitative research within trials units.

Background to the integration of qualitative research within CTR

The CTR was formed in 2015 [ 10 ]. It brought together three existing trials units at Cardiff University: the South East Wales Trials Unit, the Wales Cancer Trials Unit, and the Haematology Clinical Trials Unit. From its inception, the CTR had a stated aim of developing a programme of qualitative research and integrating it within trials and other studies. In the sections below, we map these approaches onto the framework offered by Normalisation Process Theory to understand the processes through which they helped achieve embedding and integration of qualitative research.

CTR’s aims (including those relating to the development of qualitative research) were included within its strategy documents and communicated to others through infrastructure funding applications, annual reports and its website. A Qualitative Research Group (QRG), which had previously existed within the South East Wales Trials Unit, with dedicated funding for methodological specialists and group lead academics, was a key mechanism through which the development of a qualitative portfolio was put into action. Integration of qualitative research within Centre systems and processes occurred through the inclusion of qualitative research in study adoption processes and representation on committees. The CTR’s study portfolio provided a basis to track qualitative methods in new and existing studies, identify opportunities to embed qualitative methods within recently adopted studies (at the funding application stage) and to manage staff resources. Capacity building and training were an important focus of the QRG’s work, including training courses, mentoring, creation of an academic network open to university staff and practitioners working in the field of healthcare, presentations at CTR staff meetings and securing of PhD studentships. Standard operating procedures and methodological guidance on the design and conduct of qualitative research (e.g. templates for developing analysis plans) aimed to create a shared understanding of how to undertake high-quality research, and a means to monitor the implementation of rigorous approaches. As the QRG expanded its expertise it sought to develop innovative approaches, including the use of visual [ 11 ] and ethnographic methods [ 12 ].

Understanding implementation—Normalisation Process Theory (NPT)

Normalisation Process Theory (NPT) provides a model with which to understand the implementation of new sets of practices and their normalisation within organisational settings. The term ‘normalisation’ refers to how new practices become routinised (part of the everyday work of an organisation) through embedding and integration [ 13 , 14 ]. NPT defines implementation as ‘the social organisation of work’ and is concerned with the social processes that take place as new practices are introduced. Embedding involves ‘making practices routine elements of everyday life’ within an organisation. Integration takes the form of ‘sustaining embedded practices in social contexts’, and how these processes lead to the practices becoming (or not becoming) ‘normal and routine’ [ 14 ]. NPT is concerned with the factors which promote or ‘inhibit’ attempts to embed and integrate the operationalisation of new practices [ 13 , 14 , 15 ].

Embedding new practices is therefore achieved through implementation—which takes the form of interactions in specific contexts. Implementation is operationalised through four ‘generative mechanisms’— coherence , cognitive participation , collective action and reflexive monitoring [ 14 ]. Each mechanism is characterised by components comprising immediate and organisational work, with actions of individuals and organisations (or groups of individuals) interdependent. The mechanisms operate partly through forms of investment (i.e. meaning, commitment, effort, and comprehension) [ 14 ].

Coherence refers to how individuals/groups make sense of, and give meaning to, new practices. Sense-making concerns the coherence of a practice—whether it ‘holds together’, and its differentiation from existing activities [ 15 ]. Communal and individual specification involve understanding new practices and their potential benefits for oneself or an organisation. Individuals consider what new practices mean for them in terms of tasks and responsibilities ( internalisation ) [ 14 ].

NPT frames the second mechanism, cognitive participation , as the building of a ‘community of practice’. For a new practice to be initiated, individuals and groups within an organisation must commit to it [ 14 , 15 ]. Cognitive participation occurs through enrolment —how people relate to the new practice; legitimation —the belief that it is right for them to be involved; and activation —defining which actions are necessary to sustain the practice and their involvement [ 14 ]. Making the new practices work may require changes to roles (new responsibilities, altered procedures) and reconfiguring how colleagues work together (changed relationships).

Third, Collective Action refers to ‘the operational work that people do to enact a set of practices’ [ 14 ]. Individuals engage with the new practices ( interactional workability ) reshaping how members of an organisation interact with each other, through creation of new roles and expectations ( relational interaction ) [ 15 ]. Skill set workability concerns how the work of implementing a new set of practices is distributed and the necessary roles and skillsets defined [ 14 ]. Contextual integration draws attention to the incorporation of a practice within social contexts, and the potential for aspects of these contexts, such as systems and procedures, to be modified as a result [ 15 ].

Reflexive monitoring is the final implementation mechanism. Collective and individual appraisal evaluate the value of a set of practices, which depends on the collection of information—formally and informally ( systematisation ). Appraisal may lead to reconfiguration in which procedures of the practice are redefined or reshaped [ 14 , 15 ].

We sought to map the following: (1) the strategies used to embed qualitative research within the Centre, (2) key facilitators, and (3) barriers to their implementation. Through focused group discussions during the monthly meetings of the CTR QRG and in discussion with the CTR senior management team throughout 2019–2020 we identified nine types of documents (22 individual documents in total) produced within the CTR which had relevant information about the integration of qualitative research within its work (Table  1 ). The QRG had an ‘open door’ policy to membership and welcomed all staff/students with an interest in qualitative research. It included researchers who were employed specifically to undertake qualitative research and other staff with a range of study roles, including trial managers, statisticians, and data managers. There was also diversity in terms of career stage, including PhD students, mid-career researchers and members of the Centre’s Executive team. Membership was therefore largely self-selected, and comprised of individuals with a role related to, or an interest in, embedding qualitative research within trials. However, the group brought together diverse methodological perspectives and was not solely comprised of methodological ‘champions’ whose job it was to promote the development of qualitative research within the centre. Thus whilst the group (and by extension, the authors of this paper) had a shared appreciation of the value of qualitative research within a trials centre, they also brought varied methodological perspectives and ways of engaging with it.

All members of the QRG ( n  = 26) were invited to take part in a face-to-face, day-long workshop in February 2019 on ‘How to optimise and operationalise qualitative research in trials: reflections on CTR structure’. The workshop was attended by 12 members of staff and PhD students, including members of the QRG and the CTR’s senior management team. Recruitment to the workshop was therefore inclusive, and to some extent opportunistic, but all members of the QRG were able to contribute to discussions during regular monthly group meetings and the drafting of the current paper.

The aim of the workshop was to bring together information from the documents in Table  1 to generate discussion around the key strategies (and their component activities) that had been adopted to integrate qualitative research into CTR, as well as barriers to, and facilitators of, their implementation. The agenda for the workshop involved four key areas: development and history of the CTR model; mapping the current model within CTR; discussing the structure of other CTUs; and exploring the advantages and disadvantages of the CTR model.

During the workshop, we discussed the use of NPT to conceptualise how qualitative research had been embedded within CTR’s systems and practices. The group produced spider diagrams to map strategies and actions on to the four key domains (or ‘generative mechanisms’ of NPT) summarised above, to aid the understanding of how they had functioned, and the utility of NPT as a framework. This is summarised in Table  2 .

Detailed notes were made during the workshop. A core writing group then used these notes and the documents in Table  1 to develop a draft of the current paper. This was circulated to all members of the CTR QRG ( n  = 26) and stored within a central repository accessible to them to allow involvement and incorporate the views of those who were not able to attend the workshop. This draft was again presented for comments in the monthly CTR QRG meeting in February 2021 attended by n  = 10. The Standards for QUality Improvement Reporting Excellence 2.0 (SQUIRE) guidelines were used to inform the structure and content of the paper (see supplementary material) [ 16 ].

In the following sections, we describe the strategies CTR adopted to integrate qualitative research. These are mapped against NPT’s four generative mechanisms to explore the processes through which the strategies promoted integration, and facilitators of and barriers to their implementation. A summary of the strategies and their functioning in terms of the generative mechanisms is provided in Table  2 .

Coherence—making sense of qualitative research

In CTR, many of the actions taken to build a portfolio of qualitative research were aimed at enabling colleagues, and external actors, to make sense of this set of methodologies. Centre-level strategies and grant applications for infrastructure funding highlighted the value of qualitative research, the added benefits it would bring, and positioned it as a legitimate set of practices alongside existing methods. For example, a 2014 application for renewal of trials unit infrastructure funding stated:

We are currently in the process of undertaking […] restructuring for our qualitative research team and are planning similar for trial management next year. The aim of this restructuring is to establish greater hierarchical management and opportunities for staff development and also provide a structure that can accommodate continuing growth.

Within the CTR, various forms of communication on the development of qualitative research were designed to enable staff and students to make sense of it, and to think through its potential value for them, and ways in which they might engage with it. These included presentations at staff meetings, informal meetings between project teams and the qualitative group lead, and the visibility of qualitative research on the public-facing Centre website and Centre committees and systems. For instance, qualitative methods were included (and framed as a distinct set of practices) within study adoption forms and committee agendas. Information for colleagues described how qualitative methods could be incorporated within funding applications for RCTs and other evaluation studies to generate new insights into questions research teams were already keen to answer, such as influences on intervention implementation fidelity. Where externally based chief investigators approached the Centre to be involved in new grant applications, the existence of the qualitative team and group lead enabled the inclusion of qualitative research to be actively promoted at an early stage, and such opportunities were highlighted in the Centre’s brochure for new collaborators. Monthly qualitative research network meetings—advertised across CTR and to external research collaborators, were also designed to create a shared understanding of qualitative research methods and their utility within trials and other study types (e.g. intervention development, feasibility studies, and observational studies). Training events (discussed in more detail below) also aided sense-making.

Several factors facilitated the promotion of qualitative research as a distinctive and valuable entity. Among these was the influence of the broader methodological landscape within trial design which was promoting the value of qualitative research, such as guidance on the evaluation of complex interventions by the Medical Research Council [ 17 ], and the growing emphasis placed on process evaluations within trials (with qualitative methods important in understanding participant experience and influences on implementation) [ 5 ]. The attention given to lived experience (both through process evaluations and the move to embed public involvement in trials) helped to frame qualitative research within the Centre as something that was appropriate, legitimate, and of value. Recognition by research funders of the value of qualitative research within studies was also helpful in normalising and legitimising its adoption within grant applications.

The inclusion of qualitative methods within influential methodological guidance helped CTR researchers to develop a ‘shared language’ around these methods, and a way that a common understanding of the role of qualitative research could be generated. One barrier to such sense-making work was the varying extent to which staff and teams had existing knowledge or experience of qualitative research. This varied across methodological and subject groups within the Centre and reflected the history of the individual trials units which had merged to form the Centre.

Cognitive participation—legitimising qualitative research

Senior CTR leaders promoted the value and legitimacy of qualitative research. Its inclusion in centre strategies, infrastructure funding applications, and in public-facing materials (e.g. website, investigator brochures), signalled that it was appropriate for individuals to conduct qualitative research within their roles, or to support others in doing so. Legitimisation also took place through informal channels, such as senior leadership support for qualitative research methods in staff meetings and participation in QRG seminars. Continued development of the QRG (with dedicated infrastructure funding) provided a visible identity and equivalence with other methodological groups (e.g. trial managers, statisticians).

Staff were asked to engage with qualitative research in two main ways. First, there was an expansion in the number of staff for whom qualitative research formed part of their formal role and responsibilities. One of the three trials units that merged to form CTR brought with it a qualitative team comprising methodological specialists and a group lead. CTR continued the expansion of this group with the creation of new roles and an enlarged nucleus of researchers for whom qualitative research was the sole focus of their work. In part, this was linked to the successful award of projects that included a large qualitative component, and that were coordinated by CTR (see Table  3 which describes the PUMA study).

Members of the QRG were encouraged to develop their own research ideas and to gain experience as principal investigators, and group seminars were used to explore new ideas and provide peer support. This was communicated through line management, appraisal, and informal peer interaction. Boundaries were not strictly demarcated (i.e. staff located outside the qualitative team were already using qualitative methods), but the new team became a central focus for developing a growing programme of work.

Second, individuals and studies were called upon to engage in new ways with qualitative research, and with the qualitative team. A key goal for the Centre was that groups developing new research ideas should give more consideration in general to the potential value and inclusion of qualitative research within their funding applications. Specifically, they were asked to do this by thinking about qualitative research at an early point in their application’s development (rather than ‘bolting it on’ after other elements had been designed) and to draw upon the expertise and input of the qualitative team. An example was the inclusion of questions on qualitative methods within the Centre’s study adoption form and representation from the qualitative team at the committee which reviewed new adoption requests. Where adoption requests indicated the inclusion of qualitative methods, colleagues were encouraged to liaise with the qualitative team, facilitating the integration of its expertise from an early stage. Qualitative seminars offered an informal and supportive space in which researchers could share initial ideas and refine their methodological approach. The benefits of this included the provision of sufficient time for methodological specialists to be involved in the design of the proposed qualitative component and ensuring adequate costings had been drawn up. At study adoption group meetings, scrutiny of new proposals included consideration of whether new research proposals might be strengthened through the use of qualitative methods where these had not initially been included. Meetings of the QRG—which reviewed the Centre’s portfolio of new studies and gathered intelligence on new ideas—also helped to identify, early on, opportunities to integrate qualitative methods. Communication across teams was useful in identifying new research ideas and embedding qualitative researchers within emerging study development groups.

Actions to promote greater use of qualitative methods in funding applications fed through into a growing number of studies with a qualitative component. This helped to increase the visibility and legitimacy of qualitative methods within the Centre. For example, the PUMA study [ 12 ], which brought together a large multidisciplinary team to develop and evaluate a Paediatric early warning system, drew heavily on qualitative methods, with the qualitative research located within the QRG. The project introduced an extensive network of collaborators and clinical colleagues to qualitative methods and how they could be used during intervention development and the generation of case studies. Further information about the PUMA study is provided in Table  3 .

Increasing the legitimacy of qualitative work across an extensive network of staff, students and collaborators was a complex process. Set within the continuing dominance of quantitative methods with clinical trials, there were variations in the extent to which clinicians and other collaborators embraced the value of qualitative methods. Research funding schemes, which often continued to emphasise the quantitative element of randomised controlled trials, inevitably fed through into the focus of new research proposals. Staff and external collaborators were sometimes uncertain about the added value that qualitative methods would bring to their trials. Across the CTR there were variations in the speed at which qualitative research methods gained legitimacy, partly based on disciplinary traditions and their influences. For instance, population health trials, often located within non-health settings such as schools or community settings, frequently involved collaboration with social scientists who brought with them experience in qualitative methods. Methodological guidance in this field, such as MRC guidance on process evaluations, highlighted the value of qualitative methods and alternatives to the positivist paradigm, such as the value of realist RCTs. In other, more clinical areas, positivist paradigms had greater dominance. Established practices and methodological traditions across different funders also influenced the ease of obtaining funding to include qualitative research within studies. For drugs trials (CTIMPs), the influence of regulatory frameworks on study design, data collection and the allocation of staff resources may have played a role. Over time, teams gained repeated experience of embedding qualitative research (and researchers) within their work and took this learning with them to subsequent studies. For example, the senior clinician quoted within the PUMA case study (Table  3 below) described how they had gained an appreciation of the rigour of qualitative research and an understanding of its language. Through these repeated interactions, embedding of qualitative research within studies started to become the norm rather than the exception.

Collective action—operationalising qualitative research

Collective action concerns the operationalisation of new practices within organisations—the allocation and management of the work, how individuals interact with each other, and the work itself. In CTR the formation of a Qualitative Research Group helped to allocate and organise the work of building a portfolio of studies. Researchers across the Centre were called upon to interact with qualitative research in new ways. Presentations at staff meetings and the inclusion of qualitative research methods in portfolio study adoption forms were examples of this ( interactive workability ). It was operationalised by encouraging study teams to liaise with the qualitative research lead. Development of standard operating procedures, templates for costing qualitative research and methodological guidance (e.g. on analysis plans) also helped encourage researchers to interact with these methods in new ways. For some qualitative researchers who had been trained in the social sciences, working within a trials unit meant that they needed to interact in new and sometimes unfamiliar ways with standard operating procedures, risk assessments, and other trial-based systems. Thus, training needs and capacity-building efforts were multidirectional.

Whereas there had been a tendency for qualitative research to be ‘bolted on’ to proposals for RCTs, the systems described above were designed to embed thinking about the value and design of the qualitative component from the outset. They were also intended to integrate members of the qualitative team with trial teams from an early stage to promote effective integration of qualitative methods within larger trials and build relationships over time.

Standard Operating Procedures (SOPs), formal and informal training, and interaction between the qualitative team and other researchers increased the relational workability of qualitative methods within the Centre—the confidence individuals felt in including these methods within their studies, and their accountability for doing so. For instance, study adoption forms prompted researchers to interact routinely with the qualitative team at an early stage, whilst guidance on costing grants provided clear expectations about the resources needed to deliver a proposed set of qualitative data collection.

Formation of the Qualitative Research Group—comprised of methodological specialists, created new roles and skillsets ( skill set workability ). Research teams were encouraged to draw on these when writing funding applications for projects that included a qualitative component. Capacity-building initiatives were used to increase the number of researchers with the skills needed to undertake qualitative research, and for these individuals to develop their expertise over time. This was achieved through formal training courses, academic seminars, mentoring from experienced colleagues, and informal knowledge exchange. Links with external collaborators and centres engaged in building qualitative research supported these efforts. Within the Centre, the co-location of qualitative researchers with other methodological and trial teams facilitated knowledge exchange and building of collaborative relationships, whilst grouping of the qualitative team within a dedicated office space supported a collective identity and opportunities for informal peer support.

Some aspects of the context in which qualitative research was being developed created challenges to operationalisation. Dependence on project grants to fund qualitative methodologists meant that there was a continuing need to write further grant applications whilst limiting the amount of time available to do so. Similarly, researchers within the team whose role was funded largely by specific research projects could sometimes find it hard to create sufficient time to develop their personal methodological interests. However, the cultivation of a methodologically varied portfolio of work enabled members of the team to build significant expertise in different approaches (e.g. ethnography, discourse analysis) that connected individual studies.

Reflexive monitoring—evaluating the impact of qualitative research

Inclusion of questions/fields relating to qualitative research within the Centre’s study portfolio database was a key way in which information was collected ( systematisation ). It captured numbers of funding applications and funded studies, research design, and income generation. Alongside this database, a qualitative resource planner spreadsheet was used to link individual members of the qualitative team with projects and facilitate resource planning, further reinforcing the core responsibilities and roles of qualitative researchers within CTR. As with all staff in the Centre, members of the qualitative team were placed on ongoing rather than fixed-term contracts, reflecting their core role within CTR. Planning and strategy meetings used the database and resource planner to assess the integration of qualitative research within Centre research, identify opportunities for increasing involvement, and manage staff recruitment and sustainability of researcher posts. Academic meetings and day-to-day interaction fulfilled informal appraisal of the development of the group, and its position within the Centre. Individual appraisal was also important, with members of the qualitative team given opportunities to shape their role, reflect on progress, identify training needs, and further develop their skillset, particularly through line management systems.

These forms of systematisation and appraisal were used to reconfigure the development of qualitative research and its integration within the Centre. For example, group strategies considered how to achieve long-term integration of qualitative research from its initial embedding through further promoting the belief that it formed a core part of the Centre’s business. The visibility and legitimacy of qualitative research were promoted through initiatives such as greater prominence on the Centre’s website. Ongoing review of the qualitative portfolio and discussion at academic meetings enabled the identification of areas where increased capacity would be helpful, both for qualitative staff, and more broadly within the Centre. This prompted the qualitative group to develop an introductory course to qualitative methods open to all Centre staff and PhD students, aimed at increasing understanding and awareness. As the qualitative team built its expertise and experience it also sought to develop new and innovative approaches to conducting qualitative research. This included the use of visual and diary-based methods [ 11 ] and the adoption of ethnography to evaluate system-level clinical interventions [ 12 ]. Restrictions on conventional face-to-face qualitative data collection due to the COVID-19 pandemic prompted rapid adoption of virtual/online methods for interviews, observation, and use of new internet platforms such as Padlet—a form of digital note board.

In this paper, we have described the work undertaken by one CTU to integrate qualitative research within its studies and organisational culture. The parallel efforts of many trials units to achieve these goals arguably come at an opportune time. The traditional designs of RCTs have been challenged and re-imagined by the increasing influence of realist evaluation [ 6 , 18 ] and the widespread acceptance that trials need to understand implementation and intervention theory as well as assess outcomes [ 17 ]. Hence the widespread adoption of embedded mixed methods process evaluations within RCTs. These broad shifts in methodological orthodoxies, the production of high-profile methodological guidance, and the expectations of research funders all create fertile ground for the continued expansion of qualitative methods within trials units. However, whilst much has been written about the importance of developing qualitative research and the possible approaches to integrating qualitative and quantitative methods within studies, much less has been published on how to operationalise this within trials units. Filling this lacuna is important. Our paper highlights how the integration of a new set of practices within an organisation can become embedded as part of its ‘normal’ everyday work whilst also shaping the practices being integrated. In the case of CTR, it could be argued that the integration of qualitative research helped shape how this work was done (e.g. systems to assess progress and innovation).

In our trials unit, the presence of a dedicated research group of methodological specialists was a key action that helped realise the development of a portfolio of qualitative research and was perhaps the most visible evidence of a commitment to do so. However, our experience demonstrates that to fully realise the goal of developing qualitative research, much work focuses on the interaction between this ‘new’ set of methods and the organisation into which it is introduced. Whilst the team of methodological specialists was tasked with, and ‘able’ to do the work, the ‘work’ itself needed to be integrated and embedded within the existing system. Thus, alongside the creation of a team and methodological capacity, promoting the legitimacy of qualitative research was important to communicate to others that it was both a distinctive and different entity, yet similar and equivalent to more established groups and practices (e.g. trial management, statistics, data management). The framing of qualitative research within strategies, the messages given out by senior leaders (formally and informally) and the general visibility of qualitative research within the system all helped to achieve this.

Normalisation Process Theory draws our attention to the concepts of embedding (making a new practice routine, normal within an organisation) and integration —the long-term sustaining of these processes. An important process through which embedding took place in our centre concerned the creation of messages and systems that called upon individuals and research teams to interact with qualitative research. Research teams were encouraged to think about qualitative research and consider its potential value for their studies. Critically, they were asked to do so at specific points, and in particular ways. Early consideration of qualitative methods to maximise and optimise their inclusion within studies was emphasised, with timely input from the qualitative team. Study adoption systems, centre-level processes for managing financial and human resources, creation of a qualitative resource planner, and awareness raising among staff, helped to reinforce this. These processes of embedding and integration were complex and they varied in intensity and speed across different areas of the Centre’s work. In part this depended on existing research traditions, the extent of prior experience of working with qualitative researchers and methods, and the priorities of subject areas and funders. Centre-wide systems, sometimes linked to CTR’s operation as a CTU, also helped to legitimise and embed qualitative research, lending it equivalence with other research activity. For example, like all CTUs, CTR was required to conform with the principles of Good Clinical Practice, necessitating the creation of a quality management system, operationalised through standard operating procedures for all areas of its work. Qualitative research was included, and became embedded, within these systems, with SOPs produced to guide activities such as qualitative analysis.

NPT provides a helpful way of understanding how trials units might integrate qualitative research within their work. It highlights how new practices interact with existing organisational systems and the work needed to promote effective interaction. That is, alongside the creation of a team or programme of qualitative research, much of the work concerns how members of an organisation understand it, engage with it, and create systems to sustain it. Embedding a new set of practices may be just as important as the quality or characteristics of the practices themselves. High-quality qualitative research is of little value if it is not recognised and drawn upon within new studies for instance. NPT also offers a helpful lens with which to understand how integration and embedding occur, and the mechanisms through which they operate. For example, promoting the legitimacy of a new set of practices, or creating systems that embed it, can help sustain these practices by creating an organisational ambition and encouraging (or requiring) individuals to interact with them in certain ways, redefining their roles accordingly. NPT highlights the ways in which integration of new practices involves bi-directional exchanges with the organisation’s existing practices, with each having the potential to re-shape the other as interaction takes place. For instance, in CTR, qualitative researchers needed to integrate and apply their methods within the quality management and other systems of a CTU, such as the formalisation of key processes within standard operating procedures, something less likely to occur outside trials units. Equally, project teams (including those led by externally based chief investigators) increased the integration of qualitative methods within their overall study design, providing opportunities for new insights on intervention theory, implementation and the experiences of practitioners and participants.

We note two aspects of the normalisation processes within CTR that are slightly less well conceptualised by NPT. The first concerns the emphasis within coherence on identifying the distinctiveness of new practices, and how they differ from existing activities. Whilst differentiation was an important aspect of the integration of qualitative research in CTR, such integration could be seen as operating partly through processes of de-differentiation, or at least equivalence. That is, part of the integration of qualitative research was to see it as similar in terms of rigour, coherence, and importance to other forms of research within the Centre. To be viewed as similar, or at least comparable to existing practices, was to be legitimised.

Second, whilst NPT focuses mainly on the interaction between a new set of practices and the organisational context into which it is introduced, our own experience of introducing qualitative research into a trials unit was shaped by broader organisational and methodological contexts. For example, the increasing emphasis placed upon understanding implementation processes and the experiences of research participants in the field of clinical trials (e.g. by funders), created an environment conducive to the development of qualitative research methods within our Centre. Attempts to integrate qualitative research within studies were also cross-organisational, given that many of the studies managed within the CTR drew together multi-institutional teams. This provided important opportunities to integrate qualitative research within a portfolio of studies that extended beyond CTR and build a network of collaborators who increasingly included qualitative methods within their funding proposals. The work of growing and integrating qualitative research within a trials unit is an ongoing one in which ever-shifting macro-level influences can help or hinder, and where the organisations within which we work are never static in terms of barriers and facilitators.

The importance of utilising qualitative methods within RCTs is now widely recognised. Increased emphasis on the evaluation of complex interventions, the influence of realist methods directing greater attention to complexity and the widespread adoption of mixed methods process evaluations are key drivers of this shift. The inclusion of qualitative methods within individual trials is important and previous research has explored approaches to their incorporation and some of the challenges encountered. Our paper highlights that the integration of qualitative methods at the organisational level of the CTU can shape how they are taken up by individual trials. Within CTR, it can be argued that qualitative research achieved high levels of integration, as conceptualised by Normalisation Process Theory. Thus, qualitative research became recognised as a coherent and valuable set of practices, secured legitimisation as an appropriate focus of individual and organisational activity and benefitted from forms of collective action which operationalised these organisational processes. Crucially, the routinisation of qualitative research appeared to be sustained, something which NPT suggests helps define integration (as opposed to initial embedding). However, our analysis suggested that the degree of integration varied by trial area. This variation reflected a complex mix of factors including disciplinary traditions, methodological guidance, existing (un)familiarity with qualitative research, and the influence of regulatory frameworks for certain clinical trials.

NPT provides a valuable framework with which to understand how these processes of embedding and integration occur. Our use of NPT draws attention to the importance of sense-making and legitimisation as important steps in introducing a new set of practices within the work of an organisation. Integration also depends, across each mechanism of NPT, on the building of effective relationships, which allow individuals and teams to work together in new ways. By reflecting on our experiences and the decisions taken within CTR we have made explicit one such process for embedding qualitative research within a trials unit, whilst acknowledging that approaches may differ across trials units. Mindful of this fact, and the focus of the current paper on one trials unit’s experience, we do not propose a set of recommendations for others who are working to achieve similar goals. Rather, we offer three overarching reflections (framed by NPT) which may act as a useful starting point for trials units (and other infrastructures) seeking to promote the adoption of qualitative research.

First, whilst research organisations such as trials units are highly heterogenous, processes of embedding and integration, which we have foregrounded in this paper, are likely to be important across different contexts in sustaining the use of qualitative research. Second, developing a plan for the integration of qualitative research will benefit from mapping out the characteristics of the extant system. For example, it is valuable to know how familiar staff are with qualitative research and any variations across teams within an organisation. Thirdly, NPT frames integration as a process of implementation which operates through key generative mechanisms— coherence , cognitive participation , collective action and reflexive monitoring . These mechanisms can help guide understanding of which actions help achieve embedding and integration. Importantly, they span multiple aspects of how organisations, and the individuals within them, work. The ways in which people make sense of a new set of practices ( coherence ), their commitment towards it ( cognitive participation ), how it is operationalised ( collective action ) and the evaluation of its introduction ( reflexive monitoring ) are all important. Thus, for example, qualitative research, even when well organised and operationalised within an organisation, is unlikely to be sustained if appreciation of its value is limited, or people are not committed to it.

We present our experience of engaging with the processes described above to open dialogue with other trials units on ways to operationalise and optimise qualitative research in trials. Understanding how best to integrate qualitative research within these settings may help to fully realise the significant contribution which it makes the design and conduct of trials.

Availability of data and materials

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Acknowledgements

Members of the Centre for Trials Research (CTR) Qualitative Research Group were collaborating authors: C Drew (Senior Research Fellow—Senior Trial Manager, Brain Health and Mental Wellbeing Division), D Gillespie (Director, Infection, Inflammation and Immunity Trials, Principal Research Fellow), R Hale (now Research Associate, School of Social Sciences, Cardiff University), J Latchem-Hastings (now Lecturer and Postdoctoral Fellow, School of Healthcare Sciences, Cardiff University), R Milton (Research Associate—Trial Manager), B Pell (now PhD student, DECIPHer Centre, Cardiff University), H Prout (Research Associate—Qualitative), V Shepherd (Senior Research Fellow), K Smallman (Research Associate), H Stanton (Research Associate—Senior Data Manager). Thanks are due to Kerry Hood and Aimee Grant for their involvement in developing processes and systems for qualitative research within CTR.

No specific grant was received to support the writing of this paper.

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Segrott, J., Channon, S., Lloyd, A. et al. Integrating qualitative research within a clinical trials unit: developing strategies and understanding their implementation in contexts. Trials 25 , 323 (2024). https://doi.org/10.1186/s13063-024-08124-7

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Sector-based Work Academy Programme: qualitative case study research

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

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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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CRO Guide   >  Chapter 3.1

Qualitative Research: Definition, Methodology, Limitation, Examples

Qualitative research is a method focused on understanding human behavior and experiences through non-numerical data. Examples of qualitative research include:

• One-on-one interviews,
• Focus groups, Ethnographic research,
• Case studies,
• Record keeping,
• Qualitative observations

In this article, we’ll provide tips and tricks on how to use qualitative research to better understand your audience through real world examples and improve your ROI. We’ll also learn the difference between qualitative and quantitative data.

Table of Contents

Marketers often seek to understand their customers deeply. Qualitative research methods such as face-to-face interviews, focus groups, and qualitative observations can provide valuable insights into your products, your market, and your customers’ opinions and motivations. Understanding these nuances can significantly enhance marketing strategies and overall customer satisfaction.

What is Qualitative Research

Qualitative research is a market research method that focuses on obtaining data through open-ended and conversational communication. This method focuses on the “why” rather than the “what” people think about you. Thus, qualitative research seeks to uncover the underlying motivations, attitudes, and beliefs that drive people’s actions. 

Let’s say you have an online shop catering to a general audience. You do a demographic analysis and you find out that most of your customers are male. Naturally, you will want to find out why women are not buying from you. And that’s what qualitative research will help you find out.

In the case of your online shop, qualitative research would involve reaching out to female non-customers through methods such as in-depth interviews or focus groups. These interactions provide a platform for women to express their thoughts, feelings, and concerns regarding your products or brand. Through qualitative analysis, you can uncover valuable insights into factors such as product preferences, user experience, brand perception, and barriers to purchase.

Types of Qualitative Research Methods

1. one-on-one interviews.

• A company might conduct interviews to understand why a product failed to meet sales expectations.
• A researcher might use interviews to gather personal stories about experiences with healthcare.

2. Focus groups

• A focus group could be used to test reactions to a new product concept.
• Marketers might use focus groups to see how different demographic groups react to an advertising campaign.

3. Ethnographic research

• A study of workplace culture within a tech startup.
• Observational research in a remote village to understand local traditions.

4. Case study research

• Analyzing a single school’s innovative teaching method.
• A detailed study of a patient’s medical treatment over several years.

H3: 5. Record keeping

• Historical research using old newspapers and letters.
• A study on policy changes over the years by examining government records.

6. Qualitative observation

• Sight : Observing the way customers visually interact with product displays in a store to understand their browsing behaviors and preferences.
• Smell : Noting reactions of consumers to different scents in a fragrance shop to study the impact of olfactory elements on product preference.
• Touch : Watching how individuals interact with different materials in a clothing store to assess the importance of texture in fabric selection.
• Taste : Evaluating reactions of participants in a taste test to identify flavor profiles that appeal to different demographic groups.
• Hearing : Documenting responses to changes in background music within a retail environment to determine its effect on shopping behavior and mood.

Qualitative Research Real World Examples

1. online grocery shop with a predominantly male audience, 2. software company launching a new product, 3. alan pushkin’s “god’s choice: the total world of a fundamentalist christian school”, 4. understanding buyers’ trends, 5. determining products/services missing from the market, real-time customer lifetime value (clv) benchmark report.

See where your business stands compared to 1,000+ e-stores in different industries.

Qualitative Research Approaches

• Narrative : This method focuses on individual life stories to understand personal experiences and journeys. It examines how people structure their stories and the themes within them to explore human existence. For example, a narrative study might look at cancer survivors to understand their resilience and coping strategies.
• Phenomenology : attempts to understand or explain life experiences or phenomena; It aims to reveal the depth of human consciousness and perception, such as by studying the daily lives of those with chronic illnesses.
• Grounded theory : investigates the process, action, or interaction with the goal of developing a theory “grounded” in observations and empirical data. 
• Ethnography : describes and interprets an ethnic, cultural, or social group;
• Case study : examines episodic events in a definable framework, develops in-depth analyses of single or multiple cases, and generally explains “how”. An example might be studying a community health program to evaluate its success and impact.

How to Analyze Qualitative Data

1. data collection, 2. data preparation, 3. familiarization.

• Descriptive Coding : Summarize the primary topic of the data.
• In Vivo Coding : Use language and terms used by the participants themselves.
• Process Coding : Use gerunds (“-ing” words) to label the processes at play.
• Emotion Coding : Identify and record the emotions conveyed or experienced.

5. Thematic Development

6. interpreting the data, 7. validation, 8. reporting, limitations of qualitative research, 1. it’s a time-consuming process, 2. you can’t verify the results of qualitative research, 3. it’s a labor-intensive approach, 4. it’s difficult to investigate causality, 5. qualitative research is not statistically representative, quantitative vs. qualitative research.

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Nature of Data:

• Quantitative research : Involves numerical data that can be measured and analyzed statistically.
• Qualitative research : Focuses on non-numerical data, such as words, images, and observations, to capture subjective experiences and meanings.

Research Questions:

• Quantitative research : Typically addresses questions related to “how many,” “how much,” or “to what extent,” aiming to quantify relationships and patterns.
• Qualitative research: Explores questions related to “why” and “how,” aiming to understand the underlying motivations, beliefs, and perceptions of individuals.

Data Collection Methods:

• Quantitative research : Relies on structured surveys, experiments, or observations with predefined variables and measures.
• Qualitative research : Utilizes open-ended interviews, focus groups, participant observations, and textual analysis to gather rich, contextually nuanced data.

Analysis Techniques:

• Quantitative research: Involves statistical analysis to identify correlations, associations, or differences between variables.
• Qualitative research: Employs thematic analysis, coding, and interpretation to uncover patterns, themes, and insights within qualitative data.

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• Last modified: January 3, 2023
• Conversion Rate Optimization , User Research

Valentin Radu

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