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The Case Study in Social Research

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The Case Study in Social Research proposes and develops an innovative, rigorous, and up to date methodological clarification of the case study approach in the social sciences to consistently and consciously apply it to different fields of social research. It aspires to provide the reader not with a set of prescriptive rules, but rather with a ‘methodological awareness’ of the complexity and peculiarity of applying a case study, so that they may carefully evaluate the limits and potential of conducting this type of investigation.

What is case study research in the sociological field really? How do we carry out a social inquiry of this type? How does it differ from other social research approaches? In answering these questions, this book leads the reader on a historical, epistemological, technical, and applicative path in the methodology of social research, by examining all aspects of the case study approach. The aim is to respond to as-yet still equivocal and misunderstood methodological issues, and provide a systematic illustration and exemplification of the case study approach, beginning from its sociological and methodological roots, its research design, and on through to its preparation and administration. Space is also dedicated to specifically and practically understanding the differences between the case study and the other social research approaches, with which it is often confused in literature, such as ethnographic research, grounded theory, or qualitative research.

This book is suitable for upper level undergraduate and postgraduate students in the social sciences, and as a supplementary textbook to primary methods texts, as well as for social researchers, and other practitioners and academics with a firm grounding in social research methodologies.

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Case study research in the social sciences

Affiliations.

1 Department of Sociology, University of Helsinki, PO Box 18, 00014, University of Helsinki, Finland. Electronic address: [email protected].
2 Department of Philosophy, University of Bergen, Postboks 7805, 5020, Bergen, Norway. Electronic address: [email protected].
PMID: 31818413
DOI: 10.1016/j.shpsa.2019.10.003

In this paper, we offer an introduction to case study research in the social sciences. We begin with a discussion of the definition of case study research. Next, we point to various purposes that case study research may serve in the social sciences and then turn to outline the main philosophical issues raised by case study research. Finally, we briefly present the papers in this special issue.

Keywords: Case study design; Case study research; Evidence amalgamation; Explanation; Generalization; Social sciences.

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What Is a Case Study? | Definition, Examples & Methods

What Is a Case Study? | Definition, Examples & Methods

Published on May 8, 2019 by Shona McCombes . Revised on November 20, 2023.

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

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

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

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

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

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

Case study examples
Research question	Case study
What are the ecological effects of wolf reintroduction?	Case study of wolf reintroduction in Yellowstone National Park
How do populist politicians use narratives about history to gain support?	Case studies of Hungarian prime minister Viktor Orbán and US president Donald Trump
How can teachers implement active learning strategies in mixed-level classrooms?	Case study of a local school that promotes active learning
What are the main advantages and disadvantages of wind farms for rural communities?	Case studies of three rural wind farm development projects in different parts of the country
How are viral marketing strategies changing the relationship between companies and consumers?	Case study of the iPhone X marketing campaign
How do experiences of work in the gig economy differ by gender, race and age?	Case studies of Deliveroo and Uber drivers in London

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

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

TipIf your research is more practical in nature and aims to simultaneously investigate an issue as you solve it, consider conducting action research instead.

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

Example of an outlying case studyIn the 1960s the town of Roseto, Pennsylvania was discovered to have extremely low rates of heart disease compared to the US average. It became an important case study for understanding previously neglected causes of heart disease.

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

Example of a representative case studyIn the 1920s, two sociologists used Muncie, Indiana as a case study of a typical American city that supposedly exemplified the changing culture of the US at the time.

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

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

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

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

Example of a mixed methods case studyFor a case study of a wind farm development in a rural area, you could collect quantitative data on employment rates and business revenue, collect qualitative data on local people’s perceptions and experiences, and analyze local and national media coverage of the development.

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

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

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

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

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

If you want to know more about statistics , methodology , or research bias , make sure to check out some of our other articles with explanations and examples.

Normal distribution
Degrees of freedom
Null hypothesis
Discourse analysis
Control groups
Mixed methods research
Non-probability sampling
Quantitative research
Ecological validity

Research bias

Rosenthal effect
Implicit bias
Cognitive bias
Selection bias
Negativity bias
Status quo bias

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Understanding the Case Study Method in Sociology

Definition and purpose of case studies, types of case studies, methodological approaches in case studies.

Advantages of Case Study Methods
Limitations of Case Study Methods
Applications of Case Study Methods in Sociology

The case study method is a research strategy often employed in the social sciences, including sociology, to investigate a phenomenon within its real-life context. This approach allows for a deep, multifaceted exploration of complex issues, making it an invaluable tool for sociologists. By focusing on a single case or a small number of cases, researchers can gather detailed and nuanced data, which can then be used to develop or test theories. This essay will provide an overview of the case study method, its applications, advantages, and limitations, and illustrate how it can be used effectively in sociological research.

Understanding Case Studies

A case study is an in-depth examination of a single instance or event—a ‘case’—which could be an individual, group, organization, community, or even a nation. The case study method is not confined to a particular type of data collection or analysis but rather encompasses a variety of techniques to gather comprehensive information about the case in question. This method is particularly useful for studying phenomena in their natural settings, allowing researchers to capture the complexities and intricacies of social life.

Purpose and Importance

The primary purpose of a case study is to gain a deep understanding of the subject under investigation. Case studies are particularly effective in exploring new or under-researched areas where the boundaries between the phenomenon and context are not clearly evident. They enable researchers to explore the ‘how’ and ‘why’ questions, providing insights that might not be achievable through other research methods. By focusing on specific instances, case studies can reveal the underlying mechanisms and processes that drive social phenomena, offering rich, qualitative insights that can inform broader sociological theories and practices.

Exploratory Case Studies

Exploratory case studies are conducted to identify research questions and hypotheses for further study. They are often the preliminary step in a research project, providing a basis for developing more detailed research plans. These case studies are useful for gathering initial data and insights, which can help shape the direction of future research.

Descriptive Case Studies

Descriptive case studies aim to provide a detailed, accurate account of the case under investigation. These studies focus on describing the characteristics and context of the case, often with the goal of illustrating the application of theories in real-life scenarios. Descriptive case studies are valuable for presenting a comprehensive picture of the phenomenon, enabling a better understanding of its complexity.

Explanatory Case Studies

Explanatory case studies are used to explore causation and uncover the underlying mechanisms of a phenomenon. These studies seek to explain the ‘how’ and ‘why’ questions, providing insights into the causal relationships and processes at play. Explanatory case studies are particularly useful in testing hypotheses and theories, offering a detailed examination of the factors that contribute to a specific outcome.

Intrinsic Case Studies

Intrinsic case studies are conducted when the researcher has a genuine interest in the case itself, rather than in generalizing findings to other cases. These studies focus on understanding the unique aspects and significance of the specific case, often highlighting its distinctiveness and individuality. Intrinsic case studies are valuable for exploring cases that are particularly unusual or noteworthy, providing insights that might not be applicable to other contexts.

Instrumental Case Studies

Instrumental case studies are conducted to gain a broader understanding of a particular issue or phenomenon. The case is used as a tool to provide insights into a larger question or theory. In these studies, the case itself is of secondary interest, serving as a means to an end. Instrumental case studies are useful for illustrating broader theoretical concepts and for drawing generalizable conclusions from specific instances.

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11 Case research

Case research—also called case study—is a method of intensively studying a phenomenon over time within its natural setting in one or a few sites. Multiple methods of data collection, such as interviews, observations, pre-recorded documents, and secondary data, may be employed and inferences about the phenomenon of interest tend to be rich, detailed, and contextualised. Case research can be employed in a positivist manner for the purpose of theory testing or in an interpretive manner for theory building. This method is more popular in business research than in other social science disciplines.

Case research has several unique strengths over competing research methods such as experiments and survey research. First, case research can be used for either theory building or theory testing, while positivist methods can be used for theory testing only. In interpretive case research, the constructs of interest need not be known in advance, but may emerge from the data as the research progresses. Second, the research questions can be modified during the research process if the original questions are found to be less relevant or salient. This is not possible in any positivist method after the data is collected. Third, case research can help derive richer, more contextualised, and more authentic interpretation of the phenomenon of interest than most other research methods by virtue of its ability to capture a rich array of contextual data. Fourth, the phenomenon of interest can be studied from the perspectives of multiple participants and using multiple levels of analysis (e.g., individual and organisational).

At the same time, case research also has some inherent weaknesses. Because it involves no experimental control, internal validity of inferences remain weak. Of course, this is a common problem for all research methods except experiments. However, as described later, the problem of controls may be addressed in case research using ‘natural controls’. Second, the quality of inferences derived from case research depends heavily on the integrative powers of the researcher. An experienced researcher may see concepts and patterns in case data that a novice researcher may miss. Hence, the findings are sometimes criticised as being subjective. Finally, because the inferences are heavily contextualised, it may be difficult to generalise inferences from case research to other contexts or other organisations.

It is important to recognise that case research is different from case descriptions such as Harvard case studies discussed in business classes. While case descriptions typically describe an organisational problem in rich detail with the goal of stimulating classroom discussion and critical thinking among students, or analysing how well an organisation handled a specific problem, case research is a formal research technique that involves a scientific method to derive explanations of organisational phenomena.

Case research is a difficult research method that requires advanced research skills on the part of the researcher, and is therefore often prone to error. Benbasat, Goldstein and Mead (1987) [1] describe five problems frequently encountered in case research studies. First, many case research studies start without specific research questions, and therefore end up without having any specific answers or insightful inferences. Second, case sites are often chosen based on access and convenience, rather than based on the fit with the research questions, and are therefore cannot adequately address the research questions of interest. Third, researchers often do not validate or triangulate data collected using multiple means, which may lead to biased interpretation based on responses from biased interviewees. Fourth, many studies provide very little details on how data was collected (e.g., what interview questions were used, which documents were examined, the organisational positions of each interviewee, etc.) or analysed, which may raise doubts about the reliability of the inferences. Finally, despite its strength as a longitudinal research method, many case research studies do not follow through a phenomenon in a longitudinal manner, and hence present only a cross-sectional and limited view of organisational processes and phenomena that are temporal in nature.

Key decisions in case research

Several key decisions must be made by a researcher when considering a case research method. First, is this the right method for the research questions being studied? The case research method is particularly appropriate for exploratory studies, for discovering relevant constructs in areas where theory building is in the formative stages, for studies where the experiences of participants and context of actions are critical, and for studies aimed at understanding complex, temporal processes (why and how) rather than factors or causes (what). This method is well-suited for studying complex organisational processes that involve multiple participants and interacting sequences of events, such as organisational change and large-scale technology implementation projects.

Second, what is the appropriate unit of analysis for a case research study? Since case research can simultaneously examine multiple units of analyses, the researcher must decide whether she wishes to study a phenomenon at the individual, group, or organisational level or at multiple levels. For instance, a study of group decision-making or group work may combine individual-level constructs such as individual participation in group activities with group-level constructs, such as group cohesion and group leadership, to derive richer understanding than can be achieved from a single level of analysis.

Third, should the researcher employ a single-case or multiple-case design? The single-case design is more appropriate at the outset of theory generation, if the situation is unique or extreme, if it is revelatory (i.e., the situation was previously inaccessible for scientific investigation), or if it represents a critical or contrary case for testing a well-formulated theory. The multiple-case design is more appropriate for theory testing, for establishing generalisability of inferences, and for developing richer and more nuanced interpretations of a phenomenon. Yin (1984) [2] recommends the use of multiple case sites with replication logic, viewing each case site as similar to one experimental study, and following rules of scientific rigor similar to that used in positivist research.

Fourth, what sites should be chosen for case research? Given the contextualised nature of inferences derived from case research, site selection is a particularly critical issue because selecting the wrong site may lead to the wrong inferences. If the goal of the research is to test theories or examine generalisability of inferences, then dissimilar case sites should be selected to increase variance in observations. For instance, if the goal of the research is to understand the process of technology implementation in firms, a mix of large, mid-sized, and small firms should be selected to examine whether the technology implementation process differs with firm size. Site selection should not be opportunistic or based on convenience, but rather based on the fit with research questions though a process called ‘theoretical sampling’.

Fifth, what techniques of data collection should be used in case research? Although interview (either open-ended/unstructured or focused/structured) is by far the most popular data collection technique for case research, interview data can be supplemented or corroborated with other techniques such as direct observation (e.g., attending executive meetings, briefings, and planning sessions), documentation (e.g., internal reports, presentations, and memoranda, as well as external accounts such as newspaper reports), archival records (e.g., organisational charts, financial records, etc.), and physical artefacts (e.g., devices, outputs, tools). Furthermore, the researcher should triangulate or validate observed data by comparing responses between interviewees.

Conducting case research

Most case research studies tend to be interpretive in nature. Interpretive case research is an inductive technique where evidence collected from one or more case sites is systematically analysed and synthesised to allow concepts and patterns to emerge for the purpose of building new theories or expanding existing ones. Eisenhardt (1989) [3] proposed a ‘roadmap’ for building theories from case research—a slightly modified version of which is described below. For positivist case research, some of the following stages may need to be rearranged or modified, however sampling, data collection, and data analytic techniques should generally remain the same.

Define research questions. Like any other scientific research, case research must also start with defining research questions that are theoretically and practically interesting, and identifying some intuitive expectations about possible answers to those research questions or preliminary constructs to guide initial case design. In positivist case research, the preliminary constructs are based on theory, while no such theories or hypotheses should be considered ex ante in interpretive research. These research questions and constructs may be changed in interpretive case research later on, if needed, but not in positivist case research.

Select case sites. The researcher should use a process of ‘theoretical sampling’—not random sampling—to identify case sites. In this approach, case sites are chosen based on theoretical rather than statistical considerations—for instance, to replicate previous cases, to extend preliminary theories, or to fill theoretical categories or polar types. Care should be taken to ensure that the selected sites fit the nature of research questions, minimise extraneous variance or noise due to firm size, industry effects, and so forth, and maximise variance in the dependent variables of interest. For instance, if the goal of the research is to examine how some firms innovate better than others, the researcher should select firms of similar size within the same industry to reduce industry or size effects, and select some more innovative and some less innovative firms to increase variation in firm innovation. Instead of cold-calling or writing to a potential site, it is better to contact someone at executive level inside each firm who has the authority to approve the project, or someone who can identify a person of authority. During initial conversations, the researcher should describe the nature and purpose of the project, any potential benefits to the case site, how the collected data will be used, the people involved in data collection (other researchers, research assistants, etc.), desired interviewees, and the amount of time, effort, and expense required of the sponsoring organisation. The researcher must also assure confidentiality, privacy, and anonymity of both the firm and the individual respondents.

Create instruments and protocols. Since the primary mode of data collection in case research is interviews, an interview protocol should be designed to guide the interview process. This is essentially a list of questions to be asked. Questions may be open-ended (unstructured) or closed-ended (structured) or a combination of both. The interview protocol must be strictly followed, and the interviewer must not change the order of questions or skip any question during the interview process, although some deviations are allowed to probe further into a respondent’s comments if they are ambiguous or interesting. The interviewer must maintain a neutral tone, and not lead respondents in any specific direction—for example, by agreeing or disagreeing with any response. More detailed interviewing techniques are discussed in the chapter on surveys. In addition, additional sources of data—such as internal documents and memorandums, annual reports, financial statements, newspaper articles, and direct observations—should be sought to supplement and validate interview data.

Select respondents. Select interview respondents at different organisational levels, departments, and positions to obtain divergent perspectives on the phenomenon of interest. A random sampling of interviewees is most preferable, however a snowball sample is acceptable, as long as a diversity of perspectives is represented in the sample. Interviewees must be selected based on their personal involvement with the phenomenon under investigation and their ability and willingness to answer the researcher’s questions accurately and adequately, and not based on convenience or access.

Start data collection . It is usually a good idea to electronically record interviews for future reference. However, such recording must only be done with the interviewee’s consent. Even when interviews are being recorded, the interviewer should take notes to capture important comments or critical observations, behavioural responses (e.g., the respondent’s body language), and the researcher’s personal impressions about the respondent and his/her comments. After each interview is completed, the entire interview should be transcribed verbatim into a text document for analysis.

Conduct within-case data analysis. Data analysis may follow or overlap with data collection. Overlapping data collection and analysis has the advantage of adjusting the data collection process based on themes emerging from data analysis, or to further probe into these themes. Data analysis is done in two stages. In the first stage (within-case analysis), the researcher should examine emergent concepts separately at each case site and patterns between these concepts to generate an initial theory of the problem of interest. The researcher can use interview data subjectively to ‘make sense’ of the research problem in conjunction with using his/her personal observations or experience at the case site. Alternatively, a coding strategy such as Glaser and Strauss’ (1967) [4] grounded theory approach, using techniques such as open coding, axial coding, and selective coding, may be used to derive a chain of evidence and inferences. These techniques are discussed in detail in a later chapter. Homegrown techniques, such as graphical representation of data (e.g., network diagram) or sequence analysis (for longitudinal data) may also be used. Note that there is no predefined way of analysing the various types of case data, and the data analytic techniques can be modified to fit the nature of the research project.

Conduct cross-case analysis. Multi-site case research requires cross-case analysis as the second stage of data analysis. In such analysis, the researcher should look for similar concepts and patterns between different case sites, ignoring contextual differences that may lead to idiosyncratic conclusions. Such patterns may be used for validating the initial theory, or for refining it—by adding or dropping concepts and relationships—to develop a more inclusive and generalisable theory. This analysis may take several forms. For instance, the researcher may select categories (e.g., firm size, industry, etc.) and look for within-group similarities and between-group differences (e.g., high versus low performers, innovators versus laggards). Alternatively, they can compare firms in a pairwise manner listing similarities and differences across pairs of firms.

Build and test hypotheses. Tenative hypotheses are constructed based on emergent concepts and themes that are generalisable across case sites. These hypotheses should be compared iteratively with observed evidence to see if they fit the observed data, and if not, the constructs or relationships should be refined. Also the researcher should compare the emergent constructs and hypotheses with those reported in the prior literature to make a case for their internal validity and generalisability. Conflicting findings must not be rejected, but rather reconciled using creative thinking to generate greater insight into the emergent theory. When further iterations between theory and data yield no new insights or changes in the existing theory, ‘theoretical saturation’ is reached and the theory building process is complete.

Write case research report. In writing the report, the researcher should describe very clearly the detailed process used for sampling, data collection, data analysis, and hypotheses development, so that readers can independently assess the reasonableness, strength, and consistency of the reported inferences. A high level of clarity in research methods is needed to ensure that the findings are not biased by the researcher’s preconceptions.

Interpretive case research exemplar

Perhaps the best way to learn about interpretive case research is to examine an illustrative example. One such example is Eisenhardt’s (1989) [5] study of how executives make decisions in high-velocity environments (HVE). Readers are advised to read the original paper published in Academy of Management Journal before reading the synopsis in this chapter. In this study, Eisenhardt examined how executive teams in some HVE firms make fast decisions, while those in other firms cannot, and whether faster decisions improve or worsen firm performance in such environments. HVE was defined as one where demand, competition, and technology changes so rapidly and discontinuously that the information available is often inaccurate, unavailable or obsolete. The implicit assumptions were thatit is hard to make fast decisions with inadequate information in HVE, and fast decisions may not be efficient and may result in poor firm performance.

Reviewing the prior literature on executive decision-making, Eisenhardt found several patterns, although none of these patterns were specific to high-velocity environments. The literature suggested that in the interest of expediency, firms that make faster decisions obtain input from fewer sources, consider fewer alternatives, make limited analysis, restrict user participation in decision-making, centralise decision-making authority, and have limited internal conflicts. However, Eisenhardt contended that these views may not necessarily explain how decision makers make decisions in high-velocity environments, where decisions must be made quickly and with incomplete information, while maintaining high decision quality.

To examine this phenomenon, Eisenhardt conducted an inductive study of eight firms in the personal computing industry. The personal computing industry was undergoing dramatic changes in technology with the introduction of the UNIX operating system, RISC architecture, and 64KB random access memory in the 1980s, increased competition with the entry of IBM into the personal computing business, and growing customer demand with double-digit demand growth, and therefore fit the profile of the high-velocity environment. This was a multiple case design with replication logic, where each case was expected to confirm or disconfirm inferences from other cases. Case sites were selected based on their access and proximity to the researcher, however, all of these firms operated in the high-velocity personal computing industry in California’s Silicon Valley area. The collocation of firms in the same industry and the same area ruled out any ‘noise’ or variance in dependent variables (decision speed or performance) attributable to industry or geographic differences.

The study employed an embedded design with multiple levels of analysis: decision (comparing multiple strategic decisions within each firm), executive teams (comparing different teams responsible for strategic decisions), and the firm (overall firm performance). Data was collected from five sources:

Initial interviews with Chief Executive Officers . CEOs were asked questions about their firm’s competitive strategy, distinctive competencies, major competitors, performance, and recent/ongoing major strategic decisions. Based on these interviews, several strategic decisions were selected in each firm for further investigation. Four criteria were used to select decisions: the decisions must involve the firm’s strategic positioning, the decisions must have high stakes, the decisions must involve multiple functions, and the decisions must be representative of strategic decision-making process in that firm.

Interviews with divisional heads . Each divisional head was asked sixteen open-ended questions, ranging from their firm’s competitive strategy, functional strategy, top management team members, frequency and nature of interaction with team, typical decision-making processes, how each of the decisions were made, and how long it took them to make those decisions. Interviews lasted between one and a half and two hours, and sometimes extended to four hours. To focus on facts and actual events rather than respondents’ perceptions or interpretations, a ‘courtroom’ style questioning was employed, such as ‘When did this happen?’, ‘What did you do?’, etc. Interviews were conducted by two people, and the data was validated by cross-checking facts and impressions made by the interviewer and notetaker. All interview data was recorded, however notes were also taken during each interview, which ended with the interviewer’s overall impressions. Using a ‘24-hour rule’, detailed field notes were completed within 24 hours of the interview, so that some data or impressions were not lost to recall.

Questionnaires . Executive team members at each firm were asked tocomplete a survey questionnaire that captured quantitative data on the extent of conflict and power distribution in their firm.

Secondary data . Industry reports and internal documents such as demographics of the executive teams responsible for strategic decisions, financial performance of firms, and so forth, were examined.

Personal observation . Lastly, the researcher attended a one-day strategy session and a weekly executive meeting at two firms in her sample.

Data analysis involved a combination of quantitative and qualitative techniques. Quantitative data on conflict and power were analysed for patterns across firms/decisions. Qualitative interview data was combined into decision climate profiles, using profile traits (e.g., impatience) mentioned by more than one executive. For within-case analysis, decision stories were created for each strategic decision by combining executive accounts of the key decision events into a timeline. For cross-case analysis, pairs of firms were compared for similarities and differences, categorised along variables of interest such as decision speed and firm performance. Based on these analyses, tentative constructs and propositions were derived inductively from each decision story within firm categories. Each decision case was revisited to confirm the proposed relationships. The inferred propositions were compared with findings from the existing literature to examine differences, and to generate new insights from the case findings. Finally, the validated propositions were synthesised into an inductive theory of strategic decision-making by firms in high-velocity environments.

Inferences derived from this multiple case research contradicted several decision-making patterns expected from the existing literature. First, fast decision-makers in high-velocity environments used more information, and not less information as suggested by the previous literature. However, these decision-makers used more real-time information—an insight not available from prior research—which helped them identify and respond to problems, opportunities, and changing circumstances faster. Second, fast decision-makers examined more—not fewer—alternatives. However, they considered these multiple alternatives in a simultaneous manner, while slower decision-makers examined fewer alternatives in a sequential manner. Third, fast decision-makers did not centralise decision-making or restrict inputs from others as the literature suggested. Rather, these firms used a two-tiered decision process in which experienced counsellors were asked for inputs in the first stage, followed by a rapid comparison and decision selection in the second stage. Fourth, fast decision-makers did not have less conflict—as expected from the literature—but employed better conflict resolution techniques to reduce conflict and improve decision-making speed. Finally, fast decision-makers exhibited superior firm performance by virtue of their built-in cognitive, emotional, and political processes that led to rapid closure of major decisions.

Positivist case research exemplar

Case research can also be used in a positivist manner to test theories or hypotheses. Such studies are rare, but Markus (1983) [6] provides an exemplary illustration in her study of technology implementation at the pseudonymous Golden Triangle Company (GTC). The goal of this study was to understand why a newly implemented financial information system (FIS)—intended to improve the productivity and performance of accountants at GTC—was supported by accountants at GTC’s corporate headquarters, but resisted by divisional accountants at GTC branches. Given the uniqueness of the phenomenon of interest, this was a single-case research study.

To explore the reasons behind user resistance of FIS, Markus posited three alternative explanations:

System-determined theory : The resistance was caused by factors related to an inadequate system, such as its technical deficiencies, poor ergonomic design, or lack of user friendliness.

People-determined theory : The resistance was caused by factors internal to users, such as the accountants’ cognitive styles or personality traits that were incompatible with using the system.

Interaction theory : The resistance was not caused not by factors intrinsic to the system or the people, but by the interaction between the two set of factors. Specifically, interaction theory suggested that the FIS engendered a redistribution of intra-organisational power, and accountants who lost organisational status, relevance, or power as a result of FIS implementation resisted the system while those gaining power favoured it.

In order to test the three theories, Markus predicted alternative outcomes expected from each theoretical explanation and analysed the extent to which those predictions matched with her observations at GTC. For instance, the system-determined theory suggested that since user resistance was caused by an inadequate system, fixing the technical problems of the system would eliminate resistance. The computer running the FIS system was subsequently upgraded with a more powerful operating system, online processing (from initial batch processing, which delayed immediate processing of accounting information), and a simplified software for new account creation by managers. One year after these changes were made, the resistant users were still resisting the system and felt that it should be replaced. Hence, the system-determined theory was rejected.

The people-determined theory predicted that replacing individual resistors or co-opting them with less resistant users would reduce their resistance toward the FIS. Subsequently, GTC started a job rotation and mobility policy, moving accountants in and out of the resistant divisions, but resistance not only persisted, but in some cases increased. In one instance, an accountant who was one of the system’s designers and advocates when he worked for corporate accounting started resisting the system after he was moved to the divisional controller’s office. Failure to realise the predictions of the people-determined theory led to the rejection of this theory.

Finally, the interaction theory predicted that neither changing the system nor the people (i.e., user education or job rotation policies) would reduce resistance until the power imbalance and redistribution from the pre-implementation phase was addressed. Before FIS implementation, divisional accountants at GTC felt that they owned all accounting data related to their divisional operations. They maintained this data in thick, manual ledger books, controlled others’ access to the data, and could reconcile unusual accounting events before releasing those reports. Corporate accountants relied heavily on divisional accountants for access to the divisional data for corporate reporting and consolidation. Because the FIS system automatically collected all data at the source and consolidated it into a single corporate database, it obviated the need for divisional accountants, loosened their control and autonomy over their division’s accounting data, and making their job somewhat irrelevant. Corporate accountants could now query the database and access divisional data directly without going through the divisional accountants, analyse and compare the performance of individual divisions, and report unusual patterns and activities to the executive committee, resulting in further erosion of the divisions’ power. Though Markus did not empirically test this theory, her observations about the redistribution of organisational power, coupled with the rejection of the two alternative theories, led to the justification of interaction theory.

Comparisons with traditional research

Positivist case research, aimed at hypotheses testing, is often criticised by natural science researchers as lacking in controlled observations, controlled deductions, replicability, and generalisability of findings—the traditional principles of positivist research. However, these criticisms can be overcome through appropriate case research designs. For instance, the problem of controlled observations refers to the difficulty of obtaining experimental or statistical control in case research. However, case researchers can compensate for such lack of controls by employing ’natural controls’. This natural control in Markus’ (1983) study was the corporate accountant who was one of the system advocates initially, but started resisting it once he moved to the controlling division. In this instance, the change in his behaviour may be attributed to his new divisional position. However, such natural controls cannot be anticipated in advance, and case researchers may overlook them unless they are proactively looking for such controls. Incidentally, natural controls are also used in natural science disciplines such as astronomy, geology, and human biology—for example, waiting for comets to pass close enough to the earth in order to make inferences about comets and their composition.

Third, the problem of replicability refers to the difficulty of observing the same phenomenon considering the uniqueness and idiosyncrasy of a given case site. However, using Markus’ three theories as an illustration, a different researcher can test the same theories at a different case site, where three different predictions may emerge based on the idiosyncratic nature of the new case site, and the three resulting predictions may be tested accordingly. In other words, it is possible to replicate the inferences of case research, even if the case research site or context may not be replicable.

Fourth, case research tends to examine unique and non-replicable phenomena that may not be generalised to other settings. Generalisability in natural sciences is established through additional studies. Likewise, additional case studies conducted in different contexts with different predictions can establish generalisability of findings if such findings are observed to be consistent across studies.

Lastly, British philosopher Karl Popper described four requirements of scientific theories: theories should be falsifiable, they should be logically consistent, they should have adequate predictive ability, and they should provide better explanation than rival theories. In case research, the first three requirements can be improved by increasing the degrees of freedom of observed findings—for example, by increasing the number of case sites, the number of alternative predictions, and the number of levels of analysis examined. This was accomplished in Markus’ study by examining the behaviour of multiple groups (divisional accountants and corporate accountants) and providing multiple (three) rival explanations. Popper’s fourth condition was accomplished in this study when one hypothesis was found to match observed evidence better than the two rival hypotheses.

Benbasat, I., Goldstein, D. K., & Mead, M. (1987). The case research strategy in studies of information systems. MIS Quarterly , 11(3), 369–386. ↵
Yin, R. (1984). Case study research: Design and methods . London: Sage Publications. ↵
Eisenhardt, K. M. (1989). Building theories from case research. Academy of Management Review , 14(4), 532–550 ↵
Glaser, B., & Strauss, A. (1967). The discovery of grounded theory: Strategies for qualitative research . New York: Aldine Pub Co. ↵
Eisenhardt, K. M. (1989). Making fast strategic decisions in high-velocity environments. Academy of Management Journal , 32(3), 543–576. ↵
Markus, M. L. (1983). Power, politics and MIS implementations. Communications of the ACM , 26(6), 430–444. ↵

Social Science Research: Principles, Methods and Practices (Revised edition) Copyright © 2019 by Anol Bhattacherjee is licensed under a Creative Commons Attribution-NonCommercial-ShareAlike 4.0 International License , except where otherwise noted.

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Case Studies and Theory Development in the Social Sciences

by Alexander L. George and Andrew Bennett

ISBN: 9780262572224

Pub date: April 15, 2005

Publisher: The MIT Press

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Description

The use of case studies to build and test theories in political science and the other social sciences has increased in recent years. Many scholars have argued that the social sciences rely too heavily on quantitative research and formal models and have attempted to develop and refine rigorous methods for using case studies. This text presents a comprehensive analysis of research methods using case studies and examines the place of case studies in social science methodology. It argues that case studies, statistical methods, and formal models are complementary rather than competitive.

The book explains how to design case study research that will produce results useful to policymakers and emphasizes the importance of developing policy-relevant theories. It offers three major contributions to case study methodology: an emphasis on the importance of within-case analysis, a detailed discussion of process tracing, and development of the concept of typological theories. Case Studies and Theory Development in the Social Sciences will be particularly useful to graduate students and scholars in social science methodology and the philosophy of science, as well as to those designing new research projects, and will contribute greatly to the broader debate about scientific methods.

Alexander L. George was Graham H. Stuart Professor of Political Science Emeritus at Stanford University and the author or coauthor of many books, most recently Presidential Personality and Performance (1998).

Andrew Bennett is Associate Professor of Government at Georgetown University and the author of Condemned to Repetition? The Rise, Fall, and Reprise of Soviet-Russian Military Interventionism, 1973-1996 (MIT Press, 1999).

In this book, George and Bennett explain how research methods such as process tracing and comparative case studies are designed, carried out, and used as the basis for theory development in social science. They provide an invaluable research guide for any scholar interested in the case study approach. But the book is much more than an account of how to do case study research. The authors also offer a sophisticated discussion of the philosophy of science that will be useful to anyone interested in the place of case-study methods in broader debates about social science methodology, and they give a discerning analysis of policy-relevant theory that is sure to draw the attention of a research community increasingly concerned about the social and political relevance of modern social science. In scope, clarity, and erudition, this book sets a new standard not only in the analysis of case study methods, but also in the study of social science methods more broadly. David Dessler, Associate Professor of Government, College of William & Mary

This book combines clear and concise instructions on how to do qualitative research with sophisticated but accessible epistemological reasons for that advice. The volume provides step-by-step templates on ways to design research, compare across cases, congruence test and process trace, and use typological theories. This guidance is illustrated with dozens of concrete examples. Almost no other methodology text comes close to matching the authors' top-to-bottom synthesis of philosophy of science and practical advice. Colin Elman, Executive Director, Consortium on Qualitative Research Methods, Assistant Professor of Political Science, Arizona State University

This landmark study offers to scholars of all methodological persuasions a philosophically informed, theoretically nuanced, and methodologically detailed treatment of case study analysis. With this book Alexander George and Andrew Bennett help all of us in improving our research, teaching, and disciplinary debates. Peter J. Katzenstein, Walter S. Carpenter, Jr., Professor of International Studies, Cornell University

Case Studies and Theory Development in the Social Sciences makes an indispensable contribution to the growing literature on qualitative methods in the social sciences. It provides a definitive analysis of case study methods and research designs, anchors those methods in contemporary philosophy of science, and argues that case study, statistical, and formal approaches can and should be mutually reinforcing in the development and testing of social theories. Jack S. Levy, Board of Governors' Professor, Rutgers University

Today, more and more social scientists recognize the importance of cases in social and political research and are looking for new ways to make their research more case oriented. George and Bennett show how in this important new work. The beauty of their approach is their careful integration of theory and method and their conviction that the pursuit of empirical knowledge is profoundly theory dependent. Charles Ragin, Professor of Sociology, University of Arizona

Andrew Bennett and Alexander George have written an immensely helpful practical guide to the case method. It offers sharp insight on scientific inference and very useful how-to guidance on doing case studies. Graduate students in social science: don't leave home without it! Stephen Van Evera, Professor of Political Science, Massachusetts Institute of Technology

The history of social science shows that well-designed case studies can be both a fertile source of new theories and a powerful tool for testing them. Case Studies and Theory Development in the Social Sciences raises our understanding of case study methodology to a new level of rigor and sophistication. George and Bennett provide a careful analysis of the virtues and pitfalls of comparative case study research and offer valuable advice for any scholar engaged in qualitative research. The more widely this book is read, the better future social science will be. Stephen M. Walt, Robert and Renée Belfer Professor of International Affairs, John F. Kennedy School of Government, Harvard University

This is an extraordinarily valuable book—a guide written with the practitioner in mind, very sophisticated in its approach to the subject, but loaded with practical advice. George and Bennett show how systematic, rigorous, and above all meaningful case study work is to be done. This is the sort of book scholars—and not just graduate students—will want to come back to over and over again. Marc Trachtenberg, Professor of Political Science, University of California, Los Angeles

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Conducting Case Study Research in Sociology

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Key Concepts
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Research, Samples, and Statistics
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Archaeology

A case study is a research method that relies on a single case rather than a population or sample. When researchers focus on a single case, they can make detailed observations over a long period of time, something that cannot be done with large samples without costing a lot of money. Case studies are also useful in the early stages of research when the goal is to explore ideas, test, and perfect measurement instruments, and to prepare for a larger study. The case study research method is popular not just within the field of sociology, but also within the fields of anthropology, psychology, education, political science, clinical science, social work, and administrative science.

Overview of the Case Study Research Method

A case study is unique within the social sciences for its focus of study on a single entity, which can be a person, group or organization, event, action, or situation. It is also unique in that, as a focus of research, a case is chosen for specific reasons, rather than randomly , as is usually done when conducting empirical research. Often, when researchers use the case study method, they focus on a case that is exceptional in some way because it is possible to learn a lot about social relationships and social forces when studying those things that deviate from norms. In doing so, a researcher is often able, through their study, to test the validity of the social theory, or to create new theories using the grounded theory method .

The first case studies in the social sciences were likely conducted by Pierre Guillaume Frédéric Le Play, a 19th-century French sociologist and economist who studied family budgets. The method has been used in sociology, psychology, and anthropology since the early 20th century.

Within sociology, case studies are typically conducted with qualitative research methods . They are considered micro rather than macro in nature , and one cannot necessarily generalize the findings of a case study to other situations. However, this is not a limitation of the method, but a strength. Through a case study based on ethnographic observation and interviews, among other methods, sociologists can illuminate otherwise hard to see and understand social relations, structures, and processes. In doing so, the findings of case studies often stimulate further research.

Types and Forms of Case Studies

There are three primary types of case studies: key cases, outlier cases, and local knowledge cases.

Key cases are those which are chosen because the researcher has a particular interest in it or the circumstances surrounding it.
Outlier cases are those that are chosen because the case stands out from other events, organizations, or situations, for some reason, and social scientists recognize that we can learn a lot from those things that differ from the norm .
Finally, a researcher may decide to conduct a local knowledge case study when they already have amassed a usable amount of information about a given topic, person, organization, or event, and so is well-poised to conduct a study of it.

Within these types, a case study may take four different forms: illustrative, exploratory, cumulative, and critical.

Illustrative case studies are descriptive in nature and designed to shed light on a particular situation, set of circumstances, and the social relations and processes that are embedded in them. They are useful in bringing to light something about which most people are not aware of.
Exploratory case studies are also often known as pilot studies . This type of case study is typically used when a researcher wants to identify research questions and methods of study for a large, complex study. They are useful for clarifying the research process, which can help a researcher make the best use of time and resources in the larger study that will follow it.
Cumulative case studies are those in which a researcher pulls together already completed case studies on a particular topic. They are useful in helping researchers to make generalizations from studies that have something in common.
Critical instance case studies are conducted when a researcher wants to understand what happened with a unique event and/or to challenge commonly held assumptions about it that may be faulty due to a lack of critical understanding.

Whatever type and form of case study you decide to conduct, it's important to first identify the purpose, goals, and approach for conducting methodologically sound research.

Definition of Idiographic and Nomothetic
Convenience Samples for Research
What Is a Snowball Sample in Sociology?
What Is Ethnography?
Understanding Cohorts and How to Use Them in Research
How to Understand Interpretive Sociology
Understanding Purposive Sampling
What Is a Quota Sample in Sociology?
Pilot Study in Research
Understanding Secondary Data and How to Use It in Research
All About Marxist Sociology
Definition of a Hypothesis
Defining Unobtrusive Measures in Sociology Experiments
Positivism in the Study of Sociology
Understanding Path Analysis

Organizing Your Social Sciences Research Assignments

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

Definition and Introduction

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

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

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

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

How to Approach Writing a Case Analysis Paper

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

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

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

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

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

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

Structure and Writing Style

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

Introduction

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

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

Background Analysis

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

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

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

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

Identification of Problems

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

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

Alternative Solutions

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

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

Recommended Courses of Action

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

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

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

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

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

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

Problems to Avoid

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

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

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

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

Writing Tip

Ca se Study and Case Analysis Are Not the Same!

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

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

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

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

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Case Study Research

First Online: 29 September 2022

Cite this chapter

Robert E. White ORCID: orcid.org/0000-0002-8045-164X 3 &
Karyn Cooper 4

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As a footnote to the previous chapter, there is such a beast known as the ethnographic case study. Ethnographic case study has found its way into this chapter rather than into the previous one because of grammatical considerations. Simply put, the “case study” part of the phrase is the noun (with “case” as an adjective defining what kind of study it is), while the “ethnographic” part of the phrase is an adjective defining the type of case study that is being conducted. As such, the case study becomes the methodology, while the ethnography part refers to a method, mode or approach relating to the development of the study.

The experiential account that we get from a case study or qualitative research of a similar vein is just so necessary. How things happen over time and the degree to which they are subject to personality and how they are only gradually perceived as tolerable or intolerable by the communities and the groups that are involved is so important. Robert Stake, University of Illinois, Urbana-Champaign

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A Case in Case Study Methodology

Christine Benedichte Meyer

Norwegian School of Economics and Business Administration

Meyer, C. B. (2001). A Case in Case Study Methodology. Field Methods 13 (4), 329-352.

The purpose of this article is to provide a comprehensive view of the case study process from the researcher’s perspective, emphasizing methodological considerations. As opposed to other qualitative or quantitative research strategies, such as grounded theory or surveys, there are virtually no specific requirements guiding case research. This is both the strength and the weakness of this approach. It is a strength because it allows tailoring the design and data collection procedures to the research questions. On the other hand, this approach has resulted in many poor case studies, leaving it open to criticism, especially from the quantitative field of research. This article argues that there is a particular need in case studies to be explicit about the methodological choices one makes. This implies discussing the wide range of decisions concerned with design requirements, data collection procedures, data analysis, and validity and reliability. The approach here is to illustrate these decisions through a particular case study of two mergers in the financial industry in Norway.

In the past few years, a number of books have been published that give useful guidance in conducting qualitative studies (Gummesson 1988; Cassell & Symon 1994; Miles & Huberman 1994; Creswell 1998; Flick 1998; Rossman & Rallis 1998; Bryman & Burgess 1999; Marshall & Rossman 1999; Denzin & Lincoln 2000). One approach often mentioned is the case study (Yin 1989). Case studies are widely used in organizational studies in the social science disciplines of sociology, industrial relations, and anthropology (Hartley 1994). Such a study consists of detailed investigation of one or more organizations, or groups within organizations, with a view to providing an analysis of the context and processes involved in the phenomenon under study.

As opposed to other qualitative or quantitative research strategies, such as grounded theory (Glaser and Strauss 1967) or surveys (Nachmias & Nachmias 1981), there are virtually no specific requirements guiding case research. Yin (1989) and Eisenhardt (1989) give useful insights into the case study as a research strategy, but leave most of the design decisions on the table. This is both the strength and the weakness of this approach. It is a strength because it allows tailoring the design and data collection procedures to the research questions. On the other hand, this approach has resulted in many poor case studies, leaving it open to criticism, especially from the quantitative field of research (Cook and Campbell 1979). The fact that the case study is a rather loose design implies that there are a number of choices that need to be addressed in a principled way.

Although case studies have become a common research strategy, the scope of methodology sections in articles published in journals is far too limited to give the readers a detailed and comprehensive view of the decisions taken in the particular studies, and, given the format of methodology sections, will remain so. The few books (Yin 1989, 1993; Hamel, Dufour, & Fortin 1993; Stake 1995) and book chapters on case studies (Hartley 1994; Silverman 2000) are, on the other hand, mainly normative and span a broad range of different kinds of case studies. One exception is Pettigrew (1990, 1992), who places the case study in the context of a research tradition (the Warwick process research).

Given the contextual nature of the case study and its strength in addressing contemporary phenomena in real-life contexts, I believe that there is a need for articles that provide a comprehensive overview of the case study process from the researcher’s perspective, emphasizing methodological considerations. This implies addressing the whole range of choices concerning specific design requirements, data collection procedures, data analysis, and validity and reliability.

WHY A CASE STUDY?

Case studies are tailor-made for exploring new processes or behaviors or ones that are little understood (Hartley 1994). Hence, the approach is particularly useful for responding to how and why questions about a contemporary set of events (Leonard-Barton 1990). Moreover, researchers have argued that certain kinds of information can be difficult or even impossible to tackle by means other than qualitative approaches such as the case study (Sykes 1990). Gummesson (1988:76) argues that an important advantage of case study research is the opportunity for a holistic view of the process: “The detailed observations entailed in the case study method enable us to study many different aspects, examine them in relation to each other, view the process within its total environment and also use the researchers’ capacity for ‘verstehen.’ ”

The contextual nature of the case study is illustrated in Yin’s (1993:59) definition of a case study as an empirical inquiry that “investigates a contemporary phenomenon within its real-life context and addresses a situation in which the boundaries between phenomenon and context are not clearly evident.”

The key difference between the case study and other qualitative designs such as grounded theory and ethnography (Glaser & Strauss 1967; Strauss & Corbin 1990; Gioia & Chittipeddi 1991) is that the case study is open to the use of theory or conceptual categories that guide the research and analysis of data. In contrast, grounded theory or ethnography presupposes that theoretical perspectives are grounded in and emerge from firsthand data. Hartley (1994) argues that without a theoretical framework, the researcher is in severe danger of providing description without meaning. Gummesson (1988) says that a lack of preunderstanding will cause the researcher to spend considerable time gathering basic information. This preunderstanding may arise from general knowledge such as theories, models, and concepts or from specific knowledge of institutional conditions and social patterns. According to Gummesson, the key is not to require researchers to have split but dual personalities: “Those who are able to balance on a razor’s edge using their pre-understanding without being its slave” (p. 58).

DESCRIPTION OF THE ILLUSTRATIVE STUDY

The study that will be used for illustrative purposes is a comparative and longitudinal case study of organizational integration in mergers and acquisitions taking place in Norway. The study had two purposes: (1) to identify contextual factors and features of integration that facilitated or impeded organizational integration, and (2) to study how the three dimensions of organizational integration (integration of tasks, unification of power, and integration of cultures and identities) interrelated and evolved over time. Examples of contextual factors were relative power, degree of friendliness, and economic climate. Integration features included factors such as participation, communication, and allocation of positions and functions.

Mergers and acquisitions are inherently complex. Researchers in the field have suggested that managers continuously underestimate the task of integrating the merging organizations in the postintegration process (Haspeslaph & Jemison 1991). The process of organizational integration can lead to sharp interorganizational conflict as the different top management styles, organizational and work unit cultures, systems, and other aspects of organizational life come into contact (Blake & Mounton 1985; Schweiger & Walsh 1990; Cartwright & Cooper 1993). Furthermore, cultural change in mergers and acquisitions is compounded by additional uncertainties, ambiguities, and stress inherent in the combination process (Buono & Bowditch 1989).

I focused on two combinations: one merger and one acquisition. The first case was a merger between two major Norwegian banks, Bergen Bank and DnC (to be named DnB), that started in the late 1980s. The second case was a study of a major acquisition in the insurance industry (i.e., Gjensidige’s acquisition of Forenede), that started in the early 1990s. Both combinations aimed to realize operational synergies though merging the two organizations into one entity. This implied disruption of organizational boundaries and threat to the existing power distribution and organizational cultures.

The study of integration processes in mergers and acquisitions illustrates the need to find a design that opens for exploration of sensitive issues such as power struggles between the two merging organizations. Furthermore, the inherent complexity in the integration process, involving integration of tasks, unification of power, and cultural integration stressed the need for in-depth study of the phenomenon over time. To understand the cultural integration process, the design also had to be linked to the past history of the two organizations.

DESIGN DECISIONS

In the introduction, I stressed that a case is a rather loose design that requires that a number of design choices be made. In this section, I go through the most important choices I faced in the study of organizational integration in mergers and acquisitions. These include: (1) selection of cases; (2) sampling time; (3) choosing business areas, divisions, and sites; and (4) selection of and choices regarding data collection procedures, interviews, documents, and observation.

Selection of Cases

There are several choices involved in selecting cases. First, there is the question of how many cases to include. Second, one must sample cases and decide on a unit of analysis. I will explore these issues subsequently.

Single or Multiple Cases

Case studies can involve single or multiple cases. The problem of single cases is limitations in generalizability and several information-processing biases (Eisenhardt 1989).

One way to respond to these biases is by applying a multi-case approach (Leonard-Barton 1990). Multiple cases augment external validity and help guard against observer biases. Moreover, multi-case sampling adds confidence to findings. By looking at a range of similar and contrasting cases, we can understand a single-case finding, grounding it by specifying how and where and, if possible, why it behaves as it does. (Miles & Huberman 1994)

Given these limitations of the single case study, it is desirable to include more than one case study in the study. However, the desire for depth and a pluralist perspective and tracking the cases over time implies that the number of cases must be fairly few. I chose two cases, which clearly does not support generalizability any more than does one case, but allows for comparison and contrast between the cases as well as a deeper and richer look at each case.

Originally, I planned to include a third case in the study. Due to changes in management during the initial integration process, my access to the case was limited and I left this case entirely. However, a positive side effect was that it allowed a deeper investigation of the two original cases and in hindsight turned out to be a good decision.

Sampling Cases

The logic of sampling cases is fundamentally different from statistical sampling. The logic in case studies involves theoretical sampling, in which the goal is to choose cases that are likely to replicate or extend the emergent theory or to fill theoretical categories and provide examples for polar types (Eisenhardt 1989). Hence, whereas quantitative sampling concerns itself with representativeness, qualitative sampling seeks information richness and selects the cases purposefully rather than randomly (Crabtree and Miller 1992).

The choice of cases was guided by George (1979) and Pettigrew’s (1990) recommendations. The aim was to find cases that matched the three dimensions in the dependent variable and provided variation in the contextual factors, thus representing polar cases.

To match the choice of outcome variable, organizational integration, I chose cases in which the purpose was to fully consolidate the merging parties’ operations. A full consolidation would imply considerable disruption in the organizational boundaries and would be expected to affect the task-related, political, and cultural features of the organizations. As for the contextual factors, the two cases varied in contextual factors such as relative power, friendliness, and economic climate. The DnB merger was a friendly combination between two equal partners in an unfriendly economic climate. Gjensidige’s acquisition of Forenede was, in contrast, an unfriendly and unbalanced acquisition in a friendly economic climate.

Unit of Analysis

Another way to respond to researchers’ and respondents’ biases is to have more than one unit of analysis in each case (Yin 1993). This implies that, in addition to developing contrasts between the cases, researchers can focus on contrasts within the cases (Hartley 1994). In case studies, there is a choice of a holistic or embedded design (Yin 1989). A holistic design examines the global nature of the phenomenon, whereas an embedded design also pays attention to subunit(s).

I used an embedded design to analyze the cases (i.e., within each case, I also gave attention to subunits and subprocesses). In both cases, I compared the combination processes in the various divisions and local networks. Moreover, I compared three distinct change processes in DnB: before the merger, during the initial combination, and two years after the merger. The overall and most important unit of analysis in the two cases was, however, the integration process.

Sampling Time

According to Pettigrew (1990), time sets a reference for what changes can be seen and how those changes are explained. When conducting a case study, there are several important issues to decide when sampling time. The first regards how many times data should be collected, while the second concerns when to enter the organizations. There is also a need to decide whether to collect data on a continuous basis or in distinct periods.

Number of data collections. I studied the process by collecting real time and retrospective data at two points in time, with one-and-a-half- and two-year intervals in the two cases. Collecting data twice had some interesting implications for the interpretations of the data. During the first data collection in the DnB study, for example, I collected retrospective data about the premerger and initial combination phase and real-time data about the second step in the combination process.

Although I gained a picture of how the employees experienced the second stage of the combination process, it was too early to assess the effects of this process at that stage. I entered the organization two years later and found interesting effects that I had not anticipated the first time. Moreover, it was interesting to observe how people’s attitudes toward the merger processes changed over time to be more positive and less emotional.

When to enter the organizations. It would be desirable to have had the opportunity to collect data in the precombination processes. However, researchers are rarely given access in this period due to secrecy. The emphasis in this study was to focus on the postcombination process. As such, the precombination events were classified as contextual factors. This implied that it was most important to collect real-time data after the parties had been given government approval to merge or acquire. What would have been desirable was to gain access earlier in the postcombination process. This was not possible because access had to be negotiated. Due to the change of CEO in the middle of the merger process and the need for renegotiating access, this took longer than expected.

Regarding the second case, I was restricted by the time frame of the study. In essence, I had to choose between entering the combination process as soon as governmental approval was given, or entering the organization at a later stage. In light of the previous studies in the field that have failed to go beyond the initial two years, and given the need to collect data about the cultural integration process, I chose the latter strategy. And I decided to enter the organizations at two distinct periods of time rather than on a continuous basis.

There were several reasons for this approach, some methodological and some practical. First, data collection on a continuous basis would have required use of extensive observation that I didn’t have access to, and getting access to two data collections in DnB was difficult in itself. Second, I had a stay abroad between the first and second data collection in Gjensidige. Collecting data on a continuous basis would probably have allowed for better mapping of the ongoing integration process, but the contrasts between the two different stages in the integration process that I wanted to elaborate would probably be more difficult to detect. In Table 1 I have listed the periods of time in which I collected data in the two combinations.

Sampling Business Areas, Divisions, and Sites

Even when the cases for a study have been chosen, it is often necessary to make further choices within each case to make the cases researchable. The most important criteria that set the boundaries for the study are importance or criticality, relevance, and representativeness. At the time of the data collection, my criteria for making these decisions were not as conscious as they may appear here. Rather, being restricted by time and my own capacity as a researcher, I had to limit the sites and act instinctively. In both cases, I decided to concentrate on the core businesses (criticality criterion) and left out the business units that were only mildly affected by the integration process (relevance criterion). In the choice of regional offices, I used the representativeness criterion as the number of offices widely exceeded the number of sites possible to study. In making these choices, I relied on key informants in the organizations.

SELECTION OF DATA COLLECTION PROCEDURES

The choice of data collection procedures should be guided by the research question and the choice of design. The case study approach typically combines data collection methods such as archives, interviews, questionnaires, and observations (Yin 1989). This triangulated methodology provides stronger substantiation of constructs and hypotheses. However, the choice of data collection methods is also subject to constraints in time, financial resources, and access.

I chose a combination of interviews, archives, and observation, with main emphasis on the first two. Conducting a survey was inappropriate due to the lack of established concepts and indicators. The reason for limited observation, on the other hand, was due to problems in obtaining access early in the study and time and resource constraints. In addition to choosing among several different data collection methods, there are a number of choices to be made for each individual method.

When relying on interviews as the primary data collection method, the issue of building trust between the researcher and the interviewees becomes very important. I addressed this issue by several means. First, I established a procedure of how to approach the interviewees. In most cases, I called them first, then sent out a letter explaining the key features of the project and outlining the broad issues to be addressed in the interview. In this letter, the support from the institution’s top management was also communicated. In most cases, the top management’s support of the project was an important prerequisite for the respondent’s input. Some interviewees did, however, fear that their input would be open to the top management without disguising the information source. Hence, it became important to communicate how I intended to use and store the information.

To establish trust, I also actively used my preunderstanding of the context in the first case and the phenomenon in the second case. As I built up an understanding of the cases, I used this information to gain confidence. The active use of my preunderstanding did, however, pose important challenges in not revealing too much of the research hypotheses and in balancing between asking open-ended questions and appearing knowledgeable.

There are two choices involved in conducting interviews. The first concerns the sampling of interviewees. The second is that you must decide on issues such as the structure of the interviews, use of tape recorder, and involvement of other researchers.

Sampling Interviewees

Following the desire for detailed knowledge of each case and for grasping different participant’s views the aim was, in line with Pettigrew (1990), to apply a pluralist view by describing and analyzing competing versions of reality as seen by actors in the combination processes.

I used four criteria for sampling informants. First, I drew informants from populations representing multiple perspectives. The first data collection in DnB was primarily focused on the top management level. Moreover, most middle managers in the first data collection were employed at the head offices, either in Bergen or Oslo. In the second data collection, I compensated for this skew by including eight local middle managers in the sample. The difference between the number of employees interviewed in DnB and Gjensidige was primarily due to the fact that Gjensidige has three unions, whereas DnB only has one. The distribution of interviewees is outlined in Table 2 .

The second criterion was to use multiple informants. According to Glick et al. (1990), an important advantage of using multiple informants is that the validity of information provided by one informant can be checked against that provided by other informants. Moreover, the validity of the data used by the researcher can be enhanced by resolving the discrepancies among different informants’ reports. Hence, I selected multiple respondents from each perspective.

Third, I focused on key informants who were expected to be knowledgeable about the combination process. These people included top management members, managers, and employees involved in the integration project. To validate the information from these informants, I also used a fourth criterion by selecting managers and employees who had been affected by the process but who were not involved in the project groups.

Structured versus unstructured. In line with the explorative nature of the study, the goal of the interviews was to see the research topic from the perspective of the interviewee, and to understand why he or she came to have this particular perspective. To meet this goal, King (1994:15) recommends that one have “a low degree of structure imposed on the interviewer, a preponderance of open questions, a focus on specific situations and action sequences in the world of the interviewee rather than abstractions and general opinions.” In line with these recommendations, the collection of primary data in this study consists of unstructured interviews.

Using tape recorders and involving other researchers. The majority of the interviews were tape-recorded, and I could thus concentrate fully on asking questions and responding to the interviewees’ answers. In the few interviews that were not tape-recorded, most of which were conducted in the first phase of the DnB-study, two researchers were present. This was useful as we were both able to discuss the interviews later and had feedback on the role of an interviewer.

In hindsight, however, I wish that these interviews had been tape-recorded to maintain the level of accuracy and richness of data. Hence, in the next phases of data collection, I tape-recorded all interviews, with two exceptions (people who strongly opposed the use of this device). All interviews that were tape-recorded were transcribed by me in full, which gave me closeness and a good grasp of the data.

When organizations merge or make acquisitions, there are often a vast number of documents to choose from to build up an understanding of what has happened and to use in the analyses. Furthermore, when firms make acquisitions or merge, they often hire external consultants, each of whom produces more documents. Due to time constraints, it is seldom possible to collect and analyze all these documents, and thus the researcher has to make a selection.

The choice of documentation was guided by my previous experience with merger and acquisition processes and the research question. Hence, obtaining information on the postintegration process was more important than gaining access to the due-diligence analysis. As I learned about the process, I obtained more documents on specific issues. I did not, however, gain access to all the documents I asked for, and, in some cases, documents had been lost or shredded.

The documents were helpful in a number of ways. First, and most important, they were used as inputs to the interview guide and saved me time, because I did not have to ask for facts in the interviews. They were also useful for tracing the history of the organizations and statements made by key people in the organizations. Third, the documents were helpful in counteracting the biases of the interviews. A list of the documents used in writing the cases is shown in Table 3 .

Observation

The major strength of direct observation is that it is unobtrusive and does not require direct interaction with participants (Adler and Adler 1994). Observation produces rigor when it is combined with other methods. When the researcher has access to group processes, direct observation can illuminate the discrepancies between what people said in the interviews and casual conversations and what they actually do (Pettigrew 1990).

As with interviews, there are a number of choices involved in conducting observations. Although I did some observations in the study, I used interviews as the key data collection source. Discussion in this article about observations will thus be somewhat limited. Nevertheless, I faced a number of choices in conducting observations, including type of observation, when to enter, how much observation to conduct, and which groups to observe.

The are four ways in which an observer may gather data: (1) the complete participant who operates covertly, concealing any intention to observe the setting; (2) the participant-as-observer, who forms relationships and participates in activities, but makes no secret of his or her intentions to observe events; (3) the observer-as-participant, who maintains only superficial contact with the people being studied; and (4) the complete observer, who merely stands back and eavesdrops on the proceedings (Waddington 1994).

In this study, I used the second and third ways of observing. The use of the participant-as-observer mode, on which much ethnographic research is based, was rather limited in the study. There were two reasons for this. First, I had limited time available for collecting data, and in my view interviews made more effective use of this limited time than extensive participant observation. Second, people were rather reluctant to let me observe these political and sensitive processes until they knew me better and felt I could be trusted. Indeed, I was dependent on starting the data collection before having built sufficient trust to observe key groups in the integration process. Nevertheless, Gjensidige allowed me to study two employee seminars to acquaint me with the organization. Here I admitted my role as an observer but participated fully in the activities. To achieve variation, I chose two seminars representing polar groups of employees.

As observer-as-participant, I attended a top management meeting at the end of the first data collection in Gjensidige and observed the respondents during interviews and in more informal meetings, such as lunches. All these observations gave me an opportunity to validate the data from the interviews. Observing the top management group was by far the most interesting and rewarding in terms of input.

Both DnB and Gjensidige started to open up for more extensive observation when I was about to finish the data collection. By then, I had built up the trust needed to undertake this approach. Unfortunately, this came a little late for me to take advantage of it.

DATA ANALYSIS

Published studies generally describe research sites and data-collection methods, but give little space to discuss the analysis (Eisenhardt 1989). Thus, one cannot follow how a researcher arrives at the final conclusions from a large volume of field notes (Miles and Huberman 1994).

In this study, I went through the stages by which the data were reduced and analyzed. This involved establishing the chronology, coding, writing up the data according to phases and themes, introducing organizational integration into the analysis, comparing the cases, and applying the theory. I will discuss these phases accordingly.

The first step in the analysis was to establish the chronology of the cases. To do this, I used internal and external documents. I wrote the chronologies up and included appendices in the final report.

The next step was to code the data into phases and themes reflecting the contextual factors and features of integration. For the interviews, this implied marking the text with a specific phase and a theme, and grouping the paragraphs on the same theme and phase together. I followed the same procedure in organizing the documents.

I then wrote up the cases using phases and themes to structure them. Before starting to write up the cases, I scanned the information on each theme, built up the facts and filled in with perceptions and reactions that were illustrative and representative of the data.

The documents were primarily useful in establishing the facts, but they also provided me with some perceptions and reactions that were validated in the interviews. The documents used included internal letters and newsletters as well as articles from the press. The interviews were less factual, as intended, and gave me input to assess perceptions and reactions. The limited observation was useful to validate the data from the interviews. The result of this step was two descriptive cases.

To make each case more analytical, I introduced the three dimensions of organizational integration—integration of tasks, unification of power, and cultural integration—into the analysis. This helped to focus the case and to develop a framework that could be used to compare the cases. The cases were thus structured according to phases, organizational integration, and themes reflecting the factors and features in the study.

I took all these steps to become more familiar with each case as an individual entity. According to Eisenhardt (1989:540), this is a process that “allows the unique patterns of each case to emerge before the investigators push to generalise patterns across cases. In addition it gives investigators a rich familiarity with each case which, in turn, accelerates cross-case comparison.”

The comparison between the cases constituted the next step in the analysis. Here, I used the categories from the case chapters, filled in the features and factors, and compared and contrasted the findings. The idea behind cross-case searching tactics is to force investigators to go beyond initial impressions, especially through the use of structural and diverse lenses on the data. These tactics improve the likelihood of accurate and reliable theory, that is, theory with a close fit to the data (Eisenhardt 1989).

As a result, I had a number of overall themes, concepts, and relationships that had emerged from the within-case analysis and cross-case comparisons. The next step was to compare these emergent findings with theory from the organizational field of mergers and acquisitions, as well as other relevant perspectives.

This method of generalization is known as analytical generalization. In this approach, a previously developed theory is used as a template with which to compare the empirical results of the case study (Yin 1989). This comparison of emergent concepts, theory, or hypotheses with the extant literature involves asking what it is similar to, what it contradicts, and why. The key to this process is to consider a broad range of theory (Eisenhardt 1989). On the whole, linking emergent theory to existent literature enhances the internal validity, generalizability, and theoretical level of theory-building from case research.

According to Eisenhardt (1989), examining literature that conflicts with the emergent literature is important for two reasons. First, the chance of neglecting conflicting findings is reduced. Second, “conflicting results forces researchers into a more creative, frame-breaking mode of thinking than they might otherwise be able to achieve” (p. 544). Similarly, Eisenhardt (1989) claims that literature discussing similar findings is important because it ties together underlying similarities in phenomena not normally associated with each other. The result is often a theory with a stronger internal validity, wider generalizability, and a higher conceptual level.

The analytical generalization in the study included exploring and developing the concepts and examining the relationships between the constructs. In carrying out this analytical generalization, I acted on Eisenhardt’s (1989) recommendation to use a broad range of theory. First, I compared and contrasted the findings with the organizational stream on mergers and acquisition literature. Then I discussed other relevant literatures, including strategic change, power and politics, social justice, and social identity theory to explore how these perspectives could contribute to the understanding of the findings. Finally, I discussed the findings that could not be explained either by the merger and acquisition literature or the four theoretical perspectives.

In every scientific study, questions are raised about whether the study is valid and reliable. The issues of validity and reliability in case studies are just as important as for more deductive designs, but the application is fundamentally different.

VALIDITY AND RELIABILITY

The problems of validity in qualitative studies are related to the fact that most qualitative researchers work alone in the field, they focus on the findings rather than describe how the results were reached, and they are limited in processing information (Miles and Huberman 1994).

Researchers writing about qualitative methods have questioned whether the same criteria can be used for qualitative and quantitative studies (Kirk & Miller 1986; Sykes 1990; Maxwell 1992). The problem with the validity criteria suggested in qualitative research is that there is little consistency across the articles as each author suggests a new set of criteria.

One approach in examining validity and reliability is to apply the criteria used in quantitative research. Hence, the criteria to be examined here are objectivity/intersubjectivity, construct validity, internal validity, external validity, and reliability.

Objectivity/Intersubjectivity

The basic issue of objectivity can be framed as one of relative neutrality and reasonable freedom from unacknowledged research biases (Miles & Huberman 1994). In a real-time longitudinal study, the researcher is in danger of losing objectivity and of becoming too involved with the organization, the people, and the process. Hence, Leonard-Barton (1990) claims that one may be perceived as, and may even become, an advocate rather than an observer.

According to King (1994), however, qualitative research, in seeking to describe and make sense of the world, does not require researchers to strive for objectivity and distance themselves from research participants. Indeed, to do so would make good qualitative research impossible, as the interviewer’s sensitivity to subjective aspects of his or her relationship with the interviewee is an essential part of the research process (King 1994:31).

This does not imply, however, that the issue of possible research bias can be ignored. It is just as important as in a structured quantitative interview that the findings are not simply the product of the researcher’s prejudices and prior experience. One way to guard against this bias is for the researcher to explicitly recognize his or her presuppositions and to make a conscious effort to set these aside in the analysis (Gummesson 1988). Furthermore, rival conclusions should be considered (Miles & Huberman 1994).

My experience from the first phase of the DnB study was that it was difficult to focus the questions and the analysis of the data when the research questions were too vague and broad. As such, developing a framework before collecting the data for the study was useful in guiding the collection and analysis of data. Nevertheless, it was important to be open-minded and receptive to new and surprising data. In the DnB study, for example, the positive effect of the reorganization process on the integration of cultures came as a complete surprise to me and thus needed further elaboration.

I also consciously searched for negative evidence and problems by interviewing outliers (Miles & Huberman 1994) and asking problem-oriented questions. In Gjensidige, the first interviews with the top management revealed a much more positive perception of the cultural integration process than I had expected. To explore whether this was a result of overreliance on elite informants, I continued posing problem-oriented questions to outliers and people at lower levels in the organization. Moreover, I told them about the DnB study to be explicit about my presuppositions.

Another important issue when assessing objectivity is whether other researchers can trace the interpretations made in the case studies, or what is called intersubjectivity. To deal with this issue, Miles & Huberman (1994) suggest that: (1) the study’s general methods and procedures should be described in detail, (2) one should be able to follow the process of analysis, (3) conclusions should be explicitly linked with exhibits of displayed data, and (4) the data from the study should be made available for reanalysis by others.

In response to these requirements, I described the study’s data collection procedures and processing in detail. Then, the primary data were displayed in the written report in the form of quotations and extracts from documents to support and illustrate the interpretations of the data. Because the study was written up in English, I included the Norwegian text in a separate appendix. Finally, all the primary data from the study were accessible for a small group of distinguished researchers.

Construct Validity

Construct validity refers to whether there is substantial evidence that the theoretical paradigm correctly corresponds to observation (Kirk & Miller 1986). In this form of validity, the issue is the legitimacy of the application of a given concept or theory to established facts.

The strength of qualitative research lies in the flexible and responsive interaction between the interviewer and the respondents (Sykes 1990). Thus, meaning can be probed, topics covered easily from a number of angles, and questions made clear for respondents. This is an advantage for exploring the concepts (construct or theoretical validity) and the relationships between them (internal validity). Similarly, Hakim (1987) says the great strength of qualitative research is the validity of data obtained because individuals are interviewed in sufficient detail for the results to be taken as true, correct, and believable reports of their views and experiences.

Construct validity can be strengthened by applying a longitudinal multicase approach, triangulation, and use of feedback loops. The advantage of applying a longitudinal approach is that one gets the opportunity to test sensitivity of construct measures to the passage of time. Leonard-Barton (1990), for example, found that one of her main constructs, communicability, varied across time and relative to different groups of users. Thus, the longitudinal study aided in defining the construct more precisely. By using more than one case study, one can validate stability of construct across situations (Leonard-Barton 1990). Since my study only consists of two case studies, the opportunity to test stability of constructs across cases is somewhat limited. However, the use of more than one unit of analysis helps to overcome this limitation.

Construct validity is strengthened by the use of multiple sources of evidence to build construct measures, which define the construct and distinguish it from other constructs. These multiple sources of evidence can include multiple viewpoints within and across the data sources. My study responds to these requirements in its sampling of interviewees and uses of multiple data sources.

Use of feedback loops implies returning to interviewees with interpretations and developing theory and actively seeking contradictions in data (Crabtree & Miller 1992; King 1994). In DnB, the written report had to be approved by the bank’s top management after the first data collection. Apart from one minor correction, the bank had no objections to the established facts. In their comments on my analysis, some of the top managers expressed the view that the political process had been overemphasized, and that the CEO’s role in initiating a strategic process was undervalued. Hence, an important objective in the second data collection was to explore these comments further. Moreover, the report was not as positive as the management had hoped for, and negotiations had to be conducted to publish the report. The result of these negotiations was that publication of the report was postponed one-and-a-half years.

The experiences from the first data collection in the DnB had some consequences. I was more cautious and brought up the problems of confidentiality and the need to publish at the outset of the Gjensidige study. Also, I had to struggle to get access to the DnB case for the second data collection and some of the information I asked for was not released. At Gjensidige, I sent a preliminary draft of the case chapter to the corporation’s top management for comments, in addition to having second interviews with a small number of people. Beside testing out the factual description, these sessions gave me the opportunity to test out the theoretical categories established as a result of the within-case analysis.

Internal Validity

Internal validity concerns the validity of the postulated relationships among the concepts. The main problem of internal validity as a criterion in qualitative research is that it is often not open to scrutiny. According to Sykes (1990), the researcher can always provide a plausible account and, with careful editing, may ensure its coherence. Recognition of this problem has led to calls for better documentation of the processes of data collection, the data itself, and the interpretative contribution of the researcher. The discussion of how I met these requirements was outlined in the section on objectivity/subjectivity above.

However, there are some advantages in using qualitative methods, too. First, the flexible and responsive methods of data collection allow cross-checking and amplification of information from individual units as it is generated. Respondents’ opinions and understandings can be thoroughly explored. The internal validity results from strategies that eliminate ambiguity and contradiction, filling in detail and establishing strong connections in data.

Second, the longitudinal study enables one to track cause and effect. Moreover, it can make one aware of intervening variables (Leonard-Barton 1990). Eisenhardt (1989:542) states, “Just as hypothesis testing research an apparent relationship may simply be a spurious correlation or may reflect the impact of some third variable on each of the other two. Therefore, it is important to discover the underlying reasons for why the relationship exists.”

Generalizability

According to Mitchell (1983), case studies are not based on statistical inference. Quite the contrary, the inferring process turns exclusively on the theoretically necessary links among the features in the case study. The validity of the extrapolation depends not on the typicality or representativeness of the case but on the cogency of the theoretical reasoning. Hartley (1994:225) claims, “The detailed knowledge of the organization and especially the knowledge about the processes underlying the behaviour and its context can help to specify the conditions under which behaviour can be expected to occur. In other words, the generalisation is about theoretical propositions not about populations.”

Generalizability is normally based on the assumption that this theory may be useful in making sense of similar persons or situations (Maxwell 1992). One way to increase the generalizability is to apply a multicase approach (Leonard-Barton 1990). The advantage of this approach is that one can replicate the findings from one case study to another. This replication logic is similar to that used on multiple experiments (Yin 1993).

Given the choice of two case studies, the generalizability criterion is not supported in this study. Through the discussion of my choices, I have tried to show that I had to strike a balance between the need for depth and mapping changes over time and the number of cases. In doing so, I deliberately chose to provide a deeper and richer look at each case, allowing the reader to make judgments about the applicability rather than making a case for generalizability.

Reliability

Reliability focuses on whether the process of the study is consistent and reasonably stable over time and across researchers and methods (Miles & Huberman 1994). In the context of qualitative research, reliability is concerned with two questions (Sykes 1990): Could the same study carried out by two researchers produce the same findings? and Could a study be repeated using the same researcher and respondents to yield the same findings?

The problem of reliability in qualitative research is that differences between replicated studies using different researchers are to be expected. However, while it may not be surprising that different researchers generate different findings and reach different conclusions, controlling for reliability may still be relevant. Kirk and Miller’s (1986:311) definition takes into account the particular relationship between the researcher’s orientation, the generation of data, and its interpretation:

For reliability to be calculated, it is incumbent on the scientific investigator to document his or her procedure. This must be accomplished at such a level of abstraction that the loci of decisions internal to the project are made apparent. The curious public deserves to know how the qualitative researcher prepares him or herself for the endeavour, and how the data is collected and analysed.

The study addresses these requirements by discussing my point of departure regarding experience and framework, the sampling and data collection procedures, and data analysis.

Case studies often lack academic rigor and are, as such, regarded as inferior to more rigorous methods where there are more specific guidelines for collecting and analyzing data. These criticisms stress that there is a need to be very explicit about the choices one makes and the need to justify them.

One reason why case studies are criticized may be that researchers disagree about the definition and the purpose of carrying out case studies. Case studies have been regarded as a design (Cook and Campbell 1979), as a qualitative methodology (Cassell and Symon 1994), as a particular data collection procedure (Andersen 1997), and as a research strategy (Yin 1989). Furthermore, the purpose for carrying out case studies is unclear. Some regard case studies as supplements to more rigorous qualitative studies to be carried out in the early stage of the research process; others claim that it can be used for multiple purposes and as a research strategy in its own right (Gummesson 1988; Yin 1989). Given this unclear status, researchers need to be very clear about their interpretation of the case study and the purpose of carrying out the study.

This article has taken Yin’s (1989) definition of the case study as a research strategy as a starting point and argued that the choice of the case study should be guided by the research question(s). In the illustrative study, I used a case study strategy because of a need to explore sensitive, ill-defined concepts in depth, over time, taking into account the context and history of the mergers and the existing knowledge about the phenomenon. However, the choice of a case study strategy extended rather than limited the number of decisions to be made. In Schramm’s (1971, cited in Yin 1989:22–23) words, “The essence of a case study, the central tendency among all types of case study, is that it tries to illuminate a decision or set of decisions, why they were taken, how they were implemented, and with what result.”

Hence, the purpose of this article has been to illustrate the wide range of decisions that need to be made in the context of a particular case study and to discuss the methodological considerations linked to these decisions. I argue that there is a particular need in case studies to be explicit about the methodological choices one makes and that these choices can be best illustrated through a case study of the case study strategy.

As in all case studies, however, there are limitations to the generalizability of using one particular case study for illustrative purposes. As such, the strength of linking the methodological considerations to a specific context and phenomenon also becomes a weakness. However, I would argue that the questions raised in this article are applicable to many case studies, but that the answers are very likely to vary. The design choices are shown in Table 4 . Hence, researchers choosing a longitudinal, comparative case study need to address the same set of questions with regard to design, data collection procedures, and analysis, but they are likely to come up with other conclusions, given their different research questions.

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___. 1993. Applications of case study research. Applied Social Research Series, Vol. 34. London: Sage.

Christine Benedichte Meyer is an associate professor in the Department of Strategy and Management in the Norwegian School of Economics and Business Administration, Bergen-Sandviken, Norway. Her research interests are mergers and acquisitions, strategic change, and qualitative research. Recent publications include: “Allocation Processes in Mergers and Acquisitions: An Organisational Justice Perspective” (British Journal of Management 2001) and “Motives for Acquisitions in the Norwegian Financial Industry” (CEMS Business Review 1997).

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Organizing Your Social Sciences Research Paper: Writing a Case Study

Purpose of Guide
Design Flaws to Avoid
Independent and Dependent Variables
Glossary of Research Terms
Narrowing a Topic Idea
Broadening a Topic Idea
Extending the Timeliness of a Topic Idea
Academic Writing Style
Choosing a Title
Making an Outline
Paragraph Development
Executive Summary
The C.A.R.S. Model
Background Information
The Research Problem/Question
Theoretical Framework
Citation Tracking
Content Alert Services
Evaluating Sources
Reading Research Effectively
Primary Sources
Secondary Sources
Tiertiary Sources
What Is Scholarly vs. Popular?
Qualitative Methods
Quantitative Methods
Using Non-Textual Elements
Limitations of the Study
Common Grammar Mistakes
Writing Concisely
Avoiding Plagiarism
Footnotes or Endnotes?
Further Readings
Annotated Bibliography
Dealing with Nervousness
Using Visual Aids
Grading Someone Else's Paper
Types of Structured Group Activities
Group Project Survival Skills
Multiple Book Review Essay
Reviewing Collected Essays
Writing a Case Study
About Informed Consent
Writing Field Notes
Writing a Policy Memo
Writing a Research Proposal
Bibliography

The term case study refers to both a method of analysis and a specific research design for examining a problem, both of which are used in most circumstances to generalize across populations. This tab focuses on the latter--how to design and organize a research paper in the social sciences that analyzes a specific case.

A case study research paper examines a person, place, event, phenomenon, or other type of subject of analysis in order to extrapolate key themes and results that help predict future trends, illuminate previously hidden issues that can be applied to practice, and/or provide a means for understanding an important research problem with greater clarity. A case study paper usually examines a single subject of analysis, but case study papers can also be designed as a comparative investigation that shows relationships between two or among more than two subjects. The methods used to study a case can rest within a quantitative, qualitative, or mixed-method investigative paradigm.

Case Studies . Writing@CSU. Colorado State University; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010 ; “What is a Case Study?” In Swanborn, Peter G. Case Study Research: What, Why and How? London: SAGE, 2010.

How to Approach Writing a Case Study Research Paper

General information about how to choose a topic to investigate can be found under the " Choosing a Research Problem " tab in this writing guide. Review this page because it may help you identify a subject of analysis that can be investigated using a single case study design.

However, identifying a case to investigate involves more than choosing the research problem . A case study encompasses a problem contextualized around the application of in-depth analysis, interpretation, and discussion, often resulting in specific recommendations for action or for improving existing conditions. As Seawright and Gerring note, practical considerations such as time and access to information can influence case selection, but these issues should not be the sole factors used in describing the methodological justification for identifying a particular case to study. Given this, selecting a case includes considering the following:

Does the case represent an unusual or atypical example of a research problem that requires more in-depth analysis? Cases often represent a topic that rests on the fringes of prior investigations because the case may provide new ways of understanding the research problem. For example, if the research problem is to identify strategies to improve policies that support girl's access to secondary education in predominantly Muslim nations, you could consider using Azerbaijan as a case study rather than selecting a more obvious nation in the Middle East. Doing so may reveal important new insights into recommending how governments in other predominantly Muslim nations can formulate policies that support improved access to education for girls.
Does the case provide important insight or illuminate a previously hidden problem? In-depth analysis of a case can be based on the hypothesis that the case study will reveal trends or issues that have not been exposed in prior research or will reveal new and important implications for practice. For example, anecdotal evidence may suggest drug use among homeless veterans is related to their patterns of travel throughout the day. Assuming prior studies have not looked at individual travel choices as a way to study access to illicit drug use, a case study that observes a homeless veteran could reveal how issues of personal mobility choices facilitate regular access to illicit drugs. Note that it is important to conduct a thorough literature review to ensure that your assumption about the need to reveal new insights or previously hidden problems is valid and evidence-based.
Does the case challenge and offer a counter-point to prevailing assumptions? Over time, research on any given topic can fall into a trap of developing assumptions based on outdated studies that are still applied to new or changing conditions or the idea that something should simply be accepted as "common sense," even though the issue has not been thoroughly tested in practice. A case may offer you an opportunity to gather evidence that challenges prevailing assumptions about a research problem and provide a new set of recommendations applied to practice that have not been tested previously. For example, perhaps there has been a long practice among scholars to apply a particular theory in explaining the relationship between two subjects of analysis. Your case could challenge this assumption by applying an innovative theoretical framework [perhaps borrowed from another discipline] to the study a case in order to explore whether this approach offers new ways of understanding the research problem. Taking a contrarian stance is one of the most important ways that new knowledge and understanding develops from existing literature.
Does the case provide an opportunity to pursue action leading to the resolution of a problem? Another way to think about choosing a case to study is to consider how the results from investigating a particular case may result in findings that reveal ways in which to resolve an existing or emerging problem. For example, studying the case of an unforeseen incident, such as a fatal accident at a railroad crossing, can reveal hidden issues that could be applied to preventative measures that contribute to reducing the chance of accidents in the future. In this example, a case study investigating the accident could lead to a better understanding of where to strategically locate additional signals at other railroad crossings in order to better warn drivers of an approaching train, particularly when visibility is hindered by heavy rain, fog, or at night.
Does the case offer a new direction in future research? A case study can be used as a tool for exploratory research that points to a need for further examination of the research problem. A case can be used when there are few studies that help predict an outcome or that establish a clear understanding about how best to proceed in addressing a problem. For example, after conducting a thorough literature review [very important!], you discover that little research exists showing the ways in which women contribute to promoting water conservation in rural communities of Uganda. A case study of how women contribute to saving water in a particular village can lay the foundation for understanding the need for more thorough research that documents how women in their roles as cooks and family caregivers think about water as a valuable resource within their community throughout rural regions of east Africa. The case could also point to the need for scholars to apply feminist theories of work and family to the issue of water conservation.

Eisenhardt, Kathleen M. “Building Theories from Case Study Research.” Academy of Management Review 14 (October 1989): 532-550; Emmel, Nick. Sampling and Choosing Cases in Qualitative Research: A Realist Approach . Thousand Oaks, CA: SAGE Publications, 2013; Gerring, John. “What Is a Case Study and What Is It Good for?” American Political Science Review 98 (May 2004): 341-354; Mills, Albert J. , Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Seawright, Jason and John Gerring. "Case Selection Techniques in Case Study Research." Political Research Quarterly 61 (June 2008): 294-308.

Structure and Writing Style

The purpose of a paper in the social sciences designed around a case study is to thoroughly investigate a subject of analysis in order to reveal a new understanding about the research problem and, in so doing, contributing new knowledge to what is already known from previous studies. In applied social sciences disciplines [e.g., education, social work, public administration, etc.], case studies may also be used to reveal best practices, highlight key programs, or investigate interesting aspects of professional work. In general, the structure of a case study research paper is not all that different from a standard college-level research paper. However, there are subtle differences you should be aware of. Here are the key elements to organizing and writing a case study research paper.

I. Introduction

As with any research paper, your introduction should serve as a roadmap for your readers to ascertain the scope and purpose of your study . The introduction to a case study research paper, however, should not only describe the research problem and its significance, but you should also succinctly describe why the case is being used and how it relates to addressing the problem. The two elements should be linked. With this in mind, a good introduction answers these four questions:

What was I studying? Describe the research problem and describe the subject of analysis you have chosen to address the problem. Explain how they are linked and what elements of the case will help to expand knowledge and understanding about the problem.
Why was this topic important to investigate? Describe the significance of the research problem and state why a case study design and the subject of analysis that the paper is designed around is appropriate in addressing the problem.
What did we know about this topic before I did this study? Provide background that helps lead the reader into the more in-depth literature review to follow. If applicable, summarize prior case study research applied to the research problem and why it fails to adequately address the research problem. Describe why your case will be useful. If no prior case studies have been used to address the research problem, explain why you have selected this subject of analysis.
How will this study advance new knowledge or new ways of understanding? Explain why your case study will be suitable in helping to expand knowledge and understanding about the research problem.

Each of these questions should be addressed in no more than a few paragraphs. Exceptions to this can be when you are addressing a complex research problem or subject of analysis that requires more in-depth background information.

II. Literature Review

The literature review for a case study research paper is generally structured the same as it is for any college-level research paper. The difference, however, is that the literature review is focused on providing background information and enabling historical interpretation of the subject of analysis in relation to the research problem the case is intended to address . This includes synthesizing studies that help to:

Place relevant works in the context of their contribution to understanding the case study being investigated . This would include summarizing studies that have used a similar subject of analysis to investigate the research problem. If there is literature using the same or a very similar case to study, you need to explain why duplicating past research is important [e.g., conditions have changed; prior studies were conducted long ago, etc.].
Describe the relationship each work has to the others under consideration that informs the reader why this case is applicable . Your literature review should include a description of any works that support using the case to study the research problem and the underlying research questions.
Identify new ways to interpret prior research using the case study . If applicable, review any research that has examined the research problem using a different research design. Explain how your case study design may reveal new knowledge or a new perspective or that can redirect research in an important new direction.
Resolve conflicts amongst seemingly contradictory previous studies . This refers to synthesizing any literature that points to unresolved issues of concern about the research problem and describing how the subject of analysis that forms the case study can help resolve these existing contradictions.
Point the way in fulfilling a need for additional research . Your review should examine any literature that lays a foundation for understanding why your case study design and the subject of analysis around which you have designed your study may reveal a new way of approaching the research problem or offer a perspective that points to the need for additional research.
Expose any gaps that exist in the literature that the case study could help to fill . Summarize any literature that not only shows how your subject of analysis contributes to understanding the research problem, but how your case contributes to a new way of understanding the problem that prior research has failed to do.
Locate your own research within the context of existing literature [very important!] . Collectively, your literature review should always place your case study within the larger domain of prior research about the problem. The overarching purpose of reviewing pertinent literature in a case study paper is to demonstrate that you have thoroughly identified and synthesized prior studies in the context of explaining the relevance of the case in addressing the research problem.

III. Method

In this section, you explain why you selected a particular subject of analysis to study and the strategy you used to identify and ultimately decide that your case was appropriate in addressing the research problem. The way you describe the methods used varies depending on the type of subject of analysis that frames your case study.

If your subject of analysis is an incident or event . In the social and behavioral sciences, the event or incident that represents the case to be studied is usually bounded by time and place, with a clear beginning and end and with an identifiable location or position relative to its surroundings. The subject of analysis can be a rare or critical event or it can focus on a typical or regular event. The purpose of studying a rare event is to illuminate new ways of thinking about the broader research problem or to test a hypothesis. Critical incident case studies must describe the method by which you identified the event and explain the process by which you determined the validity of this case to inform broader perspectives about the research problem or to reveal new findings. However, the event does not have to be a rare or uniquely significant to support new thinking about the research problem or to challenge an existing hypothesis. For example, Walo, Bull, and Breen conducted a case study to identify and evaluate the direct and indirect economic benefits and costs of a local sports event in the City of Lismore, New South Wales, Australia. The purpose of their study was to provide new insights from measuring the impact of a typical local sports event that prior studies could not measure well because they focused on large "mega-events." Whether the event is rare or not, the methods section should include an explanation of the following characteristics of the event: a) when did it take place; b) what were the underlying circumstances leading to the event; c) what were the consequences of the event.

If your subject of analysis is a person. Explain why you selected this particular individual to be studied and describe what experience he or she has had that provides an opportunity to advance new understandings about the research problem. Mention any background about this person which might help the reader understand the significance of his/her experiences that make them worthy of study. This includes describing the relationships this person has had with other people, institutions, and/or events that support using him or her as the subject for a case study research paper. It is particularly important to differentiate the person as the subject of analysis from others and to succinctly explain how the person relates to examining the research problem.

If your subject of analysis is a place. In general, a case study that investigates a place suggests a subject of analysis that is unique or special in some way and that this uniqueness can be used to build new understanding or knowledge about the research problem. A case study of a place must not only describe its various attributes relevant to the research problem [e.g., physical, social, cultural, economic, political, etc.], but you must state the method by which you determined that this place will illuminate new understandings about the research problem. It is also important to articulate why a particular place as the case for study is being used if similar places also exist [i.e., if you are studying patterns of homeless encampments of veterans in open spaces, why study Echo Park in Los Angeles rather than Griffith Park?]. If applicable, describe what type of human activity involving this place makes it a good choice to study [e.g., prior research reveals Echo Park has more homeless veterans].

If your subject of analysis is a phenomenon. A phenomenon refers to a fact, occurrence, or circumstance that can be studied or observed but with the cause or explanation to be in question. In this sense, a phenomenon that forms your subject of analysis can encompass anything that can be observed or presumed to exist but is not fully understood. In the social and behavioral sciences, the case usually focuses on human interaction within a complex physical, social, economic, cultural, or political system. For example, the phenomenon could be the observation that many vehicles used by ISIS fighters are small trucks with English language advertisements on them. The research problem could be that ISIS fighters are difficult to combat because they are highly mobile. The research questions could be how and by what means are these vehicles used by ISIS being supplied to the militants and how might supply lines to these vehicles be cut? How might knowing the suppliers of these trucks from overseas reveal larger networks of collaborators and financial support? A case study of a phenomenon most often encompasses an in-depth analysis of a cause and effect that is grounded in an interactive relationship between people and their environment in some way.

NOTE: The choice of the case or set of cases to study cannot appear random. Evidence that supports the method by which you identified and chose your subject of analysis should be linked to the findings from the literature review. Be sure to cite any prior studies that helped you determine that the case you chose was appropriate for investigating the research problem.

IV. Discussion

The main elements of your discussion section are generally the same as any research paper, but centered around interpreting and drawing conclusions about the key findings from your case study. Note that a general social sciences research paper may contain a separate section to report findings. However, in a paper designed around a case study, it is more common to combine a description of the findings with the discussion about their implications. The objectives of your discussion section should include the following:

Reiterate the Research Problem/State the Major Findings Briefly reiterate the research problem you are investigating and explain why the subject of analysis around which you designed the case study were used. You should then describe the findings revealed from your study of the case using direct, declarative, and succinct proclamation of the study results. Highlight any findings that were unexpected or especially profound.

Explain the Meaning of the Findings and Why They are Important Systematically explain the meaning of your case study findings and why you believe they are important. Begin this part of the section by repeating what you consider to be your most important or surprising finding first, then systematically review each finding. Be sure to thoroughly extrapolate what your analysis of the case can tell the reader about situations or conditions beyond the actual case that was studied while, at the same time, being careful not to misconstrue or conflate a finding that undermines the external validity of your conclusions.

Relate the Findings to Similar Studies No study in the social sciences is so novel or possesses such a restricted focus that it has absolutely no relation to previously published research. The discussion section should relate your case study results to those found in other studies, particularly if questions raised from prior studies served as the motivation for choosing your subject of analysis. This is important because comparing and contrasting the findings of other studies helps to support the overall importance of your results and it highlights how and in what ways your case study design and the subject of analysis differs from prior research about the topic.

Consider Alternative Explanations of the Findings It is important to remember that the purpose of social science research is to discover and not to prove. When writing the discussion section, you should carefully consider all possible explanations for the case study results, rather than just those that fit your hypothesis or prior assumptions and biases. Be alert to what the in-depth analysis of the case may reveal about the research problem, including offering a contrarian perspective to what scholars have stated in prior research.

Acknowledge the Study's Limitations You can state the study's limitations in the conclusion section of your paper but describing the limitations of your subject of analysis in the discussion section provides an opportunity to identify the limitations and explain why they are not significant. This part of the discussion section should also note any unanswered questions or issues your case study could not address. More detailed information about how to document any limitations to your research can be found here .

Suggest Areas for Further Research Although your case study may offer important insights about the research problem, there are likely additional questions related to the problem that remain unanswered or findings that unexpectedly revealed themselves as a result of your in-depth analysis of the case. Be sure that the recommendations for further research are linked to the research problem and that you explain why your recommendations are valid in other contexts and based on the original assumptions of your study.

V. Conclusion

As with any research paper, you should summarize your conclusion in clear, simple language; emphasize how the findings from your case study differs from or supports prior research and why. Do not simply reiterate the discussion section. Provide a synthesis of key findings presented in the paper to show how these converge to address the research problem. If you haven't already done so in the discussion section, be sure to document the limitations of your case study and needs for further research.

The function of your paper's conclusion is to: 1) restate the main argument supported by the findings from the analysis of your case; 2) clearly state the context, background, and necessity of pursuing the research problem using a case study design in relation to an issue, controversy, or a gap found from reviewing the literature; and, 3) provide a place for you to persuasively and succinctly restate the significance of your research problem, given that the reader has now been presented with in-depth information about the topic.

Consider the following points to help ensure your conclusion is appropriate:

If the argument or purpose of your paper is complex, you may need to summarize these points for your reader.
If prior to your conclusion, you have not yet explained the significance of your findings or if you are proceeding inductively, use the conclusion of your paper to describe your main points and explain their significance.
Move from a detailed to a general level of consideration of the case study's findings that returns the topic to the context provided by the introduction or within a new context that emerges from your case study findings.

Note that, depending on the discipline you are writing in and your professor's preferences, the concluding paragraph may contain your final reflections on the evidence presented applied to practice or on the essay's central research problem. However, the nature of being introspective about the subject of analysis you have investigated will depend on whether you are explicitly asked to express your observations in this way.

Problems to Avoid

Overgeneralization One of the goals of a case study is to lay a foundation for understanding broader trends and issues applied to similar circumstances. However, be careful when drawing conclusions from your case study. They must be evidence-based and grounded in the results of the study; otherwise, it is merely speculation. Looking at a prior example, it would be incorrect to state that a factor in improving girls access to education in Azerbaijan and the policy implications this may have for improving access in other Muslim nations is due to girls access to social media if there is no documentary evidence from your case study to indicate this. There may be anecdotal evidence that retention rates were better for girls who were on social media, but this observation would only point to the need for further research and would not be a definitive finding if this was not a part of your original research agenda.

Failure to Document Limitations No case is going to reveal all that needs to be understood about a research problem. Therefore, just as you have to clearly state the limitations of a general research study , you must describe the specific limitations inherent in the subject of analysis. For example, the case of studying how women conceptualize the need for water conservation in a village in Uganda could have limited application in other cultural contexts or in areas where fresh water from rivers or lakes is plentiful and, therefore, conservation is understood differently than preserving access to a scarce resource.

Failure to Extrapolate All Possible Implications Just as you don't want to over-generalize from your case study findings, you also have to be thorough in the consideration of all possible outcomes or recommendations derived from your findings. If you do not, your reader may question the validity of your analysis, particularly if you failed to document an obvious outcome from your case study research. For example, in the case of studying the accident at the railroad crossing to evaluate where and what types of warning signals should be located, you failed to take into consideration speed limit signage as well as warning signals. When designing your case study, be sure you have thoroughly addressed all aspects of the problem and do not leave gaps in your analysis.

Case Studies . Writing@CSU. Colorado State University; Gerring, John. Case Study Research: Principles and Practices . New York: Cambridge University Press, 2007; Merriam, Sharan B. Qualitative Research and Case Study Applications in Education . Rev. ed. San Francisco, CA: Jossey-Bass, 1998; Miller, Lisa L. “The Use of Case Studies in Law and Social Science Research.” Annual Review of Law and Social Science 14 (2018): TBD; Mills, Albert J., Gabrielle Durepos, and Eiden Wiebe, editors. Encyclopedia of Case Study Research . Thousand Oaks, CA: SAGE Publications, 2010; Putney, LeAnn Grogan. "Case Study." In Encyclopedia of Research Design , Neil J. Salkind, editor. (Thousand Oaks, CA: SAGE Publications, 2010), pp. 116-120; Simons, Helen. Case Study Research in Practice . London: SAGE Publications, 2009; Kratochwill, Thomas R. and Joel R. Levin, editors. Single-Case Research Design and Analysis: New Development for Psychology and Education . Hilldsale, NJ: Lawrence Erlbaum Associates, 1992; Swanborn, Peter G. Case Study Research: What, Why and How? London : SAGE, 2010; Yin, Robert K. Case Study Research: Design and Methods . 6th edition. Los Angeles, CA, SAGE Publications, 2014; Walo, Maree, Adrian Bull, and Helen Breen. “Achieving Economic Benefits at Local Events: A Case Study of a Local Sports Event.” Festival Management and Event Tourism 4 (1996): 95-106.

Writing Tip

At Least Five Misconceptions about Case Study Research

Social science case studies are often perceived as limited in their ability to create new knowledge because they are not randomly selected and findings cannot be generalized to larger populations. Flyvbjerg examines five misunderstandings about case study research and systematically "corrects" each one. To quote, these are:

Misunderstanding 1 : General, theoretical [context-independent knowledge is more valuable than concrete, practical (context-dependent) knowledge. Misunderstanding 2 : One cannot generalize on the basis of an individual case; therefore, the case study cannot contribute to scientific development. Misunderstanding 3 : The case study is most useful for generating hypotheses; that is, in the first stage of a total research process, whereas other methods are more suitable for hypotheses testing and theory building. Misunderstanding 4 : The case study contains a bias toward verification, that is, a tendency to confirm the researcher’s preconceived notions. Misunderstanding 5 : It is often difficult to summarize and develop general propositions and theories on the basis of specific case studies [p. 221].

While writing your paper, think introspectively about how you addressed these misconceptions because to do so can help you strengthen the validity and reliability of your research by clarifying issues of case selection, the testing and challenging of existing assumptions, the interpretation of key findings, and the summation of case outcomes. Think of a case study research paper as a complete, in-depth narrative about the specific properties and key characteristics of your subject of analysis applied to the research problem.

Flyvbjerg, Bent. “Five Misunderstandings About Case-Study Research.” Qualitative Inquiry 12 (April 2006): 219-245.

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New study reveals high risk of overdose deaths in Cuyahoga County among those using drugs when they’re alone

In Cuyahoga County, the stark reality of the opioid crisis is that most drug overdose victims die alone, with no one nearby to help.

A recent study , done in partnership with Case Western Reserve University and Cuyahoga County, highlights the critical need for “targeted harm-reduction strategies” in Northeast Ohio, where the opioid epidemic continues to claim lives at nearly twice the national average.

Those strategies include the distribution of Naloxone (an opioid antagonist that can reverse the effects of an overdose), and increasing the availability of medication-assisted treatment options and fentanyl test strips.

The research, using data from the Cuyahoga County Medical Examiner’s Office , examined overdose deaths between 2016 and 2020, focusing on people using drugs when they were alone.

The study revealed that a staggering 75% of overdose victims were using drugs alone, a behavior strongly associated with increased mortality. Key findings indicate that individuals using drugs alone were more likely to be at home and less likely to receive life-saving interventions like naloxone, said Daniel Flannery , the Dr. Semi J. and Ruth Begun Professor and director of the Begun Center for Violence Prevention Research and Education .

“Being informed is crucial—knowledge equips you to take action,” Flannery said. “It’s about reviving someone in need, and if that’s not possible, contacting emergency services immediately. The chances of a fatal outcome significantly increase when there’s no one around to help.”

New policies and community efforts must prioritize reaching individuals at risk of using alone to curb the devastating impact of the opioid crisis, said Vaishali Deo , research associate at the Begun Center and co-principal investigator in the research.

“Our findings underscore the urgent need for innovative harm-reduction strategies aimed at those most vulnerable—those using drugs alone,” Deo said. “Interventions must focus on reducing isolation and improving access to emergency medical care to prevent further loss of life.”

The research findings were published by the National Institutes of Health’s National Library of Medicine .

Additional insights

In Cuyahoga County, from 2016 through 2020, there were 2,944 unintentional overdose deaths for those over 18 years old. That’s 54 deaths per 100,000 residents. The national average is 28 overdose deaths per 100,000 residents.
The study further details the demographics and circumstances surrounding overdose deaths in Cuyahoga County from 2016 to 2020. Most were non-Hispanic (94.9%), white (72.2%) and male (71.3%), with a significant portion 35 to 64 years old. Most lived in the City of Cleveland. Over half attained at least a high school diploma.
Toxicology reports revealed that synthetic opioids, specifically illicitly manufactured fentanyl, was present in 72.7% of the deaths. Cocaine and heroin were also significant contributors, found in 41.6% and 29.6% of cases, respectively. Nearly 80% of overdose deaths involved the use of multiple substances.
Despite the presence of bystanders in more than half the cases, most victims (74.9%) were using drugs alone at the time of their fatal overdose, mainly at home. Emergency medical services responded to most of the incidents, yet over 60% of victims were pronounced dead at the scene—highlighting the critical timing needed for interventions like naloxone, which was administered in just 28.6% of the cases.

Deo and Flannery were joined in the research by Sarah Fulton, a research associate at the Begun Center, and Manreet K. Bhullar, a senior forensic epidemiologist at the Cuyahoga County Medical Examiner’s Office, and Thomas P. Gilson, chief medical examiner of Cuyahoga County.

“These findings paint a stark picture of the opioid crisis in our community,” Gilson said. “The tragic reality is that too many people are dying alone, and we must act swiftly to implement lifesaving measures that can prevent these unnecessary deaths.”

For more information, contact Colin McEwen .

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Published: 27 August 2024

Healthy cities and municipal administrations in Türkiye: the case of Denizli Metropolitan Municipality

Zuhal Önez Çetin 1

Humanities and Social Sciences Communications volume 11 , Article number: 1089 ( 2024 ) Cite this article

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The concept of a Healthy City has begun to gain more attention, both nationally and internationally. In this context, Healthy City initiatives have also gained momentum in Türkiye. This study examines the Healthy City practices of the Denizli Metropolitan Municipality (MM), which stands out for its awards, planned projects, and practices within the scope of Healthy City initiatives in Türkiye. A questionnaire was applied in the city of Denizli to investigate the effect of citizens’ knowledge of the Healthy City concept on their awareness of Healthy City practices of Denizli MM and other municipalities in Türkiye, on citizens’ thoughts on the success factors of Healthy City practices of metropolitan municipalities, the service areas of Denizli MM that should be prioritized in Healthy City practices, and the institutions that should be effective in the management of Denizli Healthy City. The findings revealed that knowledge of the Healthy City concept affects citizens’ awareness of Healthy City initiatives, their opinions on success factors, the Denizli MM services that should be prioritized, and the institutions that should be effective in managing Denizli Healthy City.

Model of social sustainability for Dhaka city, Bangladesh

The contribution of inhabitants to the development of public spaces in eastern Algeria, Constantine

Making cities mental health friendly for adolescents and young adults

Introduction.

Today, cities are urbanizing at a great pace, and people residing in cities are struggling with stress and problems that cause malnutrition, infectious diseases, chronic respiratory illnesses, and mental problems. Unsafe working conditions, poverty, precarious tenure, environmental pollution, the use of great amount of harmful substances, inadequate shelter and food, insufficient local government services, crowdedness, and poor waste disposal are some of the major unhealthy conditions experienced by individuals in urban areas (Goldstein and Kickbusch, 1996 :4). Cities provide many opportunities to promote health; however, when mismanaged, they can strain natural systems or exacerbate health deficits (Siri, 2016 :1). In this context, by the 1980s onwards, the Healthy Cities Movement has gained success, and many international cities believed that the conceptualization of healthy cities, including areas of sustainable development and health, would enhance urban performance (De Leeuw, 2009 :19). In 1986, the Healthy Cities Movement was started by the World Health Organization (WHO), and by the 1990s, healthy cities were transformed into a global movement (Alliance for Health Cities, 2023 ). Additionally, the WHO has advocated for the Healthy Cities Projects, having strategy promoting a cross-sectoral approach to health improvement and targeting to bring issues of health to urban agendas (Harpham et al. 2001 :111).

With the onset of the Healthy Cities Project, implemented by the WHO, many provincial and district municipalities from Türkiye participated in the project. In Türkiye, relevant initiatives started in 1993, within the scope of the National Coordinatorship of the Ministry of Health (Başaran, 2007 :221). Healthy City initiatives in Türkiye are carried out within the framework of the Healthy Cities Association of Türkiye on a national scale and the WHO Healthy Cities Network on an international scale. The Healthy Cities Association started its activities on February 3, 2005, with the aim of creating healthy cities where all citizens could live happily (Denizli Municipality, 2017 :8). The Healthy Cities Association was set up as a local government association with the objective of promoting the Healthy Cities Movement in Türkiye and ensuring the continuity of its practices on adopting the healthy cities concept (Turkish Healthy Cities Association/ THCA, 2019a : 2). Today, the number of member provincial and district municipalities of the Healthy Cities Association has reached 138 in Türkiye (THCA, 2023 ).

The first objective of the study was to examine the conceptual framework, targets, fields of action, and contributions of the Healthy City concept, emphasizing its importance for local governments, particularly municipalities. The second aim was to analyze Healthy City practices in Denizli. Denizli stands out as a prominent city with Denizli MM’s activities, plans, and projects related to the Healthy City concept in Türkiye.

The research question focuses on examining whether citizens’ knowledge of the Healthy City concept affects their awareness of the Healthy City practices in Denizli MM and other municipalities in Türkiye, their thoughts on the success factors of healthy city practices of metropolitan municipalities, the service areas of Denizli MM that should be prioritized in Healthy City practices, and the institutions that should be effective in managing Denizli Healthy City.

To address these questions, a questionnaire was applied in the province of Denizli, Türkiye. The primary sub-research questions are as follows:

Does citizens’ awareness of the concept of a Healthy City have any relationship with the participants’ demographic characteristics?

Does citizens’ awareness of the concept of a Healthy City have any impact on their awareness of the Healthy City activities of Denizli MM and the Healthy City initiatives of municipalities in Türkiye?

Does citizens’ awareness of the concept of a Healthy City have any impact on their awareness of the activities carried out by Denizli MM, as a member of the Healthy Cities Association?

Does citizens’ awareness of the concept of a Healthy City have any impact on their views regarding the factors that affect the success of healthy city initiatives of metropolitan municipalities?

Does citizens’ awareness of the concept of a Healthy City have any impact on their views regarding service areas that should be prioritized in the Healthy City practices of Denizli MM?

Does citizens’ awareness of the concept of a Healthy City have any impact on their views regarding the institutions that should be effective in the management of Denizli’s Healthy City?

An overview of the concept of a Healthy City

The concept of a Healthy City, as addressed by the World Health Organization (WHO), encompasses the principles of primary healthcare and health. It aims to improve and strengthen existing processes and structures to achieve health for all and prioritize health on the political and social agenda of local and municipal governments (World Health Organization, 1997 :1). A healthy city is defined as an urban area that enables people to support each other by increasing their potential to improve health; and enhances and preserves the natural and social environment (WHO, 2007 :36). It is characterized as a clean and physically safe city with robust environmental and health services, where residents can live comfortably according to their customs, social beliefs, connections, and lifestyles (WHO, 1996 :1). The contributions of healthy cities to their citizens include providing a built and physical environment, enabling opportunities that promote healthy lifestyles across all age and social groups and supporting health, safety, recreation, welfare, and a sense of cultural identity (Tulchinsky and Varavikova, 2014 :502). Particularly in the Eastern Mediterranean Region, the primary aim of healthy cities action is to develop environmental health conditions and services, especially in poor urban areas, thereby enhancing the health of urban residents (WHO, 1996 :3). Within this framework, the fundamental action areas for healthy cities are listed as follows: improving urban governance for well-being and health, prioritizing those in need within the city, planning and thinking for all citizens, creating social environments that advocate health, promoting community empowerment and development, minimizing health inequalities, improving local public health capacities and services to handle health emergencies, creating built and physical environments that promote health and healthy choices, ensuring a health-in-all-policies approach, developing access to and local social and health services’ quality, and planning for urban preparedness and response in emergencies related to public health (WHO, 2020 : 9). In this context, various examples of healthy cities exist worldwide. For instance, Boseley ( 2018 ) highlighted Copenhagen as one of the world’s healthiest cities owing to initiatives such as walkable streets, a good health policy, and free stress clinics. Additionally, Vancouver stands out as a Healthy City with its Healthy City Strategy, a four-year action plan outlining critical steps towards healthy city (City of Vancouver, 2015 :4). Vienna is also renowned as a Healthy City, characterized by low pollution levels, walkability, and abundant green spaces (Marshall, 2022 ).

Healthy cities and local governments

The Healthy City include active living, healthy urban planning, city health development plans, networks for healthy cities, healthy aging, equity and health’s social determinants, health impact assessment, empowerment and community participation, city health profiles, and partnerships for health (De Leeuw, 2011 :221). Additionally, according to WHO ( 2010 :23–29), the criteria for qualifying as a healthy city encompass “community organization and mobilization for health and development; intersectoral collaboration, partnership, and advocacy; community-based information center; water, sanitation, food safety, and air pollution; health development; emergency preparedness and response; education and literacy; skills development, vocational training, and capacity building; and microcredit activities.” Within this framework, the concept of healthy cities emphasizes community participation among individuals, municipal authorities, civil society, and all stakeholders in the city, aiming to develop the environment, quality of life, and health (WHO, 2007 :36). As a multilevel movement, healthy cities create a mechanism and platform to work and participate with local governments and communities on topics affecting well-being and health, serving as a strategic tool to attain community stakeholders and local governments. The active participation of local community, political leaders, and mayors across all areas of Healthy Cities is of paramount importance (WHO, 2020 :4). The concept of a Healthy City clarified to make the work of municipal administrations easier in the following subjects; utilizing all available resources to enhance urban environmental health services, building capacity to address environmental and health issues through a participatory approach, ensuring the formation of policies on health, and supporting the shift of urban health services from a reactive and treatment-focused perspective to a community-based and preventive approach (WHO, 1997 :1). The specific objectives of Healthy City action for municipalities include enhancing municipal government capacity to administer urban issues through participatory approaches, providing community participation and political mobilization through establishing a comprehensive city environment and health plan to formulate and realize municipal environment and health projects (WHO, 1996 :3). Local government responsibilities related to public health include providing local public health infrastructure, promoting healthy behaviors and communities, avoiding the spread of communicable diseases, safeguarding against environmental health risks, and preparing and responding to safety dangers (Figliola, 2024 ). In Türkiye, under Metropolitan Municipality Law No. 5216 ( 2004 ), metropolitan and district municipalities’ duties and responsibilities regarding health are pointed out in Article 7(n) as “when necessary, to construct buildings and facilities for temples and health, education, and cultural services, to carry out all kinds of maintenance and repair of buildings and facilities related to these services belonging to public institutions and organizations, and to provide the necessary material support” and in Article 7(v) as “to carry out and develop health centres, hospitals, mobile health units and all kinds of social and cultural services for adults, the elderly, the disabled, women, youth, and children and to establish social facilities for this purpose…” . In Türkiye, metropolitan municipalities are key actors in the transformation of a city into a Healthy City and in carrying out successful activities as a Healthy City.

A case study of Denizli Metropolitan Municipality

Denizli metropolitan municipality and healthy cities.

Since the 1980s, Denizli’s industrial sector has been pivotal in guiding the city and the development across cultural, educational, export, trade, and industrial domains is at a high level compared to the average of country (Denizli Municipality, 2017 :86). In Table 1 , the recent data on demographics, age distribution, educational attainment, gross domestic product, exports, and imports in the city are demonstrated as follows:

In addition to these data, local service statistics from Denizli indicate that the municipality provides waste services to 99% of the total population, wastewater treatment services to 92%, and sewage services to 92%, and maintains a drinking water network covering 100% of the population as of 2022 (TurkStat, 2024a ). Denizli MM serves as a pivotal institution for providing essential urban services.

In Türkiye, Denizli Metropolitan Municipality is the fourth metropolitan city whose 7 th phase membership application to the WHO European Healthy Cities Network was accepted. The municipality also ranked second in the world with its projects on Water Management and Climate Change, and holds the title of the cleanest, environmentally friendly, and healthiest city in Türkiye (THCA, 2022a ). Denizli MM formulated a city health profile in cooperation with public institutions and won Türkiye’s Most Environmentally Friendly Municipality Competition held by the Ministry of Environment and Forestry in 2009 (Denizli Municipality, 2017 :2, 4). Regarding the planning system, the 1/100.000 Scaled Landscaping plan for the planning area of Aydın, Mugla, and Denizli has critical aims: protecting historical, agricultural, and touristic values; generating a livable and sustainable environment within Aydın, Mugla, and Denizli’s borders by 2025; and attaining healthy economic, cultural, social, and spatial growth and development within planning principles (Denizli Municipality, 2017 :84).

Goals in the decisions related to 1/25.000 scaled landscaping planning include providing housing and land supply for different income groups; developing measures to prevent pollution of underground water resources; meeting service, infrastructure, and equipment needs related to urban development; preventing the tendency for slums; and producing solutions for environmental pollution in the city center. The purpose of the 1/25.000 scaled landscaping plans is to regulate the relationship between working and living spaces and to guide their spatial development while considering future city problems and needs (Denizli Municipality, 2017 :87–89). Within this framework, Denizli MM’s activities related to healthy cities are listed in Table 2 as:

As seen in Table 2 , Denizli MM engages in a variety of practices related to healthy cities, including public education, social life and culture, social responsibility, animal protection, transportation, environment and climate change, sports, cultural heritage, infrastructure, and support for the disabled. The city has also received awards for initiatives aimed at promoting healthy cities.

Research methodology, data collection and data analysis

Research methodology.

The-chi-square test as a statistical significance test implemented on data which is categorical (Curtis and Youngquist, 2013 :179). The chi-square test for independence is facilitated to identify whether there is a statistical connection between two attributes that are categorical (Corder and Foreman, 2014 :185). In this context, regarding Pearson chi-square test, Rao ( 2002 : 10) clarified that “ Pearson’s chi-square is ideally applicable to qualitative data with a finite number, say s, of natural categories and the data are in the form of frequencies of individuals in different categories ”. The chi-square p value, or asymptotic significance (Asymp. Sig.) in SPSS, demonstrates the statistical relationships’ significance in the analysis. If the p value is smaller than 0.05 ( p < 0.05), a significant relationship can be stated between two variables (University of Southampton, 2014 :2). In this study, the SPSS method was used for the statistical analysis of the questionnaire questions. Pearson’s chi-square test and cross-tabulation (crosstab) analyses were employed to examine the study’s hypotheses. The Cronbach’s alpha value in the reliability statistics table result was greater than 0.70, demonstrating that the scale was reliable. For normality analysis, the skewness and kurtosis values of the questions and the division of these values by standard error, extreme values, and histogram distributions were examined. As a result, it was found out that the data did not indicate a normal distribution, leading to the application of non-parametric Pearson’s chi-square test, and crosstab analyses.

Data collection

Regarding the sampling method, Cresswell and Plano Clark ( 2011 :179) clarified that random and purposeful sampling combination form is possible in the sampling process. The multiphase design encompasses various sampling procedures concerning diverse phases of analysis and incorporates many sampling strategies (Cresswell and Plano Clark 2011 :197). In this study, simple random and purposive sampling methods were employed to determine the research sample.

Simple random sampling is identified as a method in the determination of the population units’, where every possible unit of population has the same chance at the selection in the sample (Singh and Singh Mangat, 1996 :30). For this study, the universe of the research is the neighborhoods of Denizli under the jurisdiction of Denizli MM, which provides local services. The neighborhoods where the survey participants were located randomly selected from the neighborhoods under the jurisdiction of Denizli MM. Subsequently, purposive sampling was employed to determine participants engaged in the survey.

Purposive sampling is identified as the selection of specific units, such as settings, groups, events, or unit types, focusing on a particular objective, and the selection is not made randomly in that sampling method (Tashakkori and Teddlie, 2003 :713). Tongco ( 2007 :147) clarified that purposive sampling can be facilitated at quantitative and qualitative methods of research. This method, also referred to as judgmental or deliberate sampling, involves selecting sample members based on the purpose of the study (Bhardwaj, 2019 :161). In this type of sampling, the researcher determines the purpose he/ she wants participants to assist, sometimes resembling quota sampling. However, it differs from quota sampling in that there is no predetermined sample design specifying the number of participants the researcher needs for the study. Instead, the researcher could include as many participants as necessary. The advantages of using purposive sampling include its application in critical case studies, pilot studies, intensive case studies, and studies in which it is challenging to find specific populations (Bernard, 2011 :145).

Purposive sampling was employed to determine the research sample because of the limited public awareness of metropolitan municipalities’ Healthy City initiatives in Türkiye and the challenges in accessing individuals capable of evaluating and analyzing the concept of a Healthy City. Since awareness of local services offered by the Denizli Metropolitan Municipality is a prerequisite for evaluating the concept of a Healthy City, individuals were asked about their awareness of these services before participating in the survey. Only those who responded affirmatively were included in this survey. The research sample consisted of participants who demonstrated knowledge of the Denizli Metropolitan Municipality’s local services and volunteered to participate in this study. To address the research question fully, only those who provided verbal consent and had knowledge of the municipality’s local services were included in the study. Despite reaching a large number of people during the survey process, the study included only 100 individuals who were aware of Denizli MM’s services.

The purposive sampling method does not necessitate a sample design and the researcher using that type of sampling take the participants in the study as possible that 100 participants who could be reached in accordance with the purposive sampling method was included in the study. Regarding sample size, Cohen et al. ( 2007 :101) suggested that when statistical analysis is planned by the researcher, a minimum of 30 cases is generally accepted as a sample size, although this is considered small, with a recommendation to increase it. Accordingly, a questionnaire was applied to 100 volunteer participants in the neighborhoods of Denizli City, encompassing diverse age groups, education levels, and residential areas, with the aim of representing a broad spectrum of citizen perspectives. In the survey, gender representation was balanced with 58% male and 42% female respondents. Age distribution showed that 40% of participants were aged 31–40, and 39% were aged 41–50. The educational background varied, with 79% university graduates and 10% holding master’s degrees. Additionally, 50% had lived in Denizli for 30 or more years. However, given that this study involved 100 Turkish citizens, it should be highlighted that the findings of this study cannot be generalized to the whole Turkish society.

Denizli was chosen as a case study because of its recognition as one of Türkiye’s award-winning cities for its initiatives as a Healthy City. Denizli earned the title of Türkiye’s cleanest, most environmentally friendly, and healthiest city in 2012. Additionally, the Denizli Metropolitan Municipality has undertaken significant projects and established plans focused on promoting Healthy City initiatives and incorporating a planning system that prioritizes healthy development and growth.

The questionnaire consisted of 56 questions with seven parts. Four sections contained yes or no questions, whereas two sections featured questions with multiple responses. The first part collected profile information from the participants, including gender, age, education, and duration of residence in Denizli. The second, third, and fourth sections inquire about citizens’ awareness of the concept of a Healthy City and the healthy city practices implemented by municipalities in Türkiye. Specifically, it focuses on the initiatives of the Denizli Metropolitan Municipality, as a Healthy Cities Association’s member in Türkiye, in areas such as sports, health, the environment, climate change, and animal protection. The fifth section focuses on factors affecting the success of the healthy cities’ efforts of metropolitan municipalities in Türkiye. These questions include the membership of metropolitan municipalities to the Healthy Cities Association in Türkiye, informing the citizens on the projects and practices related to healthy city services by the metropolitan municipalities, realizing healthy city practices in cooperation with the city institutions by metropolitan municipalities, consultation of the metropolitan municipalities to the citizens about the healthy city activities, including the citizens, public, private and non-governmental organizations (NGOs) by metropolitan municipalities in the decision-making process regarding those related practices, and the effective working of metropolitan municipality directorates in healthy city practices. In the sixth part, the service categories of Denizli Metropolitan Municipality were categorized, and participants were asked to prioritize these areas. The service categories include demography, education, socioeconomic status, health and health services, environment, transportation, culture and arts, economy, disabled and other vulnerable groups, sports, infrastructure, social responsibility, and other services. Participants were allowed to select multiple answers for this section of the survey. The final part of the questionnaire was dedicated to gathering participants’ views on which institutions should play a key role in managing Denizli Healthy City. Options include local governments, central government, provincial public institutions and organizations, NGOs, and private sector organizations. Participants were allowed to select multiple answers for this part of the questionnaire.

Main hypothesis of the study is the state of being knowledgeable about the concept of healthy city has a significant impact on the awareness of citizens on healthy city initiatives, on their views on the factors affecting the success of healthy city initiatives of MM, Denizli MM’s service areas that should be given priority in healthy city initiatives, and the institutions that should be effective in the management of Denizli healthy city. Within this framework, the sub-hypotheses of this study are as follows:

H 0 : Having knowledge about the concept of healthy city has no impact on citizens’ awareness concerning healthy city initiatives of municipalities in Türkiye and Denizli MM, on their ideas about the factors having impact on the success of healthy city initiatives of MM, the service areas that should be given priority in healthy city initiatives of Denizli MM, and the institutions that should be effective in the administration of Denizli healthy city.

H 1 : There is a significant relationship between having knowledge of the concept of a Healthy City and the length of residence in Denizli.

H 2 : There is a significant relationship between participants’ knowledge of the Healthy City concept and their awareness of Denizli as getting the title of Türkiye’s cleanest, most environmentally friendly, and healthiest city.

H 3 : There is a significant relationship between having knowledge of the Healthy City concept and Denizli MM’s achievement as being the second in the world with water management and climate change projects at the ‘International One World Cities Competition.’

H 4 : There is a significant relationship between knowledge of the Healthy City concept and awareness of Denizli MM’s services as a member of the Healthy Cities Association.

H 5 : There is a significant relationship between knowledge of the Healthy City concept and informing citizens by metropolitan municipalities about their projects and practices related to Healthy City services, which is a factor affecting the success of Healthy City initiatives.

H 6 : There is a significant relationship between knowledge of the Healthy City concept and the participation of public, private, and NGOs in the decision-making process by the metropolitan municipality, which is a factor affecting the success of Healthy City initiatives.

H 7 : Citizens’ knowledge of the concept of a Healthy City positively affects the necessity of the Denizli MM to give priority to infrastructure services in healthy city initiatives.

H 8 : Having knowledge of the concept of a Healthy City positively affects the necessity of local governments to be effective in the management of Denizli Healthy City.

Data analysis

The awareness of the healthy city concept, healthy city initiatives, and practices carried out by denizli mm.

In the section addressing citizens’ awareness of the concept of healthy cities, five questions were asked to determine whether citizens had knowledge of this concept and how they obtained this information. The analysis revealed that 37% of the survey participants had knowledge about the concept of a Healthy City. A significant relationship was found by Pearson’s chi-square test between being knowledgeable about the Healthy City concept and accessing information from print media, TV, the Internet, and knowledgeable individuals on the subject. P < 0.05 (Pearson’s chi-square, asymp. sig, p = 0) was found in the questions about the state of having knowledge and the means of accessing information. Additionally, 67.6% of the respondents who stated that they had information about the concept of a Healthy City reported obtaining this information via the Internet.

H 1 : There is a significant relationship between having knowledge of the concept of a Healthy City and the duration of residence in Denizli.

According to Pearson’s chi-square test, p = 0.04, which is a value smaller than 0.05, there is a significant relationship between knowledge of the concept of a Healthy City and the duration of residence in Denizli. The crosstab shows that 63.9% of respondents who had knowledge of the concept of a Healthy City had resided in Denizli for 30 years or more. It can be concluded that the respondents’ knowledge of the concept of a Healthy City increased with the length of their residence in Denizli.

In the survey section related to citizens’ awareness of Healthy City practices, the following questions were asked: whether the participants were aware of the practices and projects carried out by the municipalities in Türkiye within the framework of healthy cities, the initiatives of the Turkish Healthy Cities Association, the Healthy City practices carried out by Denizli MM, Denizli MM’s membership in the Healthy Cities Association, Denizli MM’s creation of a City Health Profile, the awards received by Denizli MM within the scope of healthy cities, the city of Denizli receiving the title of the cleanest, most environmentally friendly, and healthiest city in Türkiye in 2012, Denizli MM ranking second in the world with water management and climate change projects in the International One World Cities Competition in 2019, Denizli MM’s being one of the healthiest cities in Europe, and the existence of Denizli MM’s Climate Change Action Plan. The analysis revealed that 40% of the citizens knew that Denizli was awarded the title of the cleanest, most environmentally friendly, and healthiest city in Türkiye in 2012, and 34% of the citizens were aware that Denizli MM had achieved second place in the world with its water management and climate change projects.

It was determined by Pearson’s chi-square test that all questions about awareness of Healthy City initiatives in this section were significantly related to having knowledge about the concept of a Healthy City, with all questions having p values less than 0.05 ( p < 0.05). It can be concluded that being knowledgeable about the concept of a Healthy City has a relationship with the participants’ awareness of Healthy City practices in Türkiye and Denizli MM. Specifically, 62.2% of the participants stated that they had knowledge of both the concept of a Healthy City and of Denizli, receiving the title of the cleanest, most environmentally friendly, and healthiest city in Türkiye in 2012. Furthermore, 54.1% of the participants who were aware of the Healthy City concept expressed that they had knowledge of Denizli MM’s attainment of second rank with its projects. The participants who stated that they were aware of the Healthy City concept were also informed about Denizli City receiving the title of Türkiye’s “cleanest, most environmentally friendly, and healthiest” city in 2012, and Denizli MM’s achievement of second rank in the world with its water management and climate change projects in the International One World Cities Competition in 2019.

The crosstab results for all questions in the table were found to be significant ( p < 0.05) according to the Pearson’s chi-square test.

H 2 : There is a significant relationship between participants’ knowledge of the Healthy City concept and their knowledge concerning of the city of Denizli’s getting the title of the cleanest, most environmentally friendly and healthiest city in Türkiye.

H 2 is accepted according to Pearson’s chi-square test ( p = 0.001 < 0.05). There is a relationship between the knowledge of the Healthy City concept and awareness of Denizli City’s title as the cleanest, most environmentally friendly, and healthiest city in Türkiye. Participants who had knowledge of the Healthy City concept were also aware that Denizli was awarded this title.

H 3 : There is a significant relationship between having knowledge of the Healthy City concept and Denizli MM’s achievement the second rank in the world with water management and climate change projects at the ‘International One World Cities Competition.’

H 3 is also accepted according to the findings of this study. Since the results of the Pearson’s chi-square test were p = 0.001 < 0.05, there was a relationship between knowledge about the Healthy City concept and awareness of Denizli MM’s international ranking. Participants who had knowledge of the Healthy City concept were also aware of Denizli MM’s world ranking.

In addition, according to the data in Table 3 , the survey participants who did not have knowledge about the concept of a Healthy City also lacked sufficient information about the Healthy City activities of the municipalities in both Denizli MM and Türkiye. Citizens’ awareness of Denizli MM’s practices, conducted as a member of the Healthy Cities Association, was assessed by the questionnaire. Participants were asked to point out which initiatives they knew about in a multi-response framework. The frequency values of the responses given by the participants and the relationship of these questions with the question of being knowledgeable about the concept of a Healthy City, as determined by Pearson’s chi-square test, are provided in Table 4 .

According to the data in Table 4 , Denizli MM’s modern waste management and animal protection practices are among the most well-known within the scope of Healthy Cities. Pearson’s chi-square test was used to analyze citizens’ awareness of the concept of a Healthy City and Denizli MM’s practices as a member of the Healthy Cities Association, and indicated a significant relationship. Specifically, there was a notable correlation between questions concerning Denizli MM’s practices in sports, the environment and climate change, social responsibility, public education, and disability.

H 4 is also accepted in line with the findings of this study. Regarding Pearson’s chi-square test ( p < 0.05), there was a relationship between Denizli Metropolitan Municipality’s practices in sports, environment, climate change, social responsibility, public education, disability, and citizens’ awareness of the concept of a Healthy City. Participants who were knowledgeable about the concept of a Healthy City also demonstrated awareness of sports, the environment and climate change, social responsibility, public education, and disability services provided by Denizli MM.

Factors affecting the success of Healthy City practices of metropolitan municipality administrations and their link with citizens’ awareness of the concept of a Healthy City

According to the findings in Table 5 , it was found that the membership of metropolitan municipalities in the Healthy Cities Association, and enabling public, private, and NGOs’ participation in decision-making processes regarding Healthy City practices had the highest values among the factors influencing the success of Healthy City practices of metropolitan municipality administrations in Türkiye.

Table 5 also shows that when the questions in the survey on informing citizens by metropolitan municipalities about their projects and practices regarding healthy city services and ensuring the participation of public, private and NGO institutions in the decision-making process of healthy city practices by metropolitan municipalities analyzed as crosstabs with the question of having knowledge about the concept of healthy city, a relationship has been found between those questions in the scope of Pearson Chi-square test.

According to the findings, 64.9% of the respondents who were aware of the concept of a Healthy City believed that informing citizens about these services and projects and involving public, private, and NGOs in decision-making processes regarding healthy city practices were crucial factors affecting the success of metropolitan municipalities’ Healthy City practices. Conversely, the majority of participants without knowledge of the Healthy City concept indicated that these factors did not impact metropolitan municipalities success. In summary, participants’ awareness of the Healthy City concept influences their ability to comment on which factors may affect the success of the metropolitan municipality administrations.

H 5 : There is a significant relationship between knowledge of the Healthy City concept and informing citizens by metropolitan municipalities about their projects and practices regarding healthy city services, which is the factor that affects the success of healthy city initiatives.

H 5 is accepted since the Pearson’s chi-square test yielded p < 0.05 ( p = 0.006). According to the Pearson Chi-square test, a relationship exists between the two questions: participants who are aware of the concept of a Healthy City believe that informing citizens about its projects and practices by metropolitan municipalities affects the success of Healthy City initiatives.

H 6 : There is a significant relationship between the knowledge of the Healthy City concept and the participation of public, private, and NGOs in the decision-making process by the metropolitan municipality, which is a factor affecting the success of Healthy City initiatives.

H 6 is accepted because the Pearson’s chi-square test yielded p < 0.05 ( p = 0.023). According to the Pearson Chi-square test, there is a relationship between the two questions. This indicates that participants who are knowledgeable about the concept of a Healthy City believe that involving public, private, and NGOs in the decision-making process by metropolitan municipality affects the success of Healthy City initiatives.

The services that Denizli Metropolitan Municipality should prioritize in Healthy City practices and the institutions that should be effective in the management of Denizli healthy city

H 7 can be accepted because when examining the crosstab results with the question of whether participants had knowledge about the concept of a Healthy City (those who answered yes), it was observed that 30.6% of them believed that Denizli Metropolitan Municipality’s priority service area should be infrastructure (Table 6 ).

When we examined the percentage rates, 25.1% of the survey participants believed that local governments should be effective in managing Denizli Healthy City. According to the cross-tabulation results between participants’ awareness of the concept of a Healthy City and their views on responsible institutions, 10.1% of respondents who indicated awareness of the concept believed that local governments should be the effective institutions responsible for managing Denizli Healthy City (Table 7 ).

H 8: Having knowledge of the concept of a Healthy City positively affects the necessity of local governments to be effective in the management of Denizli Healthy City.

H 8 can be accepted because the crosstab results of the questions demonstrated that the responses of ‘local governments’ had the highest ratio among the total responses. This indicates that having knowledge of the concept of a Healthy City affects the necessity of local governments to be effective in the management of the healthy city of Denizli.

H 0 : Knowledge of the concept of a Healthy City has no impact on awareness of citizens on healthy city initiatives of municipalities in Turkey, including Denizli MM, on their opinions about the factors having impact on the success of healthy city initiatives of MM, the service areas that should be given priority in healthy city initiatives of Denizli MM, and the institutions that should be effective in the administration of Denizli healthy city.

Finally, the H 0 hypothesis is invalidated by the findings of the study, which demonstrate that knowledge of the concept of a Healthy City influences citizens’ awareness on healthy city initiatives of municipalities in Türkiye and also Denizli MM, their views about the factors affecting the success of health city initiatives of MMs, Denizli MM’s services that need to be prioritized in healthy city practices, and the institution that should be effective in the management of the healthy city of Denizli.

This study found that Denizli Metropolitan Municipality implemented significant practices, received awards, and provided services within the framework of a Healthy City. In this study, SPSS Pearson’s chi-square tests and crosstab analyses were employed based on yes-no questions and multi-response-based questions. The questionnaire used aimed to examine the effect of citizens’ knowledge about the concept of a Healthy City on their awareness of Denizli MM’s Healthy City practices, their opinions on the success factors of Healthy City practices of metropolitan municipalities, the service areas of Denizli MM that should be prioritized in Healthy City initiatives, and the institutions that should be effective in managing Denizli Healthy City. The study revealed a significant relationship between participants’ knowledge of the concept of a Healthy City and their length of residence in Denizli, participants’ awareness of Denizli’s recognition as the cleanest, most environmentally friendly, and healthiest city in Türkiye; their knowledge of Denizli Metropolitan Municipality’s second-place ranking in the ‘International One World Cities Competition’ with water management and climate change projects; and their awareness of Denizli MM’s initiatives in sports, environment, climate change, social responsibility, public education, and disability services as a member of the Healthy Cities Association.

According to the study results, participants who were knowledgeable about the concept of a Healthy City believed that informing citizens by metropolitan municipalities about their projects and practices related to Healthy City services, as well as the involvement of public, private, and NGOs in the decision-making process by the metropolitan municipality, were key factors influencing the success of Healthy City initiatives. The study revealed that the majority of participants lacked awareness about the concept of a Healthy City and were unfamiliar with the abovementioned factors. It was concluded that awareness of the Healthy City concept influenced participants’ understanding and assessment of the factors affecting the success of healthy city initiatives of metropolitan municipalities. Furthermore, the study found that citizens’ awareness of the Healthy City concept positively affects the necessity of the Denizli MM to give priority to infrastructure services in healthy city studies, and the necessity of local governments to be effective in the management of the healthy city of Denizli.

Based on the research questions of this study, it can be concluded that awareness of the concept of healthy cities among citizens has a relationship with the survey participants’ demographic characteristics. Citizens’ awareness of the concept of a Healthy City impacts their awareness of the activities related to Denizli Municipal Municipality’s Healthy City initiatives and healthy city initiatives of municipalities in Türkiye, citizens’ awareness of the activities carried out by Denizli MM as a member of Healthy Cities Association, their opinions on the factors affecting the success of healthy city initiatives of metropolitan municipalities, their views on service areas that should be prioritized in the healthy city initiatives of Denizli MM, their opinions on the institutions that should be effective in the management of Denizli healthy city.

Furthermore, when examining the criteria for a Healthy City and Denizli MM’s activities, it is evident that these activities align with the criteria. In this context, the city has developed an urban health profile, a climate change action plan, water conservation initiatives, health education programs for women, and environmental training programs aimed at capacity building.

Consequently, local governments, especially metropolitan municipalities, play a vital role in the success of healthy cities. Municipalities can formulate strategies and policies for managing healthy cities successfully. This can lead to the creation of city health profiles, health community strategies, and city health development plans. Municipalities can support citizens in adopting healthy lifestyles through local urban planning and policy design. Additionally, they can allocate budgets for public health emergencies and health promotion, focusing on improving and promoting health, particularly among disadvantaged social segments, such as the elderly, children, and immigrants. When formulating local policies for healthy cities, municipalities should prioritize citizen participation, social inclusion, and community empowerment. Determining priority areas for a Healthy City should involve joint decision-making processes and citizen participation. Municipalities should periodically provide and share information with citizens about services, plans, projects, collaborations, memberships, and achievements related to Healthy City practices. They can organize workshops, seminars, and round tables to raise awareness among city residents.

The successful implementation of Healthy City initiatives at the local and national scales requires promoting citizen participation, involving city councils, municipal bodies, neighborhood organizations, and public, private, and NGOs in decision-making processes. If the city can use the savings it has gained from being a healthy city by sharing them on national scale and developing strong collaborations, the cities can extend the benefits gained.

Data availability

The datasets generated during and/or analysed during the current study are available from the corresponding author on reasonable request. The data are not publicly available due to them containing information (institution where participant works or retires, their status, personal information etc.) that could compromise research participant privacy.

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Önez Çetin, Z. Healthy cities and municipal administrations in Türkiye: the case of Denizli Metropolitan Municipality. Humanit Soc Sci Commun 11 , 1089 (2024). https://doi.org/10.1057/s41599-024-03591-4

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Healthy cities and municipal administrations in Türkiye: the case of Denizli Metropolitan Municipality