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  • Exploratory Research | Definition, Guide, & Examples

Exploratory Research | Definition, Guide, & Examples

Published on December 6, 2021 by Tegan George . Revised on November 20, 2023.

Exploratory research is a methodology approach that investigates research questions that have not previously been studied in depth.

Exploratory research is often qualitative and primary in nature. However, a study with a large sample conducted in an exploratory manner can be quantitative as well. It is also often referred to as interpretive research or a grounded theory approach due to its flexible and open-ended nature.

Table of contents

When to use exploratory research, exploratory research questions, exploratory research data collection, step-by-step example of exploratory research, exploratory vs. explanatory research, advantages and disadvantages of exploratory research, other interesting articles, frequently asked questions about exploratory research.

Exploratory research is often used when the issue you’re studying is new or when the data collection process is challenging for some reason.

You can use this type of research if you have a general idea or a specific question that you want to study but there is no preexisting knowledge or paradigm with which to study it.

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Exploratory research questions are designed to help you understand more about a particular topic of interest. They can help you connect ideas to understand the groundwork of your analysis without adding any preconceived notions or assumptions yet.

Here are some examples:

  • What effect does using a digital notebook have on the attention span of middle schoolers?
  • What factors influence mental health in undergraduates?
  • What outcomes are associated with an authoritative parenting style?
  • In what ways does the presence of a non-native accent affect intelligibility?
  • How can the use of a grocery delivery service reduce food waste in single-person households?

Collecting information on a previously unexplored topic can be challenging. Exploratory research can help you narrow down your topic and formulate a clear hypothesis and problem statement , as well as giving you the “lay of the land” on your topic.

Data collection using exploratory research is often divided into primary and secondary research methods, with data analysis following the same model.

Primary research

In primary research, your data is collected directly from primary sources : your participants. There is a variety of ways to collect primary data.

Some examples include:

  • Survey methodology: Sending a survey out to the student body asking them if they would eat vegan meals
  • Focus groups: Compiling groups of 8–10 students and discussing what they think of vegan options for dining hall food
  • Interviews: Interviewing students entering and exiting the dining hall, asking if they would eat vegan meals

Secondary research

In secondary research, your data is collected from preexisting primary research, such as experiments or surveys.

Some other examples include:

  • Case studies : Health of an all-vegan diet
  • Literature reviews : Preexisting research about students’ eating habits and how they have changed over time
  • Online polls, surveys, blog posts, or interviews; social media: Have other schools done something similar?

For some subjects, it’s possible to use large- n government data, such as the decennial census or yearly American Community Survey (ACS) open-source data.

How you proceed with your exploratory research design depends on the research method you choose to collect your data. In most cases, you will follow five steps.

We’ll walk you through the steps using the following example.

Therefore, you would like to focus on improving intelligibility instead of reducing the learner’s accent.

Step 1: Identify your problem

The first step in conducting exploratory research is identifying what the problem is and whether this type of research is the right avenue for you to pursue. Remember that exploratory research is most advantageous when you are investigating a previously unexplored problem.

Step 2: Hypothesize a solution

The next step is to come up with a solution to the problem you’re investigating. Formulate a hypothetical statement to guide your research.

Step 3. Design your methodology

Next, conceptualize your data collection and data analysis methods and write them up in a research design.

Step 4: Collect and analyze data

Next, you proceed with collecting and analyzing your data so you can determine whether your preliminary results are in line with your hypothesis.

In most types of research, you should formulate your hypotheses a priori and refrain from changing them due to the increased risk of Type I errors and data integrity issues. However, in exploratory research, you are allowed to change your hypothesis based on your findings, since you are exploring a previously unexplained phenomenon that could have many explanations.

Step 5: Avenues for future research

Decide if you would like to continue studying your topic. If so, it is likely that you will need to change to another type of research. As exploratory research is often qualitative in nature, you may need to conduct quantitative research with a larger sample size to achieve more generalizable results.

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exploratory case study is

It can be easy to confuse exploratory research with explanatory research. To understand the relationship, it can help to remember that exploratory research lays the groundwork for later explanatory research.

Exploratory research investigates research questions that have not been studied in depth. The preliminary results often lay the groundwork for future analysis.

Explanatory research questions tend to start with “why” or “how”, and the goal is to explain why or how a previously studied phenomenon takes place.

Exploratory vs explanatory research

Like any other research design , exploratory studies have their trade-offs: they provide a unique set of benefits but also come with downsides.

  • It can be very helpful in narrowing down a challenging or nebulous problem that has not been previously studied.
  • It can serve as a great guide for future research, whether your own or another researcher’s. With new and challenging research problems, adding to the body of research in the early stages can be very fulfilling.
  • It is very flexible, cost-effective, and open-ended. You are free to proceed however you think is best.

Disadvantages

  • It usually lacks conclusive results, and results can be biased or subjective due to a lack of preexisting knowledge on your topic.
  • It’s typically not externally valid and generalizable, and it suffers from many of the challenges of qualitative research .
  • Since you are not operating within an existing research paradigm, this type of research can be very labor-intensive.

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

Exploratory research is a methodology approach that explores research questions that have not previously been studied in depth. It is often used when the issue you’re studying is new, or the data collection process is challenging in some way.

Exploratory research aims to explore the main aspects of an under-researched problem, while explanatory research aims to explain the causes and consequences of a well-defined problem.

You can use exploratory research if you have a general idea or a specific question that you want to study but there is no preexisting knowledge or paradigm with which to study it.

Quantitative research deals with numbers and statistics, while qualitative research deals with words and meanings.

Quantitative methods allow you to systematically measure variables and test hypotheses . Qualitative methods allow you to explore concepts and experiences in more detail.

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Encyclopedia of Case Study Research

  • Edited by: Albert J. Mills , Gabrielle Durepos & Elden Wiebe
  • Publisher: SAGE Publications, Inc.
  • Publication year: 2010
  • Online pub date: December 27, 2012
  • Discipline: Anthropology
  • Methods: Case study research
  • DOI: https:// doi. org/10.4135/9781412957397
  • Print ISBN: 9781412956703
  • Online ISBN: 9781412957397
  • Buy the book icon link

Reader's guide

Entries a-z, subject index.

Case study research has a long history within the natural sciences, social sciences, and humanities, dating back to the early 1920's. At first it was a useful way for researchers to make valid inferences from events outside the laboratory in ways consistent with the rigorous practices of investigation inside the lab. Over time, case study approaches garnered interest in multiple disciplines as scholars studied phenomena in context. Despite widespread use, case study research has received little attention among the literature on research strategies.

The Encyclopedia of Case Study Research provides a compendium on the important methodological issues in conducting case study research and explores both the strengths and weaknesses of different paradigmatic approaches. These two volumes focus on the distinctive characteristics of case study research and its place within and alongside other research methodologies.

Key Features

Presents a definition of case study research that can be used in different fields of study; Describes case study as a research strategy rather than as a single tool for decision making and inquiry; Guides rather than dictates, readers understanding and applications of case study research; Includes a critical summary in each entry, which raises additional matters for reflection; Makes case study relevant to researchers at various stages of their careers, across philosophic divides, and throughout diverse disciplines

Academic Disciplines; Case Study Research Design; Conceptual Issues; Data Analysis; Data Collection; Methodological Approaches; Theoretical Traditions; Theory Development and Contributions

From Case Study Research

Types of Case Study Research

Front Matter

  • Editorial Board
  • List of Entries
  • Reader's Guide
  • About the Editors
  • Contributors
  • Introduction

Reader’s Guide

Back matter.

  • Selected Bibliography: Case Study Publications by Contributing Authors
  • Case Study Research in Anthropology
  • Before-and-After Case Study Design
  • Action-Based Data Collection
  • Activity Theory
  • Case Study and Theoretical Science
  • Analytic Generalization
  • ANTi-History
  • Case Study Research in Business and Management
  • Blended Research Design
  • Bayesian Inference and Boolean Logic
  • Analysis of Visual Data
  • Actor-Network Theory
  • Chicago School
  • Case Study as a Teaching Tool
  • Case Study Research in Business Ethics
  • Bounding the Case
  • Authenticity and Bad Faith
  • Anonymity and Confidentiality
  • Colonialism
  • Authenticity
  • Case Study in Creativity Research
  • Case Study Research in Education
  • Case Selection
  • Author Intentionality
  • Case-to-Case Synthesis
  • Anonymizing Data for Secondary Use
  • Autoethnography
  • Constructivism
  • Concatenated Theory
  • Case Study Research in Tourism
  • Case Study Research in Feminism
  • Causal Case Study: Explanatory Theories
  • Archival Records as Evidence
  • Base and Superstructure
  • Critical Realism
  • Conceptual Argument
  • Case Study With the Elderly
  • Case Study Research in Medicine
  • Case Within a Case
  • Contentious Issues in Case Study Research
  • Chronological Order
  • Audiovisual Recording
  • Case Study as a Methodological Approach
  • Critical Theory
  • Conceptual Model: Causal Model
  • Collective Case Study
  • Case Study Research in Political Science
  • Comparative Case Study
  • Cultural Sensitivity and Case Study
  • Coding: Axial Coding
  • Autobiography
  • Dialectical Materialism
  • Conceptual Model: Operationalization
  • Configurative-Ideographic Case Study
  • Case Study Research in Psychology
  • Critical Incident Case Study
  • Dissertation Proposal
  • Coding: Open Coding
  • Case Study Database
  • Class Analysis
  • Epistemology
  • Conceptual Model in a Qualitative Research Project
  • Critical Pedagogy and Digital Technology
  • Case Study Research in Public Policy
  • Cross-Sectional Design
  • Ecological Perspectives
  • Coding: Selective Coding
  • Case Study Protocol
  • Existentialism
  • Conceptual Model in a Quantitative Research Project
  • Diagnostic Case Study Research
  • Decision Making Under Uncertainty
  • Cognitive Biases
  • Case Study Surveys
  • Codifying Social Practices
  • Contribution, Theoretical
  • Explanatory Case Study
  • Deductive-Nomological Model of Explanation
  • Masculinity and Femininity
  • Cognitive Mapping
  • Consent, Obtaining Participant
  • Communicative Action
  • Formative Context
  • Credibility
  • Exploratory Case Study
  • Deviant Case Analysis
  • Objectivism
  • Communicative Framing Analysis
  • Contextualization
  • Community of Practice
  • Frame Analysis
  • Docile Bodies
  • Inductivism
  • Discursive Frame
  • Comparing the Case Study With Other Methodologies
  • Historical Materialism
  • Equifinality
  • Institutional Ethnography
  • Healthcare Practice Guidelines
  • Computer-Based Analysis of Qualitative Data: ATLAS.ti
  • Consciousness Raising
  • Interpretivism
  • Instrumental Case Study
  • Pedagogy and Case Study
  • Pluralism and Case Study
  • Computer-Based Analysis of Qualitative Data: CAITA (Computer-Assisted Interpretive Textual Analysis)
  • Data Resources
  • Contradiction
  • Liberal Feminism
  • Explanation Building
  • Intercultural Performance
  • Event-Driven Research
  • Computer-Based Analysis of Qualitative Data: Kwalitan
  • Depth of Data
  • Critical Discourse Analysis
  • Managerialism
  • Extension of Theory
  • Intrinsic Case Study
  • Exemplary Case Design
  • Power/Knowledge
  • Computer-Based Analysis of Qualitative Data: MAXQDA 2007
  • Diaries and Journals
  • Critical Sensemaking
  • Falsification
  • Limited-Depth Case Study
  • Extended Case Method
  • Computer-Based Analysis of Qualitative Data: NVIVO
  • Direct Observation as Evidence
  • North American Case Research Association
  • Functionalism
  • Multimedia Case Studies
  • Extreme Cases
  • Researcher as Research Tool
  • Concept Mapping
  • Discourse Analysis
  • Decentering Texts
  • Generalizability
  • Participatory Action Research
  • Congruence Analysis
  • Documentation as Evidence
  • Deconstruction
  • Paradigm Plurality in Case Study Research
  • Genericization
  • Participatory Case Study
  • Holistic Designs
  • Utilitarianism
  • Constant Causal Effects Assumption
  • Ethnostatistics
  • Dialogic Inquiry
  • Philosophy of Science
  • Indeterminacy
  • Content Analysis
  • Fiction Analysis
  • Discourse Ethics
  • Indexicality
  • Pracademics
  • Integrating Independent Case Studies
  • Conversation Analysis
  • Field Notes
  • Double Hermeneutic
  • Postcolonialism
  • Processual Case Research
  • Cross-Case Synthesis and Analysis
  • Postmodernism
  • Macrolevel Social Mechanisms
  • Program Evaluation and Case Study
  • Longitudinal Research
  • Going Native
  • Ethnographic Memoir
  • Postpositivism
  • Middle-Range Theory
  • Program-Logic Model
  • Mental Framework
  • Document Analysis
  • Informant Bias
  • Ethnography
  • Poststructuralism
  • Naturalistic Generalization
  • Prospective Case Study
  • Mixed Methods in Case Study Research
  • Factor Analysis
  • Ethnomethodology
  • Poststructuralist Feminism
  • Overdetermination
  • Real-Time Cases
  • Most Different Systems Design
  • Eurocentrism
  • Radical Empiricism
  • Plausibility
  • Retrospective Case Study
  • High-Quality Analysis
  • Iterative Nodes
  • Radical Feminism
  • Probabilistic Explanation
  • Re-Use of Qualitative Data
  • Multiple-Case Designs
  • Language and Cultural Barriers
  • Process Tracing
  • Single-Case Designs
  • Multi-Site Case Study
  • Interactive Methodology, Feminist
  • Multiple Sources of Evidence
  • Scientific Method
  • Spiral Case Study
  • Naturalistic Inquiry
  • Interpreting Results
  • Narrative Analysis
  • Front Stage and Back Stage
  • Scientific Realism
  • Reporting Case Study Research
  • Storyselling
  • Natural Science Model
  • Socialist Feminism
  • Rhetoric in Research Reporting
  • Number of Cases
  • Naturalistic Context
  • Symbolic Interactionism
  • Statistical Generalization
  • Outcome-Driven Research
  • Knowledge Production
  • Nonparticipant Observation
  • Governmentality
  • Substantive Theory
  • Paradigmatic Cases
  • Method of Agreement
  • Objectivity
  • Grounded Theory
  • Theory-Building With Cases
  • Method of Difference
  • Over-Rapport
  • Hermeneutics
  • Theory-Testing With Cases
  • Multicollinearity
  • Participant Observation
  • Underdetermination
  • Multidimensional Scaling
  • Imperialism
  • Polar Types
  • Institutional Theory, Old and New
  • Problem Formulation
  • Pattern Matching
  • Personality Tests
  • Intertextuality
  • Quantitative Single-Case Research Design
  • Re-Analysis of Previous Data
  • Isomorphism
  • Quasi-Experimental Design
  • Regulating Group Mind
  • Questionnaires
  • Langue and Parôle
  • Quick Start to Case Study Research
  • Relational Analysis
  • Reflexivity
  • Layered Nature of Texts
  • Random Assignment
  • Replication
  • Life History
  • Research Framework
  • Reliability
  • Logocentrism
  • Research Objectives
  • Rival Explanations
  • Repeated Observations
  • Management of Impressions
  • Research Proposals
  • Secondary Data as Primary
  • Researcher-Participant Relationship
  • Means of Production
  • Research Questions, Types of Retrospective Case Study
  • Serendipity Pattern
  • Situational Analysis
  • Sensitizing Concepts
  • Modes of Production
  • Standpoint Analysis
  • Subjectivism
  • Multimethod Research Program
  • Socially Distributed Knowledge
  • Statistical Analysis
  • Subject Rights
  • Multiple Selfing
  • Theoretical Saturation
  • Native Points of View
  • Statistics, Use of in Case Study
  • Temporal Bracketing
  • Triangulation
  • Negotiated Order
  • Textual Analysis
  • Use of Digital Data
  • Network Analysis
  • Thematic Analysis
  • Utilization
  • One-Dimensional Culture
  • Visual Research Methods
  • Ordinary Troubles
  • Theory, Role of
  • Organizational Culture
  • Webs of Significance
  • Within-Case Analysis
  • Performativity
  • Phenomenology
  • Practice-Oriented Research
  • Primitivism
  • Qualitative Analysis in Case Study
  • Qualitative Comparative Analysis
  • Self-Confrontation Method
  • Self-Presentation
  • Sensemaking
  • Signifier and Signified
  • Sign System
  • Social-Interaction Theory
  • Storytelling
  • Structuration
  • Symbolic Value
  • Symbolic Violence
  • Thick Description
  • Writing and Difference

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Research-Methodology

Case Studies

Case studies are a popular research method in business area. Case studies aim to analyze specific issues within the boundaries of a specific environment, situation or organization.

According to its design, case studies in business research can be divided into three categories: explanatory, descriptive and exploratory.

Explanatory case studies aim to answer ‘how’ or ’why’ questions with little control on behalf of researcher over occurrence of events. This type of case studies focus on phenomena within the contexts of real-life situations. Example: “An investigation into the reasons of the global financial and economic crisis of 2008 – 2010.”

Descriptive case studies aim to analyze the sequence of interpersonal events after a certain amount of time has passed. Studies in business research belonging to this category usually describe culture or sub-culture, and they attempt to discover the key phenomena. Example: “Impact of increasing levels of multiculturalism on marketing practices: A case study of McDonald’s Indonesia.”

Exploratory case studies aim to find answers to the questions of ‘what’ or ‘who’. Exploratory case study data collection method is often accompanied by additional data collection method(s) such as interviews, questionnaires, experiments etc. Example: “A study into differences of leadership practices between private and public sector organizations in Atlanta, USA.”

Advantages of case study method include data collection and analysis within the context of phenomenon, integration of qualitative and quantitative data in data analysis, and the ability to capture complexities of real-life situations so that the phenomenon can be studied in greater levels of depth. Case studies do have certain disadvantages that may include lack of rigor, challenges associated with data analysis and very little basis for generalizations of findings and conclusions.

Case Studies

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exploratory case study is

Home Market Research

Exploratory Research: Types & Characteristics

Exploratory-Research

Consider a scenario where a juice bar owner feels that increasing the variety of juices will enable an increase in customers. However, he is not sure and needs more information. The owner intends to conduct exploratory research to find out; hence, he decides to do exploratory research to find out if expanding their juices selection will enable him to get more customers or if there is a better idea.

Another example of exploratory research is a podcast survey template that can be used to collect feedback about the podcast consumption metrics both from existing listeners as well as other podcast listeners that are currently not subscribed to this channel. This helps the author of the podcast create curated content that will gain a larger audience. Let’s explore this topic.

LEARN ABOUT: Research Process Steps

Content Index

Exploratory research: Definition

Primary research methods, secondary research methods, exploratory research: steps to conduct a research, characteristics of exploratory research, advantages of exploratory research, disadvantages of exploratory research, importance of exploratory research.

Exploratory research is defined as a research used to investigate a problem which is not clearly defined. It is conducted to have a better understanding of the existing research problem , but will not provide conclusive results. For such a research, a researcher starts with a general idea and uses this research as a medium to identify issues, that can be the focus for future research. An important aspect here is that the researcher should be willing to change his/her direction subject to the revelation of new data or insight. Such a research is usually carried out when the problem is at a preliminary stage. It is often referred to as grounded theory approach or interpretive research as it used to answer questions like what, why and how.

Types and methodologies of Exploratory research

While it may sound difficult to research something that has very little information about it, there are several methods which can help a researcher figure out the best research design, data collection methods and choice of subjects. There are two ways in which research can be conducted namely primary and secondary.. Under these two types, there are multiple methods which can used by a researcher. The data gathered from these research can be qualitative or quantitative . Some of the most widely used research designs include the following:

LEARN ABOUT: Best Data Collection Tools

Primary research is information gathered directly from the subject.  It can be through a group of people or even an individual. Such a research can be carried out directly by the researcher himself or can employ a third party to conduct it on their behalf. Primary research is specifically carried out to explore a certain problem which requires an in-depth study.

  • Surveys/polls : Surveys /polls are used to gather information from a predefined group of respondents. It is one of the most important quantitative method. Various types of surveys  or polls can be used to explore opinions, trends, etc. With the advancement in technology, surveys can now be sent online and can be very easy to access. For instance, use of a survey app through tablets, laptops or even mobile phones. This information is also available to the researcher in real time as well. Nowadays, most organizations offer short length surveys and rewards to respondents, in order to achieve higher response rates.

LEARN ABOUT: Live polls for Classroom Experience

For example: A survey is sent to a given set of audience to understand their opinions about the size of mobile phones when they purchase one. Based on such information organization can dig deeper into the topic and make business related decision.

  • Interviews: While you may get a lot of information from public sources, but sometimes an in person interview can give in-depth information on the subject being studied. Such a research is a qualitative research method . An interview with a subject matter expert can give you meaningful insights that a generalized public source won’t be able to provide. Interviews are carried out in person or on telephone which have open-ended questions to get meaningful information about the topic.

For example: An interview with an employee can give you more insights to find out the degree of job satisfaction, or an interview with a subject matter expert of quantum theory can give you in-depth information on that topic.

  • Focus groups: Focus group is yet another widely used method in exploratory research. In such a method a group of people is chosen and are allowed to express their insights on the topic that is being studied. Although, it is important to make sure that while choosing the individuals in a focus group they should have a common background and have comparable experiences.

For example: A focus group helps a research identify the opinions of consumers if they were to buy a phone. Such a research can help the researcher understand what the consumer value while buying a phone. It may be screen size, brand value or even the dimensions. Based on which the organization can understand what are consumer buying attitudes, consumer opinions, etc.

  • Observations: Observational research can be qualitative observation or quantitative observation . Such a research is done to observe a person and draw the finding from their reaction to certain parameters. In such a research, there is no direct interaction with the subject.

For example: An FMCG company wants to know how it’s consumer react to the new shape of their product. The researcher observes the customers first reaction and collects the data, which is then used to draw inferences from the collective information.

LEARN ABOUT: Causal Research

Secondary research is gathering information from previously published primary research. In such a research you gather information from sources likes case studies, magazines, newspapers, books, etc.

  • Online research: In today’s world, this is one of the fastest way to gather information on any topic. A lot of data is readily available on the internet and the researcher can download it whenever he needs it. An important aspect to be noted for such a research is the genuineness and authenticity of the source websites that the researcher is gathering the information from.

For example: A researcher needs to find out what is the percentage of people that prefer a specific brand phone. The researcher just enters the information he needs in a search engine and gets multiple links with related information and statistics.

  • Literature research : Literature research is one of the most inexpensive method used for discovering a hypothesis. There is tremendous amount of information available in libraries, online sources, or even commercial databases. Sources can include newspapers, magazines, books from library, documents from government agencies, specific topic related articles, literature, Annual reports, published statistics from research organizations and so on.

However, a few things have to be kept in mind while researching from these sources. Government agencies have authentic information but sometimes may come with a nominal cost. Also, research from educational institutions is generally overlooked, but in fact educational institutions carry out more number of research than any other entities.

Furthermore, commercial sources provide information on major topics like political agendas, demographics, financial information, market trends and information, etc.

For example: A company has low sales. It can be easily explored from available statistics and market literature if the problem is market related or organization related or if the topic being studied is regarding financial situation of the country, then research data can be accessed through government documents or commercial sources.

  • Case study research: Case study research can help a researcher with finding more information through carefully analyzing existing cases which have gone through a similar problem. Such exploratory data analysis are very important and critical especially in today’s business world. The researcher just needs to make sure he analyses the case carefully in regards to all the variables present in the previous case against his own case. It is very commonly used by business organizations or social sciences sector or even in the health sector.

LEARN ABOUT: Level of Analysis

For example: A particular orthopedic surgeon has the highest success rate for performing knee surgeries. A lot of other hospitals or doctors have taken up this case to understand and benchmark the method in which this surgeon does the procedure to increase their success rate.

  • Identify the problem : A researcher identifies the subject of research and the problem is addressed by carrying out multiple methods to answer the questions.
  • Create the hypothesis : When the researcher has found out that there are no prior studies and the problem is not precisely resolved, the researcher will create a hypothesis based on the questions obtained while identifying the problem.
  • Further research : Once the data has been obtained, the researcher will continue his study through descriptive investigation. Qualitative methods are used to further study the subject in detail and find out if the information is true or not.

LEARN ABOUT: Descriptive Analysis

  • They are not structured studies
  • It is usually low cost, interactive and open ended.
  • It will enable a researcher answer questions like what is the problem? What is the purpose of the study? And what topics could be studied?
  • To carry out exploratory research, generally there is no prior research done or the existing ones do not answer the problem precisely enough.
  • It is a time consuming research and it needs patience and has risks associated with it.
  • The researcher will have to go through all the information available for the particular study he is doing.
  • There are no set of rules to carry out the research per se, as they are flexible, broad and scattered.
  • The research needs to have importance or value. If the problem is not important in the industry the research carried out is ineffective.
  • The research should also have a few theories which can support its findings as that will make it easier for the researcher to assess it and move ahead in his study
  • Such a research usually produces qualitative data , however in certain cases quantitative data can be generalized for a larger sample through use of surveys and experiments.

LEARN ABOUT: Action Research

  • The researcher has a lot of flexibility and can adapt to changes as the research progresses.
  • It is usually low cost.
  • It helps lay the foundation of a research, which can lead to further research.
  • It enables the researcher understand at an early stage, if the topic is worth investing the time and resources  and if it is worth pursuing.
  • It can assist other researchers to find out possible causes for the problem, which can be further studied in detail to find out, which of them is the most likely cause for the problem.
  • Even though it can point you in the right direction towards what is the answer, it is usually inconclusive.
  • The main disadvantage of exploratory research is that they provide qualitative data. Interpretation of such information can be judgmental and biased.
  • Most of the times, exploratory research involves a smaller sample , hence the results cannot be accurately interpreted for a generalized population.
  • Many a times, if the data is being collected through secondary research, then there is a chance of that data being old and is not updated.

LEARN ABOUT: Projective Techniques & Conformity Bias

Exploratory research is carried out when a topic needs to be understood in depth, especially if it hasn’t been done before. The goal of such a research is to explore the problem and around it and not actually derive a conclusion from it. Such kind of research will enable a researcher to  set a strong foundation for exploring his ideas, choosing the right research design and finding variables that actually are important for the in-depth analysis . Most importantly, such a research can help organizations or researchers save up a lot of time and resources, as it will enable the researcher to know if it worth pursuing.

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Principles of Social Research Methodology pp 313–321 Cite as

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This chapter reviews the strengths and limitations of case study as a research method in social sciences. It provides an account of an evidence base to justify why a case study is best suitable for some research questions and why not for some other research questions. Case study designing around the research context, defining the structure and modality, conducting the study, collecting the data through triangulation mode, analysing the data, and interpreting the data and theory building at the end give a holistic view of it. In addition, the chapter also focuses on the types of case study and when and where to use case study as a research method in social science research.

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Continuing to enhance the quality of case study methodology in health services research

Shannon l. sibbald.

1 Faculty of Health Sciences, Western University, London, Ontario, Canada.

2 Department of Family Medicine, Schulich School of Medicine and Dentistry, Western University, London, Ontario, Canada.

3 The Schulich Interfaculty Program in Public Health, Schulich School of Medicine and Dentistry, Western University, London, Ontario, Canada.

Stefan Paciocco

Meghan fournie, rachelle van asseldonk, tiffany scurr.

Case study methodology has grown in popularity within Health Services Research (HSR). However, its use and merit as a methodology are frequently criticized due to its flexible approach and inconsistent application. Nevertheless, case study methodology is well suited to HSR because it can track and examine complex relationships, contexts, and systems as they evolve. Applied appropriately, it can help generate information on how multiple forms of knowledge come together to inform decision-making within healthcare contexts. In this article, we aim to demystify case study methodology by outlining its philosophical underpinnings and three foundational approaches. We provide literature-based guidance to decision-makers, policy-makers, and health leaders on how to engage in and critically appraise case study design. We advocate that researchers work in collaboration with health leaders to detail their research process with an aim of strengthening the validity and integrity of case study for its continued and advanced use in HSR.

Introduction

The popularity of case study research methodology in Health Services Research (HSR) has grown over the past 40 years. 1 This may be attributed to a shift towards the use of implementation research and a newfound appreciation of contextual factors affecting the uptake of evidence-based interventions within diverse settings. 2 Incorporating context-specific information on the delivery and implementation of programs can increase the likelihood of success. 3 , 4 Case study methodology is particularly well suited for implementation research in health services because it can provide insight into the nuances of diverse contexts. 5 , 6 In 1999, Yin 7 published a paper on how to enhance the quality of case study in HSR, which was foundational for the emergence of case study in this field. Yin 7 maintains case study is an appropriate methodology in HSR because health systems are constantly evolving, and the multiple affiliations and diverse motivations are difficult to track and understand with traditional linear methodologies.

Despite its increased popularity, there is debate whether a case study is a methodology (ie, a principle or process that guides research) or a method (ie, a tool to answer research questions). Some criticize case study for its high level of flexibility, perceiving it as less rigorous, and maintain that it generates inadequate results. 8 Others have noted issues with quality and consistency in how case studies are conducted and reported. 9 Reporting is often varied and inconsistent, using a mix of approaches such as case reports, case findings, and/or case study. Authors sometimes use incongruent methods of data collection and analysis or use the case study as a default when other methodologies do not fit. 9 , 10 Despite these criticisms, case study methodology is becoming more common as a viable approach for HSR. 11 An abundance of articles and textbooks are available to guide researchers through case study research, including field-specific resources for business, 12 , 13 nursing, 14 and family medicine. 15 However, there remains confusion and a lack of clarity on the key tenets of case study methodology.

Several common philosophical underpinnings have contributed to the development of case study research 1 which has led to different approaches to planning, data collection, and analysis. This presents challenges in assessing quality and rigour for researchers conducting case studies and stakeholders reading results.

This article discusses the various approaches and philosophical underpinnings to case study methodology. Our goal is to explain it in a way that provides guidance for decision-makers, policy-makers, and health leaders on how to understand, critically appraise, and engage in case study research and design, as such guidance is largely absent in the literature. This article is by no means exhaustive or authoritative. Instead, we aim to provide guidance and encourage dialogue around case study methodology, facilitating critical thinking around the variety of approaches and ways quality and rigour can be bolstered for its use within HSR.

Purpose of case study methodology

Case study methodology is often used to develop an in-depth, holistic understanding of a specific phenomenon within a specified context. 11 It focuses on studying one or multiple cases over time and uses an in-depth analysis of multiple information sources. 16 , 17 It is ideal for situations including, but not limited to, exploring under-researched and real-life phenomena, 18 especially when the contexts are complex and the researcher has little control over the phenomena. 19 , 20 Case studies can be useful when researchers want to understand how interventions are implemented in different contexts, and how context shapes the phenomenon of interest.

In addition to demonstrating coherency with the type of questions case study is suited to answer, there are four key tenets to case study methodologies: (1) be transparent in the paradigmatic and theoretical perspectives influencing study design; (2) clearly define the case and phenomenon of interest; (3) clearly define and justify the type of case study design; and (4) use multiple data collection sources and analysis methods to present the findings in ways that are consistent with the methodology and the study’s paradigmatic base. 9 , 16 The goal is to appropriately match the methods to empirical questions and issues and not to universally advocate any single approach for all problems. 21

Approaches to case study methodology

Three authors propose distinct foundational approaches to case study methodology positioned within different paradigms: Yin, 19 , 22 Stake, 5 , 23 and Merriam 24 , 25 ( Table 1 ). Yin is strongly post-positivist whereas Stake and Merriam are grounded in a constructivist paradigm. Researchers should locate their research within a paradigm that explains the philosophies guiding their research 26 and adhere to the underlying paradigmatic assumptions and key tenets of the appropriate author’s methodology. This will enhance the consistency and coherency of the methods and findings. However, researchers often do not report their paradigmatic position, nor do they adhere to one approach. 9 Although deliberately blending methodologies may be defensible and methodologically appropriate, more often it is done in an ad hoc and haphazard way, without consideration for limitations.

Cross-analysis of three case study approaches, adapted from Yazan 2015

The post-positive paradigm postulates there is one reality that can be objectively described and understood by “bracketing” oneself from the research to remove prejudice or bias. 27 Yin focuses on general explanation and prediction, emphasizing the formulation of propositions, akin to hypothesis testing. This approach is best suited for structured and objective data collection 9 , 11 and is often used for mixed-method studies.

Constructivism assumes that the phenomenon of interest is constructed and influenced by local contexts, including the interaction between researchers, individuals, and their environment. 27 It acknowledges multiple interpretations of reality 24 constructed within the context by the researcher and participants which are unlikely to be replicated, should either change. 5 , 20 Stake and Merriam’s constructivist approaches emphasize a story-like rendering of a problem and an iterative process of constructing the case study. 7 This stance values researcher reflexivity and transparency, 28 acknowledging how researchers’ experiences and disciplinary lenses influence their assumptions and beliefs about the nature of the phenomenon and development of the findings.

Defining a case

A key tenet of case study methodology often underemphasized in literature is the importance of defining the case and phenomenon. Researches should clearly describe the case with sufficient detail to allow readers to fully understand the setting and context and determine applicability. Trying to answer a question that is too broad often leads to an unclear definition of the case and phenomenon. 20 Cases should therefore be bound by time and place to ensure rigor and feasibility. 6

Yin 22 defines a case as “a contemporary phenomenon within its real-life context,” (p13) which may contain a single unit of analysis, including individuals, programs, corporations, or clinics 29 (holistic), or be broken into sub-units of analysis, such as projects, meetings, roles, or locations within the case (embedded). 30 Merriam 24 and Stake 5 similarly define a case as a single unit studied within a bounded system. Stake 5 , 23 suggests bounding cases by contexts and experiences where the phenomenon of interest can be a program, process, or experience. However, the line between the case and phenomenon can become muddy. For guidance, Stake 5 , 23 describes the case as the noun or entity and the phenomenon of interest as the verb, functioning, or activity of the case.

Designing the case study approach

Yin’s approach to a case study is rooted in a formal proposition or theory which guides the case and is used to test the outcome. 1 Stake 5 advocates for a flexible design and explicitly states that data collection and analysis may commence at any point. Merriam’s 24 approach blends both Yin and Stake’s, allowing the necessary flexibility in data collection and analysis to meet the needs.

Yin 30 proposed three types of case study approaches—descriptive, explanatory, and exploratory. Each can be designed around single or multiple cases, creating six basic case study methodologies. Descriptive studies provide a rich description of the phenomenon within its context, which can be helpful in developing theories. To test a theory or determine cause and effect relationships, researchers can use an explanatory design. An exploratory model is typically used in the pilot-test phase to develop propositions (eg, Sibbald et al. 31 used this approach to explore interprofessional network complexity). Despite having distinct characteristics, the boundaries between case study types are flexible with significant overlap. 30 Each has five key components: (1) research question; (2) proposition; (3) unit of analysis; (4) logical linking that connects the theory with proposition; and (5) criteria for analyzing findings.

Contrary to Yin, Stake 5 believes the research process cannot be planned in its entirety because research evolves as it is performed. Consequently, researchers can adjust the design of their methods even after data collection has begun. Stake 5 classifies case studies into three categories: intrinsic, instrumental, and collective/multiple. Intrinsic case studies focus on gaining a better understanding of the case. These are often undertaken when the researcher has an interest in a specific case. Instrumental case study is used when the case itself is not of the utmost importance, and the issue or phenomenon (ie, the research question) being explored becomes the focus instead (eg, Paciocco 32 used an instrumental case study to evaluate the implementation of a chronic disease management program). 5 Collective designs are rooted in an instrumental case study and include multiple cases to gain an in-depth understanding of the complexity and particularity of a phenomenon across diverse contexts. 5 , 23 In collective designs, studying similarities and differences between the cases allows the phenomenon to be understood more intimately (for examples of this in the field, see van Zelm et al. 33 and Burrows et al. 34 In addition, Sibbald et al. 35 present an example where a cross-case analysis method is used to compare instrumental cases).

Merriam’s approach is flexible (similar to Stake) as well as stepwise and linear (similar to Yin). She advocates for conducting a literature review before designing the study to better understand the theoretical underpinnings. 24 , 25 Unlike Stake or Yin, Merriam proposes a step-by-step guide for researchers to design a case study. These steps include performing a literature review, creating a theoretical framework, identifying the problem, creating and refining the research question(s), and selecting a study sample that fits the question(s). 24 , 25 , 36

Data collection and analysis

Using multiple data collection methods is a key characteristic of all case study methodology; it enhances the credibility of the findings by allowing different facets and views of the phenomenon to be explored. 23 Common methods include interviews, focus groups, observation, and document analysis. 5 , 37 By seeking patterns within and across data sources, a thick description of the case can be generated to support a greater understanding and interpretation of the whole phenomenon. 5 , 17 , 20 , 23 This technique is called triangulation and is used to explore cases with greater accuracy. 5 Although Stake 5 maintains case study is most often used in qualitative research, Yin 17 supports a mix of both quantitative and qualitative methods to triangulate data. This deliberate convergence of data sources (or mixed methods) allows researchers to find greater depth in their analysis and develop converging lines of inquiry. For example, case studies evaluating interventions commonly use qualitative interviews to describe the implementation process, barriers, and facilitators paired with a quantitative survey of comparative outcomes and effectiveness. 33 , 38 , 39

Yin 30 describes analysis as dependent on the chosen approach, whether it be (1) deductive and rely on theoretical propositions; (2) inductive and analyze data from the “ground up”; (3) organized to create a case description; or (4) used to examine plausible rival explanations. According to Yin’s 40 approach to descriptive case studies, carefully considering theory development is an important part of study design. “Theory” refers to field-relevant propositions, commonly agreed upon assumptions, or fully developed theories. 40 Stake 5 advocates for using the researcher’s intuition and impression to guide analysis through a categorical aggregation and direct interpretation. Merriam 24 uses six different methods to guide the “process of making meaning” (p178) : (1) ethnographic analysis; (2) narrative analysis; (3) phenomenological analysis; (4) constant comparative method; (5) content analysis; and (6) analytic induction.

Drawing upon a theoretical or conceptual framework to inform analysis improves the quality of case study and avoids the risk of description without meaning. 18 Using Stake’s 5 approach, researchers rely on protocols and previous knowledge to help make sense of new ideas; theory can guide the research and assist researchers in understanding how new information fits into existing knowledge.

Practical applications of case study research

Columbia University has recently demonstrated how case studies can help train future health leaders. 41 Case studies encompass components of systems thinking—considering connections and interactions between components of a system, alongside the implications and consequences of those relationships—to equip health leaders with tools to tackle global health issues. 41 Greenwood 42 evaluated Indigenous peoples’ relationship with the healthcare system in British Columbia and used a case study to challenge and educate health leaders across the country to enhance culturally sensitive health service environments.

An important but often omitted step in case study research is an assessment of quality and rigour. We recommend using a framework or set of criteria to assess the rigour of the qualitative research. Suitable resources include Caelli et al., 43 Houghten et al., 44 Ravenek and Rudman, 45 and Tracy. 46

New directions in case study

Although “pragmatic” case studies (ie, utilizing practical and applicable methods) have existed within psychotherapy for some time, 47 , 48 only recently has the applicability of pragmatism as an underlying paradigmatic perspective been considered in HSR. 49 This is marked by uptake of pragmatism in Randomized Control Trials, recognizing that “gold standard” testing conditions do not reflect the reality of clinical settings 50 , 51 nor do a handful of epistemologically guided methodologies suit every research inquiry.

Pragmatism positions the research question as the basis for methodological choices, rather than a theory or epistemology, allowing researchers to pursue the most practical approach to understanding a problem or discovering an actionable solution. 52 Mixed methods are commonly used to create a deeper understanding of the case through converging qualitative and quantitative data. 52 Pragmatic case study is suited to HSR because its flexibility throughout the research process accommodates complexity, ever-changing systems, and disruptions to research plans. 49 , 50 Much like case study, pragmatism has been criticized for its flexibility and use when other approaches are seemingly ill-fit. 53 , 54 Similarly, authors argue that this results from a lack of investigation and proper application rather than a reflection of validity, legitimizing the need for more exploration and conversation among researchers and practitioners. 55

Although occasionally misunderstood as a less rigourous research methodology, 8 case study research is highly flexible and allows for contextual nuances. 5 , 6 Its use is valuable when the researcher desires a thorough understanding of a phenomenon or case bound by context. 11 If needed, multiple similar cases can be studied simultaneously, or one case within another. 16 , 17 There are currently three main approaches to case study, 5 , 17 , 24 each with their own definitions of a case, ontological and epistemological paradigms, methodologies, and data collection and analysis procedures. 37

Individuals’ experiences within health systems are influenced heavily by contextual factors, participant experience, and intricate relationships between different organizations and actors. 55 Case study research is well suited for HSR because it can track and examine these complex relationships and systems as they evolve over time. 6 , 7 It is important that researchers and health leaders using this methodology understand its key tenets and how to conduct a proper case study. Although there are many examples of case study in action, they are often under-reported and, when reported, not rigorously conducted. 9 Thus, decision-makers and health leaders should use these examples with caution. The proper reporting of case studies is necessary to bolster their credibility in HSR literature and provide readers sufficient information to critically assess the methodology. We also call on health leaders who frequently use case studies 56 – 58 to report them in the primary research literature.

The purpose of this article is to advocate for the continued and advanced use of case study in HSR and to provide literature-based guidance for decision-makers, policy-makers, and health leaders on how to engage in, read, and interpret findings from case study research. As health systems progress and evolve, the application of case study research will continue to increase as researchers and health leaders aim to capture the inherent complexities, nuances, and contextual factors. 7

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Types of Case Studies

There are several different types of case studies, as well as several types of subjects of case studies. We will investigate each type in this article.

Different Types of Case Studies

There are several types of case studies, each differing from each other based on the hypothesis and/or thesis to be proved. It is also possible for types of case studies to overlap each other.

Each of the following types of cases can be used in any field or discipline. Whether it is psychology, business or the arts, the type of case study can apply to any field.

Explanatory

The explanatory case study focuses on an explanation for a question or a phenomenon. Basically put, an explanatory case study is 1 + 1 = 2. The results are not up for interpretation.

A case study with a person or group would not be explanatory, as with humans, there will always be variables. There are always small variances that cannot be explained.

However, event case studies can be explanatory. For example, let's say a certain automobile has a series of crashes that are caused by faulty brakes. All of the crashes are a result of brakes not being effective on icy roads.

What kind of case study is explanatory? Think of an example of an explanatory case study that could be done today

When developing the case study, the researcher will explain the crash, and the detailed causes of the brake failure. They will investigate what actions caused the brakes to fail, and what actions could have been taken to prevent the failure.

Other car companies could then use this case study to better understand what makes brakes fail. When designing safer products, looking to past failures is an excellent way to ensure similar mistakes are not made.

The same can be said for other safety issues in cars. There was a time when cars did not have seatbelts. The process to get seatbelts required in all cars started with a case study! The same can be said about airbags and collapsible steering columns. They all began with a case study that lead to larger research, and eventual change.

Exploratory

An exploratory case study is usually the precursor to a formal, large-scale research project. The case study's goal is to prove that further investigation is necessary.

For example, an exploratory case study could be done on veterans coming home from active combat. Researchers are aware that these vets have PTSD, and are aware that the actions of war are what cause PTSD. Beyond that, they do not know if certain wartime activities are more likely to contribute to PTSD than others.

For an exploratory case study, the researcher could develop a study that certain war events are more likely to cause PTSD. Once that is demonstrated, a large-scale research project could be done to determine which events are most likely to cause PTSD.

Exploratory case studies are very popular in psychology and the social sciences. Psychologists are always looking for better ways to treat their patients, and exploratory studies allow them to research new ideas or theories.

Multiple-Case Studies or Collective Studies

Multiple case or collective studies use information from different studies to formulate the case for a new study. The use of past studies allows additional information without needing to spend more time and money on additional studies.

Using the PTSD issue again is an excellent example of a collective study. When studying what contributes most to wartime PTSD, a researcher could use case studies from different war. For instance, studies about PTSD in WW2 vets, Persian Gulf War vets, and Vietnam vets could provide an excellent sampling of which wartime activities are most likely to cause PTSD.

If a multiple case study on vets was done with vets from the Vietnam War, the Persian Gulf War, and the Iraq War, and it was determined the vets from Vietnam had much less PTSD, what could be inferred?

Furthermore, this type of study could uncover differences as well. For example, a researcher might find that veterans who serve in the Middle East are more likely to suffer a certain type of ailment. Or perhaps, that veterans who served with large platoons were more likely to suffer from PTSD than veterans who served in smaller platoons.

An intrinsic case study is the study of a case wherein the subject itself is the primary interest. The "Genie" case is an example of this. The study wasn't so much about psychology, but about Genie herself, and how her experiences shaped who she was.

Genie is the topic. Genie is what the researchers are interested in, and what their readers will be most interested in. When the researchers started the study, they didn't know what they would find.

They asked the question…"If a child is never introduced to language during the crucial first years of life, can they acquire language skills when they are older?" When they met Genie, they didn't know the answer to that question.

Instrumental

An instrumental case study uses a case to gain insights into a phenomenon. For example, a researcher interested in child obesity rates might set up a study with middle school students and an exercise program. In this case, the children and the exercise program are not the focus. The focus is learning the relationship between children and exercise, and why certain children become obese.

What is an example of an instrumental case study?

Focus on the results, not the topic!

Types of Subjects of Case Studies

There are generally five different types of case studies, and the subjects that they address. Every case study, whether explanatory or exploratory, or intrinsic or instrumental, fits into one of these five groups. These are:

Person – This type of study focuses on one particular individual. This case study would use several types of research to determine an outcome.

The best example of a person case is the "Genie" case study. Again, "Genie" was a 13-year-old girl who was discovered by social services in Los Angeles in 1970. Her father believed her to be mentally retarded, and therefore locked her in a room without any kind of stimulation. She was never nourished or cared for in any way. If she made a noise, she was beaten.

When "Genie" was discovered, child development specialists wanted to learn as much as possible about how her experiences contributed to her physical, emotional and mental health. They also wanted to learn about her language skills. She had no form of language when she was found, she only grunted. The study would determine whether or not she could learn language skills at the age of 13.

Since Genie was placed in a children's hospital, many different clinicians could observe her. In addition, researchers were able to interview the few people who did have contact with Genie and would be able to gather whatever background information was available.

This case study is still one of the most valuable in all of child development. Since it would be impossible to conduct this type of research with a healthy child, the information garnered from Genie's case is invaluable.

Group – This type of study focuses on a group of people. This could be a family, a group or friends, or even coworkers.

An example of this type of case study would be the uncontacted tribes of Indians in the Peruvian and Brazilian rainforest. These tribes have never had any modern contact. Therefore, there is a great interest to study them.

Scientists would be interested in just about every facet of their lives. How do they cook, how do they make clothing, how do they make tools and weapons. Also, doing psychological and emotional research would be interesting. However, because so few of these tribes exist, no one is contacting them for research. For now, all research is done observationally.

If a researcher wanted to study uncontacted Indian tribes, and could only observe the subjects, what type of observations should be made?

Location – This type of study focuses on a place, and how and why people use the place.

For example, many case studies have been done about Siberia, and the people who live there. Siberia is a cold and barren place in northern Russia, and it is considered the most difficult place to live in the world. Studying the location, and it's weather and people can help other people learn how to live with extreme weather and isolation.

Location studies can also be done on locations that are facing some kind of change. For example, a case study could be done on Alaska, and whether the state is seeing the effects of climate change.

Another type of study that could be done in Alaska is how the environment changes as population increases. Geographers and those interested in population growth often do these case studies.

Organization/Company – This type of study focuses on a business or an organization. This could include the people who work for the company, or an event that occurred at the organization.

An excellent example of this type of case study is Enron. Enron was one of the largest energy company's in the United States, when it was discovered that executives at the company were fraudulently reporting the company's accounting numbers.

Once the fraud was uncovered, investigators discovered willful and systematic corruption that caused the collapse of Enron, as well as their financial auditors, Arthur Andersen. The fraud was so severe that the top executives of the company were sentenced to prison.

This type of case study is used by accountants, auditors, financiers, as well as business students, in order to learn how such a large company could get away with committing such a serious case of corporate fraud for as long as they did. It can also be looked at from a psychological standpoint, as it is interesting to learn why the executives took the large risks that they took.

Most company or organization case studies are done for business purposes. In fact, in many business schools, such as Harvard Business School, students learn by the case method, which is the study of case studies. They learn how to solve business problems by studying the cases of businesses that either survived the same problem, or one that didn't survive the problem.

Event – This type of study focuses on an event, whether cultural or societal, and how it affects those that are affected by it. An example would be the Tylenol cyanide scandal. This event affected Johnson & Johnson, the parent company, as well as the public at large.

The case study would detail the events of the scandal, and more specifically, what management at Johnson & Johnson did to correct the problem. To this day, when a company experiences a large public relations scandal, they look to the Tylenol case study to learn how they managed to survive the scandal.

A very popular topic for case studies was the events of September 11 th . There were studies in almost all of the different types of research studies.

Obviously the event itself was a very popular topic. It was important to learn what lead up to the event, and how best to proven it from happening in the future. These studies are not only important to the U.S. government, but to other governments hoping to prevent terrorism in their countries.

Planning A Case Study

You have decided that you want to research and write a case study. Now what? In this section you will learn how to plan and organize a research case study.

Selecting a Case

The first step is to choose the subject, topic or case. You will want to choose a topic that is interesting to you, and a topic that would be of interest to your potential audience. Ideally you have a passion for the topic, as then you will better understand the issues surrounding the topic, and which resources would be most successful in the study.

You also must choose a topic that would be of interest to a large number of people. You want your case study to reach as large an audience as possible, and a topic that is of interest to just a few people will not have a very large reach. One of the goals of a case study is to reach as many people as possible.

Who is your audience?

Are you trying to reach the layperson? Or are you trying to reach other professionals in your field? Your audience will help determine the topic you choose.

If you are writing a case study that is looking for ways to lower rates of child obesity, who is your audience?

If you are writing a psychology case study, you must consider whether your audience will have the intellectual skills to understand the information in the case. Does your audience know the vocabulary of psychology? Do they understand the processes and structure of the field?

You want your audience to have as much general knowledge as possible. When it comes time to write the case study, you may have to spend some time defining and explaining terms that might be unfamiliar to the audience.

Lastly, when selecting a topic you do not want to choose a topic that is very old. Current topics are always the most interesting, so if your topic is more than 5-10 years old, you might want to consider a newer topic. If you choose an older topic, you must ask yourself what new and valuable information do you bring to the older topic, and is it relevant and necessary.

Determine Research Goals

What type of case study do you plan to do?

An illustrative case study will examine an unfamiliar case in order to help others understand it. For example, a case study of a veteran with PTSD can be used to help new therapists better understand what veterans experience.

An exploratory case study is a preliminary project that will be the precursor to a larger study in the future. For example, a case study could be done challenging the efficacy of different therapy methods for vets with PTSD. Once the study is complete, a larger study could be done on whichever method was most effective.

A critical instance case focuses on a unique case that doesn't have a predetermined purpose. For example, a vet with an incredibly severe case of PTSD could be studied to find ways to treat his condition.

Ethics are a large part of the case study process, and most case studies require ethical approval. This approval usually comes from the institution or department the researcher works for. Many universities and research institutions have ethics oversight departments. They will require you to prove that you will not harm your study subjects or participants.

This should be done even if the case study is on an older subject. Sometimes publishing new studies can cause harm to the original participants. Regardless of your personal feelings, it is essential the project is brought to the ethics department to ensure your project can proceed safely.

Developing the Case Study

Once you have your topic, it is time to start planning and developing the study. This process will be different depending on what type of case study you are planning to do. For thissection, we will assume a psychological case study, as most case studies are based on the psychological model.

Once you have the topic, it is time to ask yourself some questions. What question do you want to answer with the study?

For example, a researcher is considering a case study about PTSD in veterans. The topic is PTSD in veterans. What questions could be asked?

Do veterans from Middle Eastern wars suffer greater instances of PTSD?

Do younger soldiers have higher instances of PTSD?

Does the length of the tour effect the severity of PTSD?

Each of these questions is a viable question, and finding the answers, or the possible answers, would be helpful for both psychologists and veterans who suffer from PTSD.

Research Notebook

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

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

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

4. What tools are required to analyze the problem? Is data analysis necessary?

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

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

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

The research notebook is the heart of the study. Other organizational methods can be utilized, such as Microsoft Excel, but a physical notebook should always be kept as well.

Planning the Research

The most important parts of the case study are:

1. The case study's questions

2. The study's propositions

3. How information and data will be analyzed

4. The logic behind the propositions

5. How the findings will be interpreted

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

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

How the information will be analyzed will depend on what the topic is. This would vary depending on whether it was a person, group, or organization.

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

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

2. Procedures for gathering information and conducting interviews.

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

4. A guide for the final case study report.

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

1. Documents and archival records

2. Interviews

3. Direct observations

4. Indirect observations, or observations of subjects

5. Physical artifacts and tools

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

Archival records can include military and service records, company or business records, survey data or census information.

Research Strategy

Before beginning the study you want a clear research strategy. Your best chance at success will be if you use an outline that describes how you will gather your data and how you will answer your research questions.

The researcher should create a list with four or five bullet points that need answers. Consider the approaches for these questions, and the different perspectives you could take.

The researcher should then choose at least two data sources (ideally more). These sources could include interviews, Internet research, and fieldwork or report collection. The more data sources used, the better the quality of the final data.

The researcher then must formulate interview questions that will result in detailed and in-depth answers that will help meet the research goals. A list of 15-20 questions is a good start, but these can and will change as the process flows.

Planning Interviews

The interview process is one of the most important parts of the case study process. But before this can begin, it is imperative the researcher gets informed consent from the subjects.

The process of informed consent means the subject understands their role in the study, and that their story will be used in the case study. You will want to have each subject complete a consent form.

The researcher must explain what the study is trying to achieve, and how their contribution will help the study. If necessary, assure the subject that their information will remain private if requested, and they do not need to use their real name if they are not comfortable with that. Pseudonyms are commonly used in case studies.

Informed Consent

The process by which permission is granted before beginning medical or psychological research

A fictitious name used to hide ones identity

It is important the researcher is clear regarding the expectations of the study participation. For example, are they comfortable on camera? Do they mind if their photo is used in the final written study.

Interviews are one of the most important sources of information for case studies. There are several types of interviews. They are:

Open-ended – This type of interview has the interviewer and subject talking to each other about the subject. The interviewer asks questions, and the subject answers them. But the subject can elaborate and add information whenever they see fit.

A researcher might meet with a subject multiple times, and use the open-ended method. This can be a great way to gain insight into events. However, the researcher mustn't rely solely on the information from the one subject, and be sure to have multiple sources.

Focused – This type of interview is used when the subject is interviewed for a short period of time, and answers a set of questions. This type of interview could be used to verify information learned in an open-ended interview with another subject. Focused interviews are normally done to confirm information, not to gain new information.

Structured – Structured interviews are similar to surveys. These are usually used when collecting data for large groups, like neighborhoods. The questions are decided before hand, and the expected answers are usually simple.

When conducting interviews, the answers are obviously important. But just as important are the observations that can be made. This is one of the reasons in-person interviews are preferable over phone interviews, or Internet or mail surveys.

Ideally, when conducing in-person interviews, more than one researcher should be present. This allows one researcher to focus on observing while the other is interviewing. This is particularly important when interviewing large groups of people.

The researcher must understand going into the case study that the information gained from the interviews might not be valuable. It is possible that once the interviews are completed, the information gained is not relevant.

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A Quick Guide to Case Study with Examples

Published by Alvin Nicolas at August 14th, 2021 , Revised On August 29, 2023

A case study is a documented history and detailed analysis of a situation concerning organisations, industries, and markets.

A case study:

  • Focuses on discovering new facts of the situation under observation.
  • Includes data collection from multiple sources over time.
  • Widely used in social sciences to study the underlying information, organisation, community, or event.
  • It does not provide any solution to the problem .

When to Use Case Study? 

You can use a case study in your research when:

  • The focus of your study is to find answers to how and why questions .
  • You don’t have enough time to conduct extensive research; case studies are convenient for completing your project successfully.
  • You want to analyse real-world problems in-depth, then you can use the method of the case study.

You can consider a single case to gain in-depth knowledge about the subject, or you can choose multiple cases to know about various aspects of your  research problem .

What are the Aims of the Case Study?

  • The case study aims at identifying weak areas that can be improved.
  • This method is often used for idiographic research (focuses on individual cases or events).
  • Another aim of the case study is nomothetic research (aims to discover new theories through data analysis of multiple cases).

Types of Case Studies

There are different types of case studies that can be categorised based on the purpose of the investigation.

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How to Conduct a Case Study?

  • Select the Case to Investigate
  • Formulate the Research Question
  • Review of Literature
  • Choose the Precise Case to Use in your Study
  • Select Data Collection and Analysis Techniques
  • Collect the Data
  • Analyse the Data
  • Prepare the Report

Step1: Select the Case to Investigate

The first step is to select a case to conduct your investigation. You should remember the following points.

  • Make sure that you perform the study in the available timeframe.
  • There should not be too much information available about the organisation.
  • You should be able to get access to the organisation.
  • There should be enough information available about the subject to conduct further research.

Step2: Formulate the Research Question

It’s necessary to  formulate a research question  to proceed with your case study. Most of the research questions begin with  how, why, what, or what can . 

You can also use a research statement instead of a research question to conduct your research which can be conditional or non-conditional. 

Step 3: Review of Literature

Once you formulate your research statement or question, you need to extensively  review the documentation about the existing discoveries related to your research question or statement.

Step 4: Choose the Precise Case to Use in your Study

You need to select a specific case or multiple cases related to your research. It would help if you treated each case individually while using multiple cases. The outcomes of each case can be used as contributors to the outcomes of the entire study.  You can select the following cases. 

  • Representing various geographic regions
  • Cases with various size parameters
  • Explaining the existing theories or assumptions
  • Leading to discoveries
  • Providing a base for future research.

Step 5: Select Data Collection and Analysis Techniques

You can choose both  qualitative or quantitative approaches  for  collecting the data . You can use  interviews ,  surveys , artifacts, documentation, newspapers, and photographs, etc. To avoid biased observation, you can triangulate  your research to provide different views of your case. Even if you are focusing on a single case, you need to observe various case angles. It would help if you constructed validity, internal and external validity, as well as reliability.

Example: Identifying the impacts of contaminated water on people’s health and the factors responsible for it. You need to gather the data using qualitative and quantitative approaches to understand the case in such cases.

Construct validity:  You should select the most suitable measurement tool for your research. 

Internal validity:   You should use various methodological tools to  triangulate  the data. Try different methods to study the same hypothesis.

External validity:  You need to effectively apply the data beyond the case’s circumstances to more general issues.

Reliability:   You need to be confident enough to formulate the new direction for future studies based on your findings.

Also Read:  Reliability and Validity

Step 6: Collect the Data

Beware of the following when collecting data:

  • Information should be gathered systematically, and the collected evidence from various sources should contribute to your research objectives.
  • Don’t collect your data randomly.
  • Recheck your research questions to avoid mistakes.
  • You should save the collected data in any popular format for clear understanding.
  • While making any changes to collecting information, make sure to record the changes in a document.
  • You should maintain a case diary and note your opinions and thoughts evolved throughout the study.

Step 7: Analyse the Data

The research data identifies the relationship between the objects of study and the research questions or statements. You need to reconfirm the collected information and tabulate it correctly for better understanding. 

Step 8: Prepare the Report

It’s essential to prepare a report for your case study. You can write your case study in the form of a scientific paper or thesis discussing its detail with supporting evidence. 

A case study can be represented by incorporating  quotations,  stories, anecdotes,  interview transcripts , etc., with empirical data in the result section. 

You can also write it in narrative styles using  textual analysis  or   discourse analysis . Your report should also include evidence from published literature, and you can put it in the discussion section.

Advantages and Disadvantages of Case Study

Frequently asked questions, what is the case study.

A case study is a research method where a specific instance, event, or situation is deeply examined to gain insights into real-world complexities. It involves detailed analysis of context, data, and variables to understand patterns, causes, and effects, often used in various disciplines for in-depth exploration.

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  • How It Works
  • Exploratory Research: What are its Method & Examples?

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Research is a continuous process that needs improvement as time goes by, and as such is non-exhaustive. Although, a lot of researchers working on novel projects, most researchers work on existing theories or formulations and build on them.

Researchers may decide to work on a problem that has not been studied very clearly to establish priorities, develop operational definitions and improving the final research design. This type of research is what is called exploratory research. 

What is Exploratory Research

Exploratory research is the process of investigating a problem that has not been studied or thoroughly investigated in the past . Exploratory type of research is usually conducted to have a better understanding of the existing problem, but usually doesn’t lead to a conclusive result. 

Researchers use exploratory research when trying to gain familiarity with an existing phenomenon and acquire new insight into it to form a more precise problem. It begins based on a general idea and the outcomes of the research are used to find out related issues with the topic of the research.

In exploratory research, the process of the research varies according to the finding of new data or insight. Also referred to as interpretative research or grounded theory approach, the outcomes of this research provide answers to questions like what, how and why. 

Characteristics of Exploratory Research 

  • Exploratory research is inexpensive, highly interactive and open-ended in nature.
  • There is usually no prior relevant information available from past researchers.
  • It has no predefined structure.
  • It answers questions like how and why aiding the researcher to acquire more information about the research.
  • The absence of relevant information from past research means the researcher will spend a lot of time studying materials in detail. Therefore, spending so much time conducting exploratory research.
  • Since there is no standard for carrying out exploratory research, it is usually flexible and scattered.
  • There must a few theories which can verify your outcome.
  • Researchers cannot form a conclusion based on exploratory research.
  • The research problem must be important and valuable
  • Exploratory research mostly deals with qualitative data.

Exploratory Research Methods

There are several exploratory research methods available for data gathering and research. However, exploratory research has been classified into two main methods, namely the primary and secondary research methods . The process of conducting research tends to be more difficult when dealing with a problem that hasn’t been deeply investigated before.

Primary Research Methods

In primary research methods , data is collected directly from the subject of investigation. The subject, in this case, maybe a group of people or an individual. 

It doesn’t matter whether the data is collected by the researcher himself or through a third party, the main purpose of the research should be fulfilled. The purpose of conducting this research is to collect information about the problem which requires in-depth analysis.

Some of the primary research methods used in exploratory research include:

  • Observations

In this primary research method, the researcher does not come in close contact with the subject. Rather, the subject is being watched from afar. Subject observation can be done in two ways.

The first is that the subject is aware that he/she is being observed while the second way is that the subject is not aware of it. The latter method is said to gather fairer data because the subject may behave differently when he/she is aware that (s)he is being watched. 

Surveys are used to collect data from a predefined subject(s). It can be used collected to study trends, opinions, and behaviour of a group of people.

Online form builders like Formplus have made it easier to conduct surveys online and reach diverse demography of participants from all over the world. Although, rarely in use these days, researchers can also conduct offline surveys. 

Although more stressful and time-consuming than others, the interview technique is the best in terms of collecting detailed and correct data. Interviews can be conducted in person, via phone call or video call.

Interviews can also be recorded by the researcher in case he/she needs to go back to it and confirm specific information. 

  • Focus Groups

Focus group is often used by researchers when trying to collect data from a group of people with similar characteristics. The research can be done using any of the three methods explained above.

For example, a focus group of fresh graduates may be investigated on how they spend their time. 

Secondary Research Methods 

Secondary research method uses existing resources on the subject under study. Existing sources like newspapers, magazines, articles, papers, etc. are what researchers conduct for exploratory research. 

All the resources used must be cited in publications. Some of the secondary research methods used in exploratory research include:

Literature research is the process of conducting old resources like publications, textbooks, articles, magazines, etc. All this information can be gathered in both sift copy and hard copy documents.

For example, an undergraduate student conducting his/her final project research will need to conduct textbooks, publications, papers, articles, etc. 

  • Online Sources

With the advent of technology, this research has gained much popularity among millennials. Online research sources are the cheapest and easiest method of research.

With access to the internet and a personal computer or mobile phone, a researcher can browse through as many resources as possible. They can also be downloaded for further use in the future. 

The setback of this method is the difficulty of combing through the many online resources to find genuine information. Researchers face the possibility of ending up with incorrect data because false information may be difficult to identify. 

A researcher might find relevant information on the problem under study by studying existing cases. For example, a mathematician trying to formulate a model to solve the queuing problem in an airport may conduct existing research in similar areas.

A case study could be research that solved the queuing problem in a shopping mall. This research will be studied and modified to suit that of the airport queuing problem. 

A researcher may decide to get more creative by using informal sources like email newsletter subscription, RSS feeds, google alerts, google trends or even design a bot that combs through the large repository of data online.

How To Conduct Exploratory Research

Step 1 – identify the problem.

This is a common starting point for all types of research. Here, the researcher identifies the purpose of the research by answering the “what question”.For example, when investigating a crime scene, the FBI needs to first identify what happened. Was it theft, murder or a case of child abuse? 

Step 2 – Create the hypothesis

After identifying the problem, the researcher goes ahead to check whether there have been prior investigations regarding the subject matter. But when the researcher realizes that there are no previous investigations, he/she arrives at a hypothesis based on the questions obtained while identifying the problem.

If you are investigating a crime scene, an autopsy will be performed on the dead body to answer how he/she was killed. Questions like, Was he in a gang?, Fighting over a business deal? or very rich? will answer the question of why he was killed. 

With this information, the investigator can arrive at a hypothesis. 

Step 3 – Conduct further research 

To conduct further research, the researcher needs to first obtain relevant data that will assist in the research process. Some of the methods of collecting data include interviews, surveys, online sources, etc. 

Once the data has been collected, the researcher will continue the investigation through descriptive methods. This process uses qualitative data. 

Examples of Exploratory Research 

In this section, we shall be considering three examples of exploratory research and will be going through the research process as explained above. 

Exploratory Research Example on Murder Investigation

A fresh or inconclusive murder case will be investigated using exploratory research because it has not been investigated clearly in the past. To gain a better understanding of how exploratory research is used to conduct a murder investigation, let us review this popular crime movie titled Murder on the Orient Express .  

Adapted from Agatha Christie’s novel , we see in this movie that the first thing detective Hercule Poirot did was to identify the problem which is the murder of Ratchett. After that was the question of how he was killed. 

The how consists of the murder weapon, how it was used, the time he was murdered, etc. The last piece of information the detective needed to nail the culprit was the why. 

By discovering why Ratchett was murdered, the detective can easily arrive at a hypothesis on who the murderer is. In the search for why the detective used a primary research approach to collect relevant data that will aid the investigation. 

When an avalanche stops the Orient Express dead in its tracks, the world’s greatest detective–Hercule Poirot–arrives to interrogate all passengers and search for clues before the killer can strike again. After a series of interviews, the detective was able to arrive at a hypothesis on who the killer was. 

The results of any criminal investigation will remain a hypothesis until tried under a court which will either confirm or nullify the hypothesis. The evidence acquired during the investigation is what will assist the court in making a decision. 

Exploratory Research Example on Product Research

Organizations conduct two major research when working on a new product or service. The first one is conducted before developing the product while the second one is conducted after product development. 

Our focus will be on the exploratory research conducted after product development. For tech products, it is called the beta testing stage of product development. 

If a new feature is added to an existing app, for example, product researchers will want to investigate whether the feature will be well received among the users. If the feature added to the app is something that is already in existence, then the research is not exploratory. 

For example, if telegram adds a status feature to its app, the beta research stage of the app is not exploratory. This is because this feature is something that is already in existence, and they can easily get enough information from WhatsApp.

However, if it is a new feature like the Snapchat filters when they just came out, the research is explanatory. In this case, exploratory research is carried out using a focus group of beta testers. 

Trend Analysis

A good example of trend analysis research is studying the relationship between an increased rate of charity and crime rate in a community. Will giving food, clothes, etc. to the people in a community help decrease the rate at which people steal?

This exploratory research may be conducted through observations. A sample crime laden community will be given charity for a certain period, while the crime rate during this period will be observed. 

This kind of research is better carried out when the subject is not aware they are under observation. An alternative to this approach is using the case study method. 

Although this research may not have been done in this specific community, something similar may have been done in the past. If that is the case, the research can be easily carried out by investigating the case study to get relevant information. 

This will make the research process easier and a hypothesis easier to come by. 

How to use Formplus for Exploratory Surveys 

Start creating exploratory surveys with Formplus in three easy steps.

Step 1: Register or Sign up

  • Visit www.formpl.us on your desktop or mobile device.
  • Sign up through your Email, Google or Facebook in less than 30 seconds.

formplus-survey-builder-tool

Step 2: Create Your Exploratory Survey

We will be creating a product research exploratory survey in this guide. Consider a software company that just added some new features to their app. The app is currently in the beta testing stage and they are taking an exploratory survey to get feedback from the beta testers.

Radio Choice Multiple Choice Question

  • Click on the Choice Options section of the form builder menu.
  • Create Radio multiple choice questions by clicking on the radio tab.
  • Edit the question with your preferred stem and choice options.

exploratory-survey

Open-Ended Question

  • Click on the Inputs section of the form builder menu.
  • Create a short text open-ended question by clicking on the Short Text tab.

exploratory case study is

  • Edit the label and placeholder text as preferred.

Checkbox Multiple Choice Question

  • Create a checkbox multiple choice question by clicking on the radio tab.

exploratory case study is

Matrix Rating Multiple Choice Question

  • Click on the Ratings section of the form builder menu.
  • Create a matrix rating by clicking on the Matrix tab.
  • Edit the table as preferred.

exploratory case study is

  • Save your exploratory survey.

You can also add more questions as preferred. 

Step 3: Customise and Share

This is the final stage where you customise your form and start sharing with respondents.

Feel free to customise your forms as you please. You can also add logic in the settings before sharing.

exploratory case study is

  • Copy the link or click on the “Preview Form” button to see how your form looks like.

exploratory case study is

Advantages of Exploratory Research

  • Exploratory research is inexpensive to perform, especially when using the second method for research.
  • Exploratory does not have a standard process and as such is very flexible.
  • Information gathered from exploratory research is very useful as it helps lay the foundation for future research.
  • It gives researchers more insight into the problem under study.
  • Researchers don’t have to waste time conducting irrelevant research when using an exploratory approach. It helps the researcher if the topic is worth investigating at an early stage.

Disadvantages of Exploratory Research

  • It produces an inconclusive result.
  • Exploratory research provides qualitative data, which may be difficult to interpret. The interpretation of qualitative data may be bias and/or judgemental.
  • Many of the data collected through secondary sources may be old and outdated.
  • If collected through online sources, the researcher may be prone to collecting false information.
  • Exploratory research mostly involves a smaller sample whose results may be incorrect for a larger population.

Conclusion  

Research is built on the incredible inquisitive and resourceful minds of researchers and the urge to solve problems. This stems from the child-like tendency to frequently ask questions like what, why, and how—a trademark of exploratory research. 

Exploratory research is one of the three main objectives of market research, with the other two being descriptive research and causal research. It is commonly used for various applied research projects. 

Applied research is often exploratory because there is a need for flexibility in approaching the problem. Also, there are often data limitations and a need to decide within a short period. 

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  • Open access
  • Published: 10 November 2020

Case study research for better evaluations of complex interventions: rationale and challenges

  • Sara Paparini   ORCID: orcid.org/0000-0002-1909-2481 1 ,
  • Judith Green 2 ,
  • Chrysanthi Papoutsi 1 ,
  • Jamie Murdoch 3 ,
  • Mark Petticrew 4 ,
  • Trish Greenhalgh 1 ,
  • Benjamin Hanckel 5 &
  • Sara Shaw 1  

BMC Medicine volume  18 , Article number:  301 ( 2020 ) Cite this article

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The need for better methods for evaluation in health research has been widely recognised. The ‘complexity turn’ has drawn attention to the limitations of relying on causal inference from randomised controlled trials alone for understanding whether, and under which conditions, interventions in complex systems improve health services or the public health, and what mechanisms might link interventions and outcomes. We argue that case study research—currently denigrated as poor evidence—is an under-utilised resource for not only providing evidence about context and transferability, but also for helping strengthen causal inferences when pathways between intervention and effects are likely to be non-linear.

Case study research, as an overall approach, is based on in-depth explorations of complex phenomena in their natural, or real-life, settings. Empirical case studies typically enable dynamic understanding of complex challenges and provide evidence about causal mechanisms and the necessary and sufficient conditions (contexts) for intervention implementation and effects. This is essential evidence not just for researchers concerned about internal and external validity, but also research users in policy and practice who need to know what the likely effects of complex programmes or interventions will be in their settings. The health sciences have much to learn from scholarship on case study methodology in the social sciences. However, there are multiple challenges in fully exploiting the potential learning from case study research. First are misconceptions that case study research can only provide exploratory or descriptive evidence. Second, there is little consensus about what a case study is, and considerable diversity in how empirical case studies are conducted and reported. Finally, as case study researchers typically (and appropriately) focus on thick description (that captures contextual detail), it can be challenging to identify the key messages related to intervention evaluation from case study reports.

Whilst the diversity of published case studies in health services and public health research is rich and productive, we recommend further clarity and specific methodological guidance for those reporting case study research for evaluation audiences.

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The need for methodological development to address the most urgent challenges in health research has been well-documented. Many of the most pressing questions for public health research, where the focus is on system-level determinants [ 1 , 2 ], and for health services research, where provisions typically vary across sites and are provided through interlocking networks of services [ 3 ], require methodological approaches that can attend to complexity. The need for methodological advance has arisen, in part, as a result of the diminishing returns from randomised controlled trials (RCTs) where they have been used to answer questions about the effects of interventions in complex systems [ 4 , 5 , 6 ]. In conditions of complexity, there is limited value in maintaining the current orientation to experimental trial designs in the health sciences as providing ‘gold standard’ evidence of effect.

There are increasing calls for methodological pluralism [ 7 , 8 ], with the recognition that complex intervention and context are not easily or usefully separated (as is often the situation when using trial design), and that system interruptions may have effects that are not reducible to linear causal pathways between intervention and outcome. These calls are reflected in a shifting and contested discourse of trial design, seen with the emergence of realist [ 9 ], adaptive and hybrid (types 1, 2 and 3) [ 10 , 11 ] trials that blend studies of effectiveness with a close consideration of the contexts of implementation. Similarly, process evaluation has now become a core component of complex healthcare intervention trials, reflected in MRC guidance on how to explore implementation, causal mechanisms and context [ 12 ].

Evidence about the context of an intervention is crucial for questions of external validity. As Woolcock [ 4 ] notes, even if RCT designs are accepted as robust for maximising internal validity, questions of transferability (how well the intervention works in different contexts) and generalisability (how well the intervention can be scaled up) remain unanswered [ 5 , 13 ]. For research evidence to have impact on policy and systems organisation, and thus to improve population and patient health, there is an urgent need for better methods for strengthening external validity, including a better understanding of the relationship between intervention and context [ 14 ].

Policymakers, healthcare commissioners and other research users require credible evidence of relevance to their settings and populations [ 15 ], to perform what Rosengarten and Savransky [ 16 ] call ‘careful abstraction’ to the locales that matter for them. They also require robust evidence for understanding complex causal pathways. Case study research, currently under-utilised in public health and health services evaluation, can offer considerable potential for strengthening faith in both external and internal validity. For example, in an empirical case study of how the policy of free bus travel had specific health effects in London, UK, a quasi-experimental evaluation (led by JG) identified how important aspects of context (a good public transport system) and intervention (that it was universal) were necessary conditions for the observed effects, thus providing useful, actionable evidence for decision-makers in other contexts [ 17 ].

The overall approach of case study research is based on the in-depth exploration of complex phenomena in their natural, or ‘real-life’, settings. Empirical case studies typically enable dynamic understanding of complex challenges rather than restricting the focus on narrow problem delineations and simple fixes. Case study research is a diverse and somewhat contested field, with multiple definitions and perspectives grounded in different ways of viewing the world, and involving different combinations of methods. In this paper, we raise awareness of such plurality and highlight the contribution that case study research can make to the evaluation of complex system-level interventions. We review some of the challenges in exploiting the current evidence base from empirical case studies and conclude by recommending that further guidance and minimum reporting criteria for evaluation using case studies, appropriate for audiences in the health sciences, can enhance the take-up of evidence from case study research.

Case study research offers evidence about context, causal inference in complex systems and implementation

Well-conducted and described empirical case studies provide evidence on context, complexity and mechanisms for understanding how, where and why interventions have their observed effects. Recognition of the importance of context for understanding the relationships between interventions and outcomes is hardly new. In 1943, Canguilhem berated an over-reliance on experimental designs for determining universal physiological laws: ‘As if one could determine a phenomenon’s essence apart from its conditions! As if conditions were a mask or frame which changed neither the face nor the picture!’ ([ 18 ] p126). More recently, a concern with context has been expressed in health systems and public health research as part of what has been called the ‘complexity turn’ [ 1 ]: a recognition that many of the most enduring challenges for developing an evidence base require a consideration of system-level effects [ 1 ] and the conceptualisation of interventions as interruptions in systems [ 19 ].

The case study approach is widely recognised as offering an invaluable resource for understanding the dynamic and evolving influence of context on complex, system-level interventions [ 20 , 21 , 22 , 23 ]. Empirically, case studies can directly inform assessments of where, when, how and for whom interventions might be successfully implemented, by helping to specify the necessary and sufficient conditions under which interventions might have effects and to consolidate learning on how interdependencies, emergence and unpredictability can be managed to achieve and sustain desired effects. Case study research has the potential to address four objectives for improving research and reporting of context recently set out by guidance on taking account of context in population health research [ 24 ], that is to (1) improve the appropriateness of intervention development for specific contexts, (2) improve understanding of ‘how’ interventions work, (3) better understand how and why impacts vary across contexts and (4) ensure reports of intervention studies are most useful for decision-makers and researchers.

However, evaluations of complex healthcare interventions have arguably not exploited the full potential of case study research and can learn much from other disciplines. For evaluative research, exploratory case studies have had a traditional role of providing data on ‘process’, or initial ‘hypothesis-generating’ scoping, but might also have an increasing salience for explanatory aims. Across the social and political sciences, different kinds of case studies are undertaken to meet diverse aims (description, exploration or explanation) and across different scales (from small N qualitative studies that aim to elucidate processes, or provide thick description, to more systematic techniques designed for medium-to-large N cases).

Case studies with explanatory aims vary in terms of their positioning within mixed-methods projects, with designs including (but not restricted to) (1) single N of 1 studies of interventions in specific contexts, where the overall design is a case study that may incorporate one or more (randomised or not) comparisons over time and between variables within the case; (2) a series of cases conducted or synthesised to provide explanation from variations between cases; and (3) case studies of particular settings within RCT or quasi-experimental designs to explore variation in effects or implementation.

Detailed qualitative research (typically done as ‘case studies’ within process evaluations) provides evidence for the plausibility of mechanisms [ 25 ], offering theoretical generalisations for how interventions may function under different conditions. Although RCT designs reduce many threats to internal validity, the mechanisms of effect remain opaque, particularly when the causal pathways between ‘intervention’ and ‘effect’ are long and potentially non-linear: case study research has a more fundamental role here, in providing detailed observational evidence for causal claims [ 26 ] as well as producing a rich, nuanced picture of tensions and multiple perspectives [ 8 ].

Longitudinal or cross-case analysis may be best suited for evidence generation in system-level evaluative research. Turner [ 27 ], for instance, reflecting on the complex processes in major system change, has argued for the need for methods that integrate learning across cases, to develop theoretical knowledge that would enable inferences beyond the single case, and to develop generalisable theory about organisational and structural change in health systems. Qualitative Comparative Analysis (QCA) [ 28 ] is one such formal method for deriving causal claims, using set theory mathematics to integrate data from empirical case studies to answer questions about the configurations of causal pathways linking conditions to outcomes [ 29 , 30 ].

Nonetheless, the single N case study, too, provides opportunities for theoretical development [ 31 ], and theoretical generalisation or analytical refinement [ 32 ]. How ‘the case’ and ‘context’ are conceptualised is crucial here. Findings from the single case may seem to be confined to its intrinsic particularities in a specific and distinct context [ 33 ]. However, if such context is viewed as exemplifying wider social and political forces, the single case can be ‘telling’, rather than ‘typical’, and offer insight into a wider issue [ 34 ]. Internal comparisons within the case can offer rich possibilities for logical inferences about causation [ 17 ]. Further, case studies of any size can be used for theory testing through refutation [ 22 ]. The potential lies, then, in utilising the strengths and plurality of case study to support theory-driven research within different methodological paradigms.

Evaluation research in health has much to learn from a range of social sciences where case study methodology has been used to develop various kinds of causal inference. For instance, Gerring [ 35 ] expands on the within-case variations utilised to make causal claims. For Gerring [ 35 ], case studies come into their own with regard to invariant or strong causal claims (such as X is a necessary and/or sufficient condition for Y) rather than for probabilistic causal claims. For the latter (where experimental methods might have an advantage in estimating effect sizes), case studies offer evidence on mechanisms: from observations of X affecting Y, from process tracing or from pattern matching. Case studies also support the study of emergent causation, that is, the multiple interacting properties that account for particular and unexpected outcomes in complex systems, such as in healthcare [ 8 ].

Finally, efficacy (or beliefs about efficacy) is not the only contributor to intervention uptake, with a range of organisational and policy contingencies affecting whether an intervention is likely to be rolled out in practice. Case study research is, therefore, invaluable for learning about contextual contingencies and identifying the conditions necessary for interventions to become normalised (i.e. implemented routinely) in practice [ 36 ].

The challenges in exploiting evidence from case study research

At present, there are significant challenges in exploiting the benefits of case study research in evaluative health research, which relate to status, definition and reporting. Case study research has been marginalised at the bottom of an evidence hierarchy, seen to offer little by way of explanatory power, if nonetheless useful for adding descriptive data on process or providing useful illustrations for policymakers [ 37 ]. This is an opportune moment to revisit this low status. As health researchers are increasingly charged with evaluating ‘natural experiments’—the use of face masks in the response to the COVID-19 pandemic being a recent example [ 38 ]—rather than interventions that take place in settings that can be controlled, research approaches using methods to strengthen causal inference that does not require randomisation become more relevant.

A second challenge for improving the use of case study evidence in evaluative health research is that, as we have seen, what is meant by ‘case study’ varies widely, not only across but also within disciplines. There is indeed little consensus amongst methodologists as to how to define ‘a case study’. Definitions focus, variously, on small sample size or lack of control over the intervention (e.g. [ 39 ] p194), on in-depth study and context [ 40 , 41 ], on the logic of inference used [ 35 ] or on distinct research strategies which incorporate a number of methods to address questions of ‘how’ and ‘why’ [ 42 ]. Moreover, definitions developed for specific disciplines do not capture the range of ways in which case study research is carried out across disciplines. Multiple definitions of case study reflect the richness and diversity of the approach. However, evidence suggests that a lack of consensus across methodologists results in some of the limitations of published reports of empirical case studies [ 43 , 44 ]. Hyett and colleagues [ 43 ], for instance, reviewing reports in qualitative journals, found little match between methodological definitions of case study research and how authors used the term.

This raises the third challenge we identify that case study reports are typically not written in ways that are accessible or useful for the evaluation research community and policymakers. Case studies may not appear in journals widely read by those in the health sciences, either because space constraints preclude the reporting of rich, thick descriptions, or because of the reported lack of willingness of some biomedical journals to publish research that uses qualitative methods [ 45 ], signalling the persistence of the aforementioned evidence hierarchy. Where they do, however, the term ‘case study’ is used to indicate, interchangeably, a qualitative study, an N of 1 sample, or a multi-method, in-depth analysis of one example from a population of phenomena. Definitions of what constitutes the ‘case’ are frequently lacking and appear to be used as a synonym for the settings in which the research is conducted. Despite offering insights for evaluation, the primary aims may not have been evaluative, so the implications may not be explicitly drawn out. Indeed, some case study reports might properly be aiming for thick description without necessarily seeking to inform about context or causality.

Acknowledging plurality and developing guidance

We recognise that definitional and methodological plurality is not only inevitable, but also a necessary and creative reflection of the very different epistemological and disciplinary origins of health researchers, and the aims they have in doing and reporting case study research. Indeed, to provide some clarity, Thomas [ 46 ] has suggested a typology of subject/purpose/approach/process for classifying aims (e.g. evaluative or exploratory), sample rationale and selection and methods for data generation of case studies. We also recognise that the diversity of methods used in case study research, and the necessary focus on narrative reporting, does not lend itself to straightforward development of formal quality or reporting criteria.

Existing checklists for reporting case study research from the social sciences—for example Lincoln and Guba’s [ 47 ] and Stake’s [ 33 ]—are primarily orientated to the quality of narrative produced, and the extent to which they encapsulate thick description, rather than the more pragmatic issues of implications for intervention effects. Those designed for clinical settings, such as the CARE (CAse REports) guidelines, provide specific reporting guidelines for medical case reports about single, or small groups of patients [ 48 ], not for case study research.

The Design of Case Study Research in Health Care (DESCARTE) model [ 44 ] suggests a series of questions to be asked of a case study researcher (including clarity about the philosophy underpinning their research), study design (with a focus on case definition) and analysis (to improve process). The model resembles toolkits for enhancing the quality and robustness of qualitative and mixed-methods research reporting, and it is usefully open-ended and non-prescriptive. However, even if it does include some reflections on context, the model does not fully address aspects of context, logic and causal inference that are perhaps most relevant for evaluative research in health.

Hence, for evaluative research where the aim is to report empirical findings in ways that are intended to be pragmatically useful for health policy and practice, this may be an opportune time to consider how to best navigate plurality around what is (minimally) important to report when publishing empirical case studies, especially with regards to the complex relationships between context and interventions, information that case study research is well placed to provide.

The conventional scientific quest for certainty, predictability and linear causality (maximised in RCT designs) has to be augmented by the study of uncertainty, unpredictability and emergent causality [ 8 ] in complex systems. This will require methodological pluralism, and openness to broadening the evidence base to better understand both causality in and the transferability of system change intervention [ 14 , 20 , 23 , 25 ]. Case study research evidence is essential, yet is currently under exploited in the health sciences. If evaluative health research is to move beyond the current impasse on methods for understanding interventions as interruptions in complex systems, we need to consider in more detail how researchers can conduct and report empirical case studies which do aim to elucidate the contextual factors which interact with interventions to produce particular effects. To this end, supported by the UK’s Medical Research Council, we are embracing the challenge to develop guidance for case study researchers studying complex interventions. Following a meta-narrative review of the literature, we are planning a Delphi study to inform guidance that will, at minimum, cover the value of case study research for evaluating the interrelationship between context and complex system-level interventions; for situating and defining ‘the case’, and generalising from case studies; as well as provide specific guidance on conducting, analysing and reporting case study research. Our hope is that such guidance can support researchers evaluating interventions in complex systems to better exploit the diversity and richness of case study research.

Availability of data and materials

Not applicable (article based on existing available academic publications)

Abbreviations

Qualitative comparative analysis

Quasi-experimental design

Randomised controlled trial

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This work was funded by the Medical Research Council - MRC Award MR/S014632/1 HCS: Case study, Context and Complex interventions (TRIPLE C). SP was additionally funded by the University of Oxford's Higher Education Innovation Fund (HEIF).

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Public Health, Environments and Society, London School of Hygiene & Tropical Medicin, London, UK

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Paparini, S., Green, J., Papoutsi, C. et al. Case study research for better evaluations of complex interventions: rationale and challenges. BMC Med 18 , 301 (2020). https://doi.org/10.1186/s12916-020-01777-6

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Published : 10 November 2020

DOI : https://doi.org/10.1186/s12916-020-01777-6

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Exploratory case study is an empirical inquiry that investigates a contemporary phenomenon within its real-life context, especially when the boundaries between phenomenon and context are not clearly evident. It is an inductive research process used to gain an in-depth understanding of a complex issue, event, or phenomenon. It is used to generate ideas, identify key issues, and develop hypotheses for further study. It is mainly used to gain an understanding of an unfamiliar phenomenon or situation.

  • 1 Example of exploratory case study
  • 2 When to use exploratory case study
  • 3 Types of exploratory case study
  • 4 Advantages of exploratory case study
  • 5 Limitations of exploratory case study
  • 6 Other approaches related to exploratory case study
  • 7 References

Example of exploratory case study

  • A case study of the impact of new technology on the banking industry . The study would explore how new technologies such as blockchain , artificial intelligence (AI), and cloud computing are changing how banks do business, as well as how customers interact with their banks. This would involve interviewing stakeholders such as bank managers, customers, and technology experts, as well as examining industry reports and other sources of information .
  • A case study of the impact of the gig economy on traditional employment . The study would look at how the gig economy has changed the way people work , how employers are responding to the new way of working, and how the gig economy has impacted the traditional employment relationship. This would involve interviewing employers, gig workers, and labor economists, as well as examining data and other sources of information.
  • A case study of the impact of social media on public opinion. The study would explore how social media platforms such as Twitter, Facebook, and YouTube are influencing public opinion and how people form their views on various issues. This would involve interviewing people with different political views, examining data and other sources of information, and analyzing how the platforms shape public opinion.

When to use exploratory case study

Exploratory case studies are useful when there is a need for a more in-depth understanding of a complex issue, event, or phenomenon. It can be used to develop hypotheses for further study, identify key issues, generate ideas, and gain an understanding of an unfamiliar situation. It is particularly useful in situations where the boundaries between phenomenon and context are not clear. They can be used to explore topics such as:

  • Exploring an issue or problem from a new perspective
  • Examining a particular issue within its real-life context
  • Investigating the interplay between multiple factors that affect a certain phenomenon
  • Uncovering patterns or trends related to a particular topic
  • Examining the effects of an intervention or policy
  • Assessing the impact of a certain event
  • Studying the causes and effects of a certain phenomenon
  • Examining relationships between different groups or concepts

Types of exploratory case study

An exploratory case study is an empirical inquiry that investigates a contemporary phenomenon within its real-life context, especially when the boundaries between phenomenon and context are not clearly evident. There are several types of exploratory case studies, including:

  • Descriptive exploratory case studies: These are studies that are used to describe a phenomenon or situation. They often involve the collection of qualitative and quantitative data to provide a comprehensive overview of the context and the subject of the study.
  • Comparative exploratory case studies: These are studies that are used to compare two or more phenomena or situations. They involve the collection of data from multiple contexts and for multiple purposes, and use a variety of analytical techniques to identify similarities and differences between the cases.
  • Exploratory-experimental case studies: These are studies that are used to examine a phenomenon or situation through experimentation. They involve the manipulation of variables and the observation of the effects on the subject of the study.
  • Exploratory-predictive case studies: These are studies that are used to predict outcomes or trends in a phenomenon or situation. They involve the collection of data, the application of predictive models, and the analysis of the results to identify patterns and trends.

Advantages of exploratory case study

Exploratory case studies have several advantages.

  • They allow researchers to gain a better understanding of an unfamiliar phenomenon or situation.
  • They provide an opportunity to identify key issues and develop hypotheses for further study.
  • They enable researchers to obtain in-depth information about a particular case or situation.
  • They allow for the collection of data from multiple sources, such as interviews, surveys, and observations.
  • They are more flexible than other forms of research, allowing for the exploration of different angles and perspectives.
  • Finally, exploratory case studies can be used to gain insights into complex real-life situations.

Limitations of exploratory case study

Exploratory case studies are powerful tools for investigating a phenomenon or issue, but there are a few limitations to keep in mind. These include:

  • Limited scope: Exploratory case studies can provide insight into a specific issue or phenomenon, but due to their limited scope, they may not be able to provide an in-depth understanding of the entire situation.
  • Time constraints: Due to the limited scope of the study, it may be difficult to gather enough data within the given timeframe.
  • Subjectivity: Exploratory case studies involve subjective interpretation of data, which can lead to biased results.
  • Data collection: Data collection can be difficult in exploratory case studies, as there is no set structure or methodology to follow.
  • Replication: Exploratory case studies are not easily replicated, as they are designed to explore a specific situation.

Other approaches related to exploratory case study

In addition to exploratory case study, there are several other approaches related to empirical inquiry that can be used to gain an in-depth understanding of a complex issue, event, or phenomenon.

  • Grounded Theory: Grounded theory is an approach to research that uses data from interviews, observations, and other sources to develop a theory about a phenomenon by looking for patterns, themes, and relationships in the data.
  • Action Research: Action research is a form of research that is used to gain an understanding of a problem within the context of the real-world and to develop solutions to the problem. It typically involves the stakeholders in the research process.
  • Ethnography: Ethnography is an approach to research that focuses on understanding the culture of a group through direct observation and participant-observation.
  • Phenomenology: Phenomenology is an approach to research that focuses on understanding the lived experience of a phenomenon through interviews, observations, and other sources.
  • Qualitative Comparative Analysis : Qualitative Comparative Analysis is a method of analysis that uses qualitative data to compare similar cases and identify causal relationships.
  • Ogawa, R. T., & Malen, B. (1991). Towards rigor in reviews of multivocal literatures: Applying the exploratory case study method . Review of educational research, 61(3), 265-286.
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  1. Exploratory Research

    Exploratory research is a methodology approach that investigates research questions that have not previously been studied in depth. Exploratory research is often qualitative and primary in nature. However, a study with a large sample conducted in an exploratory manner can be quantitative as well.

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    The method used for an exploratory case study is a qualitative method. Qualitative methods are used to gain a deeper understanding of the perceptions of people regarding a particular phenomenon (Merriam, 2009). Yin (2010) described qualitative research as collecting data

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    Mayo's exploratory case study at Hawthrone plant generated a number of hypotheses, which got tested in several other case studies, and led to the development of the famous 'human relations school' is management studies (Haralambos & Head, 1980, pp. 310-315).

  4. Exploratory Research

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    An exploratory case study is used to explore a new or understudied phenomenon. This type of case study is useful when the researcher wants to generate hypotheses or theories about the phenomenon. For Example, a researcher might conduct an exploratory case study on a new technology to understand its potential impact on society.

  6. Sage Research Methods

    Case study research has a long history within the natural sciences, social sciences, and humanities, dating back to the early 1920's. At first it was a useful way for researchers to make valid inferences from events outside the laboratory in ways consistent with the rigorous practices of investigation inside the lab.

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    Exploratory case studies aim to find answers to the questions of 'what' or 'who'. Exploratory case study data collection method is often accompanied by additional data collection method(s) such as interviews, questionnaires, experiments etc. Example: "A study into differences of leadership practices between private and public sector ...

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    Case study research: Case study research can help a researcher with finding more information through carefully analyzing existing cases which have gone through a similar problem. Such exploratory data analysis are very important and critical especially in today's business world.

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    A pilot study is generally considered an exploratory case study. Descriptive case studies focus on the characteristics of the case. The explanatory case studies are employed for causal studies. Whereas, Stake classifies "case study as an intrinsic case study, instrumental case study, multiple case study or collective case study. The intrinsic ...

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    An exploratory case study is usually the precursor to a formal, large-scale research project. The case study's goal is to prove that further investigation is necessary. For example, an exploratory case study could be done on veterans coming home from active combat.

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    A case study is a documented history and detailed analysis of a situation concerning organisations, industries, and markets. A case study: Focuses on discovering new facts of the situation under observation. Includes data collection from multiple sources over time.

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    A search for the term " grounded theory " in Scopus returned 24,086 results, 1 a number that has been constantly increasing since the creation of the methodology; yet only 7% (2,565 studies) of these studies were in the " business and management " category ( Figure 1 ).

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    Case study research, as an overall approach, is based on in-depth explorations of complex phenomena in their natural, or real-life, settings. ... For evaluative research, exploratory case studies have had a traditional role of providing data on 'process', or initial 'hypothesis-generating' scoping, but might also have an increasing ...

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    It is an exploratory case study, raising issues which appear not to have been addressed before in regard to published research in open, distance, or general education research.

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    Exploratory case study - it is a relatively new type of work assigned to students of higher educational establishments, so there are always difficulties with writing it. According to the dictionary, this assignment involves detailed research of the given subject matter aimed at showing a complete understanding of this subject.

  21. Exploratory case study

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