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Case Study – Methods, Examples and Guide

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

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

Types of Case Study

Types and Methods of Case Study are as follows:

Single-Case Study

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

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

Multiple-Case Study

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

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

Exploratory Case Study

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

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

Descriptive Case Study

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

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

Instrumental Case Study

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

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

Case Study Data Collection Methods

Here are some common data collection methods for case studies:

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

Observations

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

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

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

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

How to conduct Case Study Research

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

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

Examples of Case Study

Here are some examples of case study research:

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

Application of Case Study

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

Business and Management

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

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

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

Social Sciences

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

Law and Ethics

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

Purpose of Case Study

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

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

Case studies can also serve other purposes, including:

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

Advantages of Case Study Research

There are several advantages of case study research, including:

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

Limitations of Case Study Research

There are several limitations of case study research, including:

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

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

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

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Research bias

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

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

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

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

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

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

Definitions of qualitative case study research

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

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

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

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

Current methodological issues in qualitative case study research

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

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

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

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

Assessment of rigour

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

Framework for assessing quality in qualitative case study research.

Adapted from Stake ( 1995 , p. 131).

Study design

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

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

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

Search strategy

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

Outcomes of search of qualitative methods journals.

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

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

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

Case study methodology or method

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

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

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

Case study of something particular and case selection

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

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

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

Contextually bound case study

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

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

Article synopsis of case study research using Stake's tradition

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

Article synopsis of case study research using Yin's tradition

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

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

Researcher and case interactions and triangulation

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

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

Study design inconsistent with methodology

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

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

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

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

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

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

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

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

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

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

Limitations of the review

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

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

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

Conflict of interest and funding

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

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

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

Research question

• Conceptual framework
• Conceptual vs. theoretical framework

Data collection

• Qualitative research methods
• Focus groups
• Observational research

What is a case study?

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

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

Case studies

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

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

Definition of a case study

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

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

Characteristics of case studies

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

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

The role of case studies in research

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

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

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

What is the purpose of a case study?

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

Why use case studies in qualitative research?

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

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

The explanatory, exploratory, and descriptive roles of case studies

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

The impact of case studies on knowledge development

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

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

Types of case studies

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

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

Exploratory case studies

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

Descriptive case studies

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

Explanatory case studies

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

Intrinsic, instrumental, and collective case studies

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

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

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

Critical information systems research

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

Health research

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

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

Asthma research studies

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

Other fields

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

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

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

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

Propositions

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

Units of analysis

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

Argumentation

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

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

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

Defining the research question

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

Selecting and defining the case

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

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

Developing a detailed case study protocol

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

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

Collecting data

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

Analyzing and interpreting data

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

Writing the case study report

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

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

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

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

Observations

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

Documents and artifacts

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

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

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

Ensuring the quality of data collection

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

Data analysis

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

Organizing the data

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

Categorizing and coding the data

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

Identifying patterns and themes

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

Interpreting the data

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

Verification of the data

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

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

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

Benefits include the following:

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

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

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

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

What the Case Study Method Really Teaches

by Nitin Nohria

Summary .   

It’s been 100 years since Harvard Business School began using the case study method. Beyond teaching specific subject matter, the case study method excels in instilling meta-skills in students. This article explains the importance of seven such skills: preparation, discernment, bias recognition, judgement, collaboration, curiosity, and self-confidence.

During my decade as dean of Harvard Business School, I spent hundreds of hours talking with our alumni. To enliven these conversations, I relied on a favorite question: “What was the most important thing you learned from your time in our MBA program?”

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5 Benefits of Learning Through the Case Study Method

• 28 Nov 2023

While several factors make HBS Online unique —including a global Community and real-world outcomes —active learning through the case study method rises to the top.

In a 2023 City Square Associates survey, 74 percent of HBS Online learners who also took a course from another provider said HBS Online’s case method and real-world examples were better by comparison.

Here’s a primer on the case method, five benefits you could gain, and how to experience it for yourself.

Access your free e-book today.

What Is the Harvard Business School Case Study Method?

The case study method , or case method , is a learning technique in which you’re presented with a real-world business challenge and asked how you’d solve it. After working through it yourself and with peers, you’re told how the scenario played out.

HBS pioneered the case method in 1922. Shortly before, in 1921, the first case was written.

“How do you go into an ambiguous situation and get to the bottom of it?” says HBS Professor Jan Rivkin, former senior associate dean and chair of HBS's master of business administration (MBA) program, in a video about the case method . “That skill—the skill of figuring out a course of inquiry to choose a course of action—that skill is as relevant today as it was in 1921.”

Originally developed for the in-person MBA classroom, HBS Online adapted the case method into an engaging, interactive online learning experience in 2014.

In HBS Online courses , you learn about each case from the business professional who experienced it. After reviewing their videos, you’re prompted to take their perspective and explain how you’d handle their situation.

You then get to read peers’ responses, “star” them, and comment to further the discussion. Afterward, you learn how the professional handled it and their key takeaways.

Learn more about HBS Online's approach to the case method in the video below, and subscribe to our YouTube channel for more.

HBS Online’s adaptation of the case method incorporates the famed HBS “cold call,” in which you’re called on at random to make a decision without time to prepare.

“Learning came to life!” said Sheneka Balogun , chief administration officer and chief of staff at LeMoyne-Owen College, of her experience taking the Credential of Readiness (CORe) program . “The videos from the professors, the interactive cold calls where you were randomly selected to participate, and the case studies that enhanced and often captured the essence of objectives and learning goals were all embedded in each module. This made learning fun, engaging, and student-friendly.”

If you’re considering taking a course that leverages the case study method, here are five benefits you could experience.

5 Benefits of Learning Through Case Studies

1. take new perspectives.

The case method prompts you to consider a scenario from another person’s perspective. To work through the situation and come up with a solution, you must consider their circumstances, limitations, risk tolerance, stakeholders, resources, and potential consequences to assess how to respond.

Taking on new perspectives not only can help you navigate your own challenges but also others’. Putting yourself in someone else’s situation to understand their motivations and needs can go a long way when collaborating with stakeholders.

2. Hone Your Decision-Making Skills

Another skill you can build is the ability to make decisions effectively . The case study method forces you to use limited information to decide how to handle a problem—just like in the real world.

Throughout your career, you’ll need to make difficult decisions with incomplete or imperfect information—and sometimes, you won’t feel qualified to do so. Learning through the case method allows you to practice this skill in a low-stakes environment. When facing a real challenge, you’ll be better prepared to think quickly, collaborate with others, and present and defend your solution.

3. Become More Open-Minded

As you collaborate with peers on responses, it becomes clear that not everyone solves problems the same way. Exposing yourself to various approaches and perspectives can help you become a more open-minded professional.

When you’re part of a diverse group of learners from around the world, your experiences, cultures, and backgrounds contribute to a range of opinions on each case.

On the HBS Online course platform, you’re prompted to view and comment on others’ responses, and discussion is encouraged. This practice of considering others’ perspectives can make you more receptive in your career.

“You’d be surprised at how much you can learn from your peers,” said Ratnaditya Jonnalagadda , a software engineer who took CORe.

In addition to interacting with peers in the course platform, Jonnalagadda was part of the HBS Online Community , where he networked with other professionals and continued discussions sparked by course content.

“You get to understand your peers better, and students share examples of businesses implementing a concept from a module you just learned,” Jonnalagadda said. “It’s a very good way to cement the concepts in one's mind.”

4. Enhance Your Curiosity

One byproduct of taking on different perspectives is that it enables you to picture yourself in various roles, industries, and business functions.

“Each case offers an opportunity for students to see what resonates with them, what excites them, what bores them, which role they could imagine inhabiting in their careers,” says former HBS Dean Nitin Nohria in the Harvard Business Review . “Cases stimulate curiosity about the range of opportunities in the world and the many ways that students can make a difference as leaders.”

Through the case method, you can “try on” roles you may not have considered and feel more prepared to change or advance your career .

5. Build Your Self-Confidence

Finally, learning through the case study method can build your confidence. Each time you assume a business leader’s perspective, aim to solve a new challenge, and express and defend your opinions and decisions to peers, you prepare to do the same in your career.

According to a 2022 City Square Associates survey , 84 percent of HBS Online learners report feeling more confident making business decisions after taking a course.

“Self-confidence is difficult to teach or coach, but the case study method seems to instill it in people,” Nohria says in the Harvard Business Review . “There may well be other ways of learning these meta-skills, such as the repeated experience gained through practice or guidance from a gifted coach. However, under the direction of a masterful teacher, the case method can engage students and help them develop powerful meta-skills like no other form of teaching.”

How to Experience the Case Study Method

If the case method seems like a good fit for your learning style, experience it for yourself by taking an HBS Online course. Offerings span eight subject areas, including:

• Business essentials
• Leadership and management
• Entrepreneurship and innovation
• Digital transformation
• Finance and accounting
• Business in society

No matter which course or credential program you choose, you’ll examine case studies from real business professionals, work through their challenges alongside peers, and gain valuable insights to apply to your career.

Are you interested in discovering how HBS Online can help advance your career? Explore our course catalog and download our free guide —complete with interactive workbook sections—to determine if online learning is right for you and which course to take.

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Understanding Case Study Method in Research: A Comprehensive Guide

Table of Contents

Have you ever wondered how researchers uncover the nuanced layers of individual experiences or the intricate workings of a particular event? One of the keys to unlocking these mysteries lies in the case study method , a research strategy that might seem straightforward at first glance but is rich with complexity and insightful potential. Let’s dive into the world of case studies and discover why they are such a valuable tool in the arsenal of research methods.

What is a Case Study Method?

At its core, the case study method is a form of qualitative research that involves an in-depth, detailed examination of a single subject, such as an individual, group, organization, event, or phenomenon. It’s a method favored when the boundaries between phenomenon and context are not clearly evident, and where multiple sources of data are used to illuminate the case from various perspectives. This method’s strength lies in its ability to provide a comprehensive understanding of the case in its real-life context.

Historical Context and Evolution of Case Studies

Case studies have been around for centuries, with their roots in medical and psychological research. Over time, their application has spread to disciplines like sociology, anthropology, business, and education. The evolution of this method has been marked by a growing appreciation for qualitative data and the rich, contextual insights it can provide, which quantitative methods may overlook.

Characteristics of Case Study Research

What sets the case study method apart are its distinct characteristics:

• Intensive Examination: It provides a deep understanding of the case in question, considering the complexity and uniqueness of each case.
• Contextual Analysis: The researcher studies the case within its real-life context, recognizing that the context can significantly influence the phenomenon.
• Multiple Data Sources: Case studies often utilize various data sources like interviews, observations, documents, and reports, which provide multiple perspectives on the subject.
• Participant’s Perspective: This method often focuses on the perspectives of the participants within the case, giving voice to those directly involved.

Types of Case Studies

There are different types of case studies, each suited for specific research objectives:

• Exploratory: These are conducted before large-scale research projects to help identify questions, select measurement constructs, and develop hypotheses.
• Descriptive: These involve a detailed, in-depth description of the case, without attempting to determine cause and effect.
• Explanatory: These are used to investigate cause-and-effect relationships and understand underlying principles of certain phenomena.
• Intrinsic: This type is focused on the case itself because the case presents an unusual or unique issue.
• Instrumental: Here, the case is secondary to understanding a broader issue or phenomenon.
• Collective: These involve studying a group of cases collectively or comparably to understand a phenomenon, population, or general condition.

The Process of Conducting a Case Study

Conducting a case study involves several well-defined steps:

• Defining Your Case: What or who will you study? Define the case and ensure it aligns with your research objectives.
• Selecting Participants: If studying people, careful selection is crucial to ensure they fit the case criteria and can provide the necessary insights.
• Data Collection: Gather information through various methods like interviews, observations, and reviewing documents.
• Data Analysis: Analyze the collected data to identify patterns, themes, and insights related to your research question.
• Reporting Findings: Present your findings in a way that communicates the complexity and richness of the case study, often through narrative.

Case Studies in Practice: Real-world Examples

Case studies are not just academic exercises; they have practical applications in every field. For instance, in business, they can explore consumer behavior or organizational strategies. In psychology, they can provide detailed insight into individual behaviors or conditions. Education often uses case studies to explore teaching methods or learning difficulties.

Advantages of Case Study Research

While the case study method has its critics, it offers several undeniable advantages:

• Rich, Detailed Data: It captures data too complex for quantitative methods.
• Contextual Insights: It provides a better understanding of the phenomena in its natural setting.
• Contribution to Theory: It can generate and refine theory, offering a foundation for further research.

Limitations and Criticism

However, it’s important to acknowledge the limitations and criticisms:

• Generalizability : Findings from case studies may not be widely generalizable due to the focus on a single case.
• Subjectivity: The researcher’s perspective may influence the study, which requires careful reflection and transparency.
• Time-Consuming: They require a significant amount of time to conduct and analyze properly.

Concluding Thoughts on the Case Study Method

The case study method is a powerful tool that allows researchers to delve into the intricacies of a subject in its real-world environment. While not without its challenges, when executed correctly, the insights garnered can be incredibly valuable, offering depth and context that other methods may miss. Robert K. Yin ’s advocacy for this method underscores its potential to illuminate and explain contemporary phenomena, making it an indispensable part of the researcher’s toolkit.

Reflecting on the case study method, how do you think its application could change with the advancements in technology and data analytics? Could such a traditional method be enhanced or even replaced in the future?

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Research Methods in Psychology

1 Introduction to Psychological Research – Objectives and Goals, Problems, Hypothesis and Variables

• Nature of Psychological Research
• The Context of Discovery
• Context of Justification
• Characteristics of Psychological Research
• Goals and Objectives of Psychological Research

2 Introduction to Psychological Experiments and Tests

• Independent and Dependent Variables
• Extraneous Variables
• Experimental and Control Groups
• Introduction of Test
• Types of Psychological Test
• Uses of Psychological Tests

3 Steps in Research

• Research Process
• Identification of the Problem
• Review of Literature
• Formulating a Hypothesis
• Identifying Manipulating and Controlling Variables
• Formulating a Research Design
• Constructing Devices for Observation and Measurement
• Sample Selection and Data Collection
• Data Analysis and Interpretation
• Hypothesis Testing
• Drawing Conclusion

4 Types of Research and Methods of Research

• Historical Research
• Descriptive Research
• Correlational Research
• Qualitative Research
• Ex-Post Facto Research
• True Experimental Research
• Quasi-Experimental Research

5 Definition and Description Research Design, Quality of Research Design

• Research Design
• Purpose of Research Design
• Design Selection
• Criteria of Research Design
• Qualities of Research Design

6 Experimental Design (Control Group Design and Two Factor Design)

• Experimental Design
• Control Group Design
• Two Factor Design

7 Survey Design

• Survey Research Designs
• Steps in Survey Design
• Structuring and Designing the Questionnaire
• Interviewing Methodology
• Data Analysis
• Final Report

8 Single Subject Design

• Single Subject Design: Definition and Meaning
• Phases Within Single Subject Design
• Requirements of Single Subject Design
• Characteristics of Single Subject Design
• Types of Single Subject Design
• Advantages of Single Subject Design
• Disadvantages of Single Subject Design

9 Observation Method

• Definition and Meaning of Observation
• Characteristics of Observation
• Types of Observation
• Advantages and Disadvantages of Observation
• Guides for Observation Method

10 Interview and Interviewing

• Definition of Interview
• Types of Interview
• Aspects of Qualitative Research Interviews
• Interview Questions
• Convergent Interviewing as Action Research
• Research Team

11 Questionnaire Method

• Definition and Description of Questionnaires
• Types of Questionnaires
• Purpose of Questionnaire Studies
• Designing Research Questionnaires
• The Methods to Make a Questionnaire Efficient
• The Types of Questionnaire to be Included in the Questionnaire
• Advantages and Disadvantages of Questionnaire
• When to Use a Questionnaire?

12 Case Study

• Definition and Description of Case Study Method
• Historical Account of Case Study Method
• Designing Case Study
• Requirements for Case Studies
• Guideline to Follow in Case Study Method
• Other Important Measures in Case Study Method
• Case Reports

13 Report Writing

• Purpose of a Report
• Writing Style of the Report
• Report Writing – the Do’s and the Don’ts
• Format for Report in Psychology Area
• Major Sections in a Report

14 Review of Literature

• Purposes of Review of Literature
• Sources of Review of Literature
• Types of Literature
• Writing Process of the Review of Literature
• Preparation of Index Card for Reviewing and Abstracting

15 Methodology

• Definition and Purpose of Methodology
• Participants (Sample)
• Apparatus and Materials

16 Result, Analysis and Discussion of the Data

• Definition and Description of Results
• Statistical Presentation
• Tables and Figures

17 Summary and Conclusion

• Summary Definition and Description
• Guidelines for Writing a Summary
• Writing the Summary and Choosing Words
• A Process for Paraphrasing and Summarising
• Summary of a Report
• Writing Conclusions

18 References in Research Report

• Reference List (the Format)
• References (Process of Writing)
• Reference List and Print Sources
• Electronic Sources
• Book on CD Tape and Movie
• Reference Specifications
• General Guidelines to Write References

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Case Study Method Advantages and Disadvantages: Essential Insights for Success

Ever wondered why the case study method is so popular in fields like business, psychology, and education? It’s because case studies offer a unique way to dive deep into real-world scenarios, allowing you to explore complex issues in a detailed manner. By examining specific instances, you gain insights that are often missed in broader surveys or theoretical research.

But like any other research method, the case study approach has its pros and cons. While it provides in-depth understanding and rich qualitative data, it can also be time-consuming and sometimes lacks generalizability. So, how do you decide if it’s the right method for your research? Let’s explore the advantages and disadvantages to help you make an informed choice.

Key Takeaways

• In-Depth Insights: Case studies provide comprehensive and detailed data by exploring specific real-world scenarios, often revealing nuances and contexts missed by broader research methods.
• Qualitative and Quantitative Data: This method involves gathering a mix of qualitative and quantitative data, enhancing the richness and depth of the research.
• Challenges of Generalizability: While case studies offer in-depth insight, their findings are often specific to the case and may not be broadly applicable to other settings or situations.
• Time-Consuming Process: Conducting case studies requires significant time and effort, which can be a limitation for busy entrepreneurs and researchers needing quick insights.
• Strategic Application: Use case studies when exploring unique business models, understanding specific customer behaviors, or analyzing specific scenarios, but employ strategies like diversifying sources and effective time management to mitigate potential drawbacks.

Understanding the Case Study Method

Curious about how the case study method can enhance your entrepreneurial journey? Let’s break it down.

What Is a Case Study?

A case study is an in-depth investigation of a single entity, such as an individual, group, organization, or event. By focusing on real-life contexts, it provides comprehensive insights that can unveil unique patterns typically missed by broader research methods. This method involves a mix of qualitative and quantitative data collection techniques, including interviews, observations, and document analysis.

How Case Studies Are Used in Research

Researchers use case studies extensively across various fields due to their flexibility and depth of analysis. In business, they help you understand market trends, customer behavior, and effective strategies by examining real-life examples. Successful startups often serve as case studies, providing valuable lessons for budding entrepreneurs. In education, case studies contextualize theories, making learning more relatable. In psychology, they offer detailed explorations of specific issues or treatments, which can inform broader practices.

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Advantages of the Case Study Method

The case study method stands out in business and entrepreneurial research, offering in-depth insights and practical lessons.

In-Depth Data Collection

You gather comprehensive data through case studies, using techniques like interviews, observations, and document reviews. By employing both qualitative and quantitative methods, you gain a thorough understanding of real-world applications and business strategies. This approach lets you explore each aspect of a business scenario, providing detailed evidence for your insights.

Uncovering Nuances and Context

Case studies reveal unique patterns and hidden details often missed by broader research methods. When you analyze a successful startup, you uncover specific strategies that contributed to its success. This method helps you understand the context behind decisions, market conditions, and customer behavior, offering actionable insights for your entrepreneurial endeavors. By focusing on the nuances, you can apply these learnings to your own business and side-hustles, refining your strategies for better outcomes.

Disadvantages of the Case Study Method

Despite the many advantages, the case study method also presents several challenges that can impact its effectiveness in business contexts.

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Limitations in Generalizability

Case studies provide in-depth insights into specific scenarios; however, they often lack broad applicability. When focusing on a single business or entrepreneur, findings may not represent the experiences of others. For instance, a strategy that worked for a particular online startup might not yield the same results for a different venture due to varying market conditions and business models. Limited sample sizes in case studies further constrain their generalizability, making it difficult to formulate universal conclusions or industry-wide trends.

Time-Consuming Nature

Conducting case studies requires significant time and effort. Collecting data through interviews, observations, and document reviews can be particularly exhaustive. As an entrepreneur juggling multiple side-hustles, dedicating time to such detailed research might detract from hands-on activities that directly impact your business. Long research durations also delay the availability of insights, making them less timely or relevant in rapidly evolving market conditions. This time-intensive nature can be a deterrent, especially when quick decision-making and agility are crucial for business success.

Balancing the Pros and Cons

For entrepreneurs and business enthusiasts like you, the case study method offers a way to dive deep into specific business scenarios. It’s a powerful tool, but it has both benefits and challenges.

When to Choose Case Study Method

Use the case study method when you need detailed, practical insights. This method works well when exploring unique business models, understanding specific customer behaviors, or examining the success strategies of other startups. Large-scale statistics can’t capture the nuances you get from a focused case study.

• Launching a new product and needing to understand early adopter behavior.
• Analyzing a failed competitor to learn what went wrong.

Strategies to Mitigate Disadvantages

To mitigate the limitations of case studies, employ these strategies:

• Diversify Sources : Include multiple case studies to build a broader understanding, reducing the risk of overgeneralization.
• Time Management : Allocate specific time slots for case study research to prevent it from consuming your hands-on business activities.
• Collaborate : Work with others to share the research load and bring in diverse perspectives.

These strategies help you get the most out of the case study method while addressing common drawbacks.

The case study method offers a unique way to gain in-depth insights and analyze complex scenarios in various fields. While it has its challenges like time consumption and limited generalizability you can still leverage its strengths by using diverse sources and effective time management. Collaborating with others can also help you make the most out of your case studies. By understanding when and how to use this method you’ll be better equipped to harness its full potential for your business or research endeavors.

Frequently Asked Questions

What are the primary benefits of the case study method in business.

The case study method offers detailed insights, helps analyze market trends, and understands customer behavior through both qualitative and quantitative data collection techniques.

What fields commonly use the case study method?

The case study method is popular in business, psychology, and education for its ability to provide comprehensive and detailed insights.

What are the main disadvantages of using the case study method in business?

The main disadvantages include limitations in generalizability and the time-consuming nature of conducting in-depth research.

How can businesses mitigate the limitations of the case study method?

Businesses can mitigate limitations by diversifying their data sources, managing research time effectively, and collaborating with others to enhance the quality and applicability of their case studies.

When should entrepreneurs and business enthusiasts choose the case study method?

Entrepreneurs and business enthusiasts should choose the case study method when they need detailed, qualitative insights that cannot be captured through other research methods.

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About the author.

Ryan Kingsley

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Descriptive Research and Case Studies

Learning objectives.

• Explain the importance and uses of descriptive research, especially case studies, in studying abnormal behavior

Types of Research Methods

There are many research methods available to psychologists in their efforts to understand, describe, and explain behavior and the cognitive and biological processes that underlie it. Some methods rely on observational techniques. Other approaches involve interactions between the researcher and the individuals who are being studied—ranging from a series of simple questions; to extensive, in-depth interviews; to well-controlled experiments.

The three main categories of psychological research are descriptive, correlational, and experimental research. Research studies that do not test specific relationships between variables are called descriptive, or qualitative, studies . These studies are used to describe general or specific behaviors and attributes that are observed and measured. In the early stages of research, it might be difficult to form a hypothesis, especially when there is not any existing literature in the area. In these situations designing an experiment would be premature, as the question of interest is not yet clearly defined as a hypothesis. Often a researcher will begin with a non-experimental approach, such as a descriptive study, to gather more information about the topic before designing an experiment or correlational study to address a specific hypothesis. Descriptive research is distinct from correlational research , in which psychologists formally test whether a relationship exists between two or more variables. Experimental research goes a step further beyond descriptive and correlational research and randomly assigns people to different conditions, using hypothesis testing to make inferences about how these conditions affect behavior. It aims to determine if one variable directly impacts and causes another. Correlational and experimental research both typically use hypothesis testing, whereas descriptive research does not.

Each of these research methods has unique strengths and weaknesses, and each method may only be appropriate for certain types of research questions. For example, studies that rely primarily on observation produce incredible amounts of information, but the ability to apply this information to the larger population is somewhat limited because of small sample sizes. Survey research, on the other hand, allows researchers to easily collect data from relatively large samples. While surveys allow results to be generalized to the larger population more easily, the information that can be collected on any given survey is somewhat limited and subject to problems associated with any type of self-reported data. Some researchers conduct archival research by using existing records. While existing records can be a fairly inexpensive way to collect data that can provide insight into a number of research questions, researchers using this approach have no control on how or what kind of data was collected.

Correlational research can find a relationship between two variables, but the only way a researcher can claim that the relationship between the variables is cause and effect is to perform an experiment. In experimental research, which will be discussed later, there is a tremendous amount of control over variables of interest. While performing an experiment is a powerful approach, experiments are often conducted in very artificial settings, which calls into question the validity of experimental findings with regard to how they would apply in real-world settings. In addition, many of the questions that psychologists would like to answer cannot be pursued through experimental research because of ethical concerns.

The three main types of descriptive studies are case studies, naturalistic observation, and surveys.

Clinical or Case Studies

Psychologists can use a detailed description of one person or a small group based on careful observation.  Case studies  are intensive studies of individuals and have commonly been seen as a fruitful way to come up with hypotheses and generate theories. Case studies add descriptive richness. Case studies are also useful for formulating concepts, which are an important aspect of theory construction. Through fine-grained knowledge and description, case studies can fully specify the causal mechanisms in a way that may be harder in a large study.

Sigmund Freud   developed  many theories from case studies (Anna O., Little Hans, Wolf Man, Dora, etc.). F or example, he conducted a case study of a man, nicknamed “Rat Man,”  in which he claimed that this patient had been cured by psychoanalysis.  T he nickname derives from the fact that among the patient’s many compulsions, he had an obsession with nightmarish fantasies about rats. 

Today, more commonly, case studies reflect an up-close, in-depth, and detailed examination of an individual’s course of treatment. Case studies typically include a complete history of the subject’s background and response to treatment. From the particular client’s experience in therapy, the therapist’s goal is to provide information that may help other therapists who treat similar clients.

Case studies are generally a single-case design, but can also be a multiple-case design, where replication instead of sampling is the criterion for inclusion. Like other research methodologies within psychology, the case study must produce valid and reliable results in order to be useful for the development of future research. Distinct advantages and disadvantages are associated with the case study in psychology.

A commonly described limit of case studies is that they do not lend themselves to generalizability . The other issue is that the case study is subject to the bias of the researcher in terms of how the case is written, and that cases are chosen because they are consistent with the researcher’s preconceived notions, resulting in biased research. Another common problem in case study research is that of reconciling conflicting interpretations of the same case history.

Despite these limitations, there are advantages to using case studies. One major advantage of the case study in psychology is the potential for the development of novel hypotheses of the  cause of abnormal behavior   for later testing. Second, the case study can provide detailed descriptions of specific and rare cases and help us study unusual conditions that occur too infrequently to study with large sample sizes. The major disadvantage is that case studies cannot be used to determine causation, as is the case in experimental research, where the factors or variables hypothesized to play a causal role are manipulated or controlled by the researcher. 

Link to Learning: Famous Case Studies

Some well-known case studies that related to abnormal psychology include the following:

• Harlow— Phineas Gage
• Breuer & Freud (1895)— Anna O.
• Cleckley’s case studies: on psychopathy ( The Mask of Sanity ) (1941) and multiple personality disorder ( The Three Faces of Eve ) (1957)
• Freud and  Little Hans
• Freud and the  Rat Man
• John Money and the  John/Joan case
• Genie (feral child)
• Piaget’s studies
• Rosenthal’s book on the  murder of Kitty Genovese
• Washoe (sign language)
• Patient H.M.

Naturalistic Observation

If you want to understand how behavior occurs, one of the best ways to gain information is to simply observe the behavior in its natural context. However, people might change their behavior in unexpected ways if they know they are being observed. How do researchers obtain accurate information when people tend to hide their natural behavior? As an example, imagine that your professor asks everyone in your class to raise their hand if they always wash their hands after using the restroom. Chances are that almost everyone in the classroom will raise their hand, but do you think hand washing after every trip to the restroom is really that universal?

This is very similar to the phenomenon mentioned earlier in this module: many individuals do not feel comfortable answering a question honestly. But if we are committed to finding out the facts about handwashing, we have other options available to us.

Suppose we send a researcher to a school playground to observe how aggressive or socially anxious children interact with peers. Will our observer blend into the playground environment by wearing a white lab coat, sitting with a clipboard, and staring at the swings? We want our researcher to be inconspicuous and unobtrusively positioned—perhaps pretending to be a school monitor while secretly recording the relevant information. This type of observational study is called naturalistic observation : observing behavior in its natural setting. To better understand peer exclusion, Suzanne Fanger collaborated with colleagues at the University of Texas to observe the behavior of preschool children on a playground. How did the observers remain inconspicuous over the duration of the study? They equipped a few of the children with wireless microphones (which the children quickly forgot about) and observed while taking notes from a distance. Also, the children in that particular preschool (a “laboratory preschool”) were accustomed to having observers on the playground (Fanger, Frankel, & Hazen, 2012).

It is critical that the observer be as unobtrusive and as inconspicuous as possible: when people know they are being watched, they are less likely to behave naturally. For example, psychologists have spent weeks observing the behavior of homeless people on the streets, in train stations, and bus terminals. They try to ensure that their naturalistic observations are unobtrusive, so as to minimize interference with the behavior they observe. Nevertheless, the presence of the observer may distort the behavior that is observed, and this must be taken into consideration (Figure 1).

The greatest benefit of naturalistic observation is the validity, or accuracy, of information collected unobtrusively in a natural setting. Having individuals behave as they normally would in a given situation means that we have a higher degree of ecological validity, or realism, than we might achieve with other research approaches. Therefore, our ability to generalize the findings of the research to real-world situations is enhanced. If done correctly, we need not worry about people modifying their behavior simply because they are being observed. Sometimes, people may assume that reality programs give us a glimpse into authentic human behavior. However, the principle of inconspicuous observation is violated as reality stars are followed by camera crews and are interviewed on camera for personal confessionals. Given that environment, we must doubt how natural and realistic their behaviors are.

The major downside of naturalistic observation is that they are often difficult to set up and control. Although something as simple as observation may seem like it would be a part of all research methods, participant observation is a distinct methodology that involves the researcher embedding themselves into a group in order to study its dynamics. For example, Festinger, Riecken, and Shacter (1956) were very interested in the psychology of a particular cult. However, this cult was very secretive and wouldn’t grant interviews to outside members. So, in order to study these people, Festinger and his colleagues pretended to be cult members, allowing them access to the behavior and psychology of the cult. Despite this example, it should be noted that the people being observed in a participant observation study usually know that the researcher is there to study them. [1]

Another potential problem in observational research is observer bias . Generally, people who act as observers are closely involved in the research project and may unconsciously skew their observations to fit their research goals or expectations. To protect against this type of bias, researchers should have clear criteria established for the types of behaviors recorded and how those behaviors should be classified. In addition, researchers often compare observations of the same event by multiple observers, in order to test inter-rater reliability : a measure of reliability that assesses the consistency of observations by different observers.

Often, psychologists develop surveys as a means of gathering data. Surveys are lists of questions to be answered by research participants, and can be delivered as paper-and-pencil questionnaires, administered electronically, or conducted verbally (Figure 3). Generally, the survey itself can be completed in a short time, and the ease of administering a survey makes it easy to collect data from a large number of people.

Surveys allow researchers to gather data from larger samples than may be afforded by other research methods . A sample is a subset of individuals selected from a population , which is the overall group of individuals that the researchers are interested in. Researchers study the sample and seek to generalize their findings to the population.

There is both strength and weakness in surveys when compared to case studies. By using surveys, we can collect information from a larger sample of people. A larger sample is better able to reflect the actual diversity of the population, thus allowing better generalizability. Therefore, if our sample is sufficiently large and diverse, we can assume that the data we collect from the survey can be generalized to the larger population with more certainty than the information collected through a case study. However, given the greater number of people involved, we are not able to collect the same depth of information on each person that would be collected in a case study.

Another potential weakness of surveys is something we touched on earlier in this module: people do not always give accurate responses. They may lie, misremember, or answer questions in a way that they think makes them look good. For example, people may report drinking less alcohol than is actually the case.

Any number of research questions can be answered through the use of surveys. One real-world example is the research conducted by Jenkins, Ruppel, Kizer, Yehl, and Griffin (2012) about the backlash against the U.S. Arab-American community following the terrorist attacks of September 11, 2001. Jenkins and colleagues wanted to determine to what extent these negative attitudes toward Arab-Americans still existed nearly a decade after the attacks occurred. In one study, 140 research participants filled out a survey with 10 questions, including questions asking directly about the participant’s overt prejudicial attitudes toward people of various ethnicities. The survey also asked indirect questions about how likely the participant would be to interact with a person of a given ethnicity in a variety of settings (such as, “How likely do you think it is that you would introduce yourself to a person of Arab-American descent?”). The results of the research suggested that participants were unwilling to report prejudicial attitudes toward any ethnic group. However, there were significant differences between their pattern of responses to questions about social interaction with Arab-Americans compared to other ethnic groups: they indicated less willingness for social interaction with Arab-Americans compared to the other ethnic groups. This suggested that the participants harbored subtle forms of prejudice against Arab-Americans, despite their assertions that this was not the case (Jenkins et al., 2012).

Think it Over

Research has shown that parental depressive symptoms are linked to a number of negative child outcomes. A classmate of yours is interested in  the associations between parental depressive symptoms and actual child behaviors in everyday life [2] because this associations remains largely unknown. After reading this section, what do you think is the best way to better understand such associations? Which method might result in the most valid data?

clinical or case study:  observational research study focusing on one or a few people

correlational research:  tests whether a relationship exists between two or more variables

descriptive research:  research studies that do not test specific relationships between variables; they are used to describe general or specific behaviors and attributes that are observed and measured

experimental research:  tests a hypothesis to determine cause-and-effect relationships

generalizability:  inferring that the results for a sample apply to the larger population

inter-rater reliability:  measure of agreement among observers on how they record and classify a particular event

naturalistic observation:  observation of behavior in its natural setting

observer bias:  when observations may be skewed to align with observer expectations

population:  overall group of individuals that the researchers are interested in

sample:  subset of individuals selected from the larger population

survey:  list of questions to be answered by research participants—given as paper-and-pencil questionnaires, administered electronically, or conducted verbally—allowing researchers to collect data from a large number of people

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• Slatcher, R. B., & Trentacosta, C. J. (2011). A naturalistic observation study of the links between parental depressive symptoms and preschoolers' behaviors in everyday life. Journal of family psychology : JFP : journal of the Division of Family Psychology of the American Psychological Association (Division 43), 25(3), 444–448. https://doi.org/10.1037/a0023728 ↵

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Case Study Methods

• Jacques Hamel - University of Montreal, Canada
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Detailed text, more suited to PG level students and those wanting a more 'philosophical' text. This book was originally published in French. It is a thought provoking book, and worthy of extended reading, but not really suitable for many UG level students. I have certainly found it to be a book which outlines concepts and sets out the parameters and contexts for using case studies. Intriguing indeed!

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Energy efficiency—case study for households in poland.

1. Introduction

• increasing the precision of measurement by increasing the reading frequency, which is essential mainly for the distribution network operator;
• obtaining information on daily electricity consumption by analyzing the amount of daily electricity consumption in the household;
• obtaining information on the household zone with the highest consumption by analyzing the electricity consumption in a specific zone;
• increasing household savings by analyzing energy receivers’ operating time [ 14 ].
• lower power consumption;
• lower supply voltage;
• high efficiency;
• low energy losses;
• smaller size;
• high durability and shock resistance;
• high luminance value;
• possibility of selecting a light color;
• in some models, the ability to control the lighting and its color is achieved via the bulb’s Wi-Fi module.
• appropriate building architecture (building geometry, location, size of transparent partitions, room layout);
• insulation of building partitions;
• type of ventilation used;
• type and efficiency of the heating system;
• equipment with electrical devices of the highest possible energy class;
• energy management system in the building.
• installations for generating electricity and heat using biomass or biogas obtained in the methane fermentation process;
• hydroelectric power plants (electric heating and power supply for automation and heaters in hybrid installations);
• wind power plants (electric heating and power supply for automation and heaters in hybrid installations);
• production of biofuels or other renewable fuels;
• solar collectors obtain heat directly from solar radiation and photovoltaic cells (electric heating or power supply for automation in other heating devices);
• heat pumps and devices using ambient heat or from the Earth’s interior.

2. Materials and Methods

3.1. energy consumption in households in poland, 3.2. actions aimed at improving energy efficiency in surveyed households, 4. conclusions, author contributions, data availability statement, conflicts of interest.

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Gromada, A.; Trębska, P. Energy Efficiency—Case Study for Households in Poland. Energies 2024 , 17 , 4592. https://doi.org/10.3390/en17184592

Gromada A, Trębska P. Energy Efficiency—Case Study for Households in Poland. Energies . 2024; 17(18):4592. https://doi.org/10.3390/en17184592

Gromada, Arkadiusz, and Paulina Trębska. 2024. "Energy Efficiency—Case Study for Households in Poland" Energies 17, no. 18: 4592. https://doi.org/10.3390/en17184592

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• Methodology
• Case Study | Definition, Examples & Methods

Case Study | Definition, Examples & Methods

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

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

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

Table of contents

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

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

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

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

Prevent plagiarism, run a free check.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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• Published: 15 September 2024

The middle-income trap and foreign direct investment: a mixed-methods approach centered on Mexico and South Korea

• Anthony William Donald Anastasi 1  

Humanities and Social Sciences Communications volume  11 , Article number:  1211 ( 2024 ) Cite this article

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• Development studies
• Politics and international relations

While scholars extensively study the middle-income trap, gaps persist, particularly regarding foreign direct investment and its role in transitioning from middle- to high-income status. This mixed-methods research examines the relationship between foreign direct investment inflows and escaping the middle-income trap. Utilizing a comparative case study of the automotive industries in Mexico and South Korea during the 1960s to 2000s, alongside logistic regressions, we consistently observe a negative correlation; higher foreign direct investment inflows are associated with a decreased likelihood of escaping the middle-income trap. This confirms the World-Systems Theory’s view of the relationship between foreign direct investment inflows and the middle-income trap. The implications of this study should induce caution on the part of middle-income countries when accepting foreign direct investment in strategic, high-value-adding industries. This study recommends opting for purchasing foreign technology or for joint ventures that ensure technology transfers. This research addresses a critical gap, offering insights into the nuanced dynamics of foreign direct investment’s effects on the transition from middle to high-income status.

Introduction

The World Bank classifies countries into four categories based on their gross domestic product (GDP) per capita level. For the fiscal year 2023, low-income (LI) countries are those that have a GDP per capita under 1086 USD, lower middle-income (MI) countries are those with a GDP per capita between 1086 USD and 4255 USD, upper MI countries’ GDP per capita range is between 4256 USD and 13,205 USD, and any country with a GDP per capita over 13,205 USD is considered high-income (HI) (The World Bank, 2023 ).

101 out of the 114 countries classified as MI in 1960 stayed there until 2008 (The World Bank and Development Research Center of the State Council, the People’s Republic of China, 2013 ). Meaning during that almost 50-year period, merely 13 countries, so-called breakout cases , have been able to graduate to the ranks of HI status. Footnote 1 This phenomenon has been dubbed the middle-income trap (MIT), a term first coined by the World Bank economists, Indermit Gill, Kharas ( 2007 ). According to the term’s originators, scholars have since latched onto the idea of MIT. As of 2015, papers on Google Scholar with the term in their title were at around 300, while papers with the term in its contents exceeded 3000 (Gill & Kharas, 2015 ). One can imagine the number has grown significantly since then. To define the MIT, a country is deemed trapped by remaining at lower MI status for more than 28 years, upper MI status for 14 years, or in MI status in general for longer than 42 years (Felipe et al., 2012 ).

In general terms, MI countries fail to transition to HI status and get trapped because they lack the ability to compete with either LI or HI countries. As MI countries develop and their wages grow, they lose their competitive edge in low-value-adding industries, yet unless they have successfully upgraded their industries to compete in higher-value-adding ones, they lack the ability to compete with HI countries in said industries. Accordingly, the intuitive logic behind understanding MIT as a result of the failure of industrial upgrading is evident (Anastasi, 2024b : p. 48).

Despite the popularity of MIT among scholars, some aspects and avenues of inquiry have yet to be fully investigated. One such aspect is that of foreign direct investment’s (FDI) effect on MI countries’ prospects for transitioning to HI status. As various models of state-led growth started to decline around the 1980s, the rise of global supply chains integrated LI countries and MI countries into the production processes of multinational corporations (MNCs), which chiefly originate from HI countries (Oks & Williams, 2022 ). This process has happened to such a great extent that to produce a single iPhone, various parts are needed from 43 countries on six different continents (Petrova, 2018 ).

FDI is used to set up fully foreign-owned and controlled firms in the host country or, in some cases, create joint ventures in partnership with local firms. As of 2021, the flows of FDI sat at 2.2 trillion USD, or 2.3 percent of global GDP, according to the World Bank ( 2023 ). In the same year, MI countries welcomed 754 billion USD of FDI inflows or 2.1 percent of MI countries’ GDP. MNCs’ and local firms’ interests often diverge, and with the rise of international agreements such as TRIMS (Trade-related Investment Measures), the host country’s state capacity to regulate and influence foreign firms has shrunk considerably. With the substantial amount of inflows, not to mention the stock, of FDI into the MI world and the limited power MI countries’ states have on MNCs’ operations within their borders, a rigorous investigation into its effect on MI countries’ relationship with the MIT is warranted.

While some scholars have theorized the effect FDI has on an MI country’s prospects for transitioning to HI status (Anastasi, 2023 ; Henley, 2018 ; Doner & Schneider, 2016 ; Zeng & Fang, 2014 ), to the best of the author’s knowledge, the number of empirical studies on the relationship is rather small (CM et al., 2024 ; Nguyen-Huu & Pham, 2021 ). The empirical studies, while they do look at the effects of FDI on the transition from MI to HI status, the relationship between MIT and FDI is not their main focus, leaving gaps in the scholarship. This paper, deploying a mixed-methods approach, seeks to fill this gap, first by a comparative case study and then by several logistic regressions.

The literature primarily focusing on FDI and MIT is rather limited. The scholarship on FDI and industrial upgrading as a whole is much more expensive, yet falls outside of the scope of this research, as we are primarily focused on MI countries and the industrial upgrading necessary to make the transition to HI status. Due to this, a brief comparison of the same industry during the same time period, in two different countries with two distinctly different relationships with both FDI and MIT should shine some light on this issue. We will look at how South Korea, a break-out case, was able to build a world-class automotive industry, while Mexico, a victim of MIT, was unable to, with special attention paid to FDI.

The rationale for choosing the automotive industry Footnote 2 is that during the time period of this comparative case study (1960s–2000s), it was considered a late industry, due to its demanding technological prerequisites, representing modernity (Chenery & Taylor, 1968 ). Yet this also implies that the firms and states that possess this technology will guard it fiercely. However, breaking into this industry is not impossible for countries and firms, although it is arduous. This study focuses on the case of South Korea and Mexico within the automotive sector, both having successfully established domestic industries, albeit with marked differences.

The purpose of this comparative case study is to analyze the impact of FDI on industrial upgrading. Acknowledging the imperfect nature of using industrial upgrading as a proxy for avoiding MIT, the study aims to tease out the distinctions in FDI acceptance models and their effects on industrial upgrading.

When constructing this comparative case study two additional variables (besides time) were controlled for: level of development and population size. South Korea and Mexico were around the same level of development in the early 1960s in terms of GDP per capita, which is also around the same time both attempted to use industrial policy to develop an automotive industry (The World Bank, 2024 ). Their population sizes were comparable during this period, however, Mexico’s population size grew much larger in subsequent years (The World Bank, 2024 ). This might be in part due to the fact that developing countries’ population growth is higher than developed countries.

The quantitative section seeks to confirm or deny the results of this study’s comparative case study. An explanation of the data, estimation methods, and model construction methods is given in that section of the paper.

The paper will proceed as follows: the “Literature review” section will provide a literature review of the relationship between FDI and MIT. The following section will qualitatively compare two different models of welcoming FDI by one break-out case, South Korea, and one country stuck in the MIT, Mexico. The next two sections will explore and analyze the data used and the logistic regression models built to test this relationship and discuss their results respectively. The succeeding section covers implications, and the last section serves as a conclusion.

Literature review

Positive relationship between fdi inflows and the mit.

As failure to advance towards HI status is a failure to upgrade domestic industries (Anastasi, 2024b : p. 48), the question of the relationship between MIT and FDI thus turns to does FDI aids or poses a hindrance to the type of industrial upgrading necessary to make the transition to HI status. According to Zeng and Fang’s ( 2014 ) analysis, FDI presents an obstacle. Using World-Systems Theory as a theoretical lens, the pair examines how China’s relationship with MIT might shape up to be. Zeng and Fang argue that world-systems theory does a great deal of explaining MIT since, “during the last two decades of the 20th century there appears to have been less upward mobility than occurred in the 1960s and 1970s, which suggests that ‘globalization’, rather than spreading wealth and facilitating development, may create barriers for nations on the lower rungs of the global economy to move upwards.”

Proponents of world-systems theory argue that the international division of labor serves as the fundamental organizing principle of the global economy. Consequently, peripheral and semi-peripheral countries specialize in the production of ‘periphery-like products,’ while core countries specialize in ‘core-like products.’ These core-like products necessitate “(high levels of) industrialization, advanced technology, and well-developed financial systems” for their production, thereby limiting their creation to only a handful of countries and companies with the requisite capabilities. As a result, core-like products hold a “quasi-monopolized” status, allowing for significant extraction of profits due to the lack of competition. In contrast, periphery-like products have lower production requirements, fostering genuinely competitive markets for them. When exchanges occur between the periphery and semi-periphery and the core, core-like products possess a significantly stronger position relative to periphery-like products, resulting in a flow of surplus value from the developing world to the developed world.

MNCs will utilize FDI in the developing world to capitalize on cheaper inputs, such as labor and land, resulting in narrow profit margins. The true profit-generating activities, such as product development and marketing, are often reserved for their home countries, primarily in the developed world. Zeng and Fang specifically examine China and characterize its development strategy (as of their paper in 2014) as “dependent development” due to China’s reliance on FDI and foreign technology. They argue that China’s substantial inflow of FDI could pose challenges for its transition to HI status. According to them, these challenges can manifest in three ways.

First, the type of economic activities that MNCs use China for are low-profit generating in nature, such as low-end commodity manufacturing. For example, as of 2012, Foxconn, a manufacturer of Apple products operating in China, has a profit margin of 1.5 percent, while Apple’s operating margin is more than 30 percent (Culpan, 2012 ). As of 2020, Apple’s profit margins have risen to over 40 percent, and while Foxconn’s profit margins have increased since 2012, they remain in the low single digits (Ma, 2020 ). In fact, another study looking a Brazil found that despite large inflows of FDI, FDI’s contributions to the Brazilian economy’s growth have been marginal at best, and its contributions to industrial upgrading are virtually unobservable (Arbix & Laplane, 2003 ). This is because FDI went towards purchasing already existing assets for discounted prices, rather than investing in new production capabilities.

Zeng and Fang’s ( 2014 ) second reason is that FDI increases China’s ‘economic vulnerability,’ as MNCs can move production outside of China as their manufacturing wages rise too high. This puts downward pressure on local workers’ wages, suppressing the creation of a vibrant domestic market. Lastly, high levels of FDI in certain sectors, namely high-technology ones, could suppress the emergence of local firms in those sectors.

Anastasi ( 2023 ) contributes to the ongoing theoretical discussion on the relationship between MIT, FDI, and the hierarchical international system. Drawing upon world-systems theory, I have argued that HI countries and their MNCs have incentives to impede the industrial upgrading of MI countries, thereby creating barriers to their progression towards HI status. When MNCs enter developing nations, they often strive to safeguard their technology and prevent knowledge spillovers to local firms. This strategy serves two purposes: firstly, to maintain a quasi-monopolistic hold on these markets by limiting competition, and secondly, to prevent their subsidiary’s input costs from escalating in the developing world.

Similar to the findings of Zeng and Fang ( 2014 ), Anastasi ( 2023 ) underscores the potential negative consequences of FDI in impeding the emergence of domestic national champions. This viewpoint aligns with the arguments put forth by Doner and Schneider ( 2016 ), who contend that the current stock of FDI in MI countries exceeds the levels observed during the corresponding stage of development in previously industrialized nations. While large firms play a crucial role in achieving economies of scale and averting the MIT for MI countries, reliance on MNCs to fulfill this role presents its own set of challenges.

MNCs dominate the manufacturing sectors in MI countries and significantly contribute to their exports of manufactured goods. In some MI countries, such as those in Latin America, MNCs constitute 33 percent to 50 percent of the top 100 firms (Schneider, 2013 ). This situation creates obstacles to the growth of domestic manufacturing firms while generating distinct, opposing incentives for MNCs and local companies.

Local firms have an interest in improving their country’s educational system and elevating the skill level of potential employees. In contrast, MNCs lack the same incentive since they can attract highly talented workers from the local labor pool by offering higher wages. Moreover, the stance on research and development (R&D) spending varies between MNCs and local firms. Local companies generally have an incentive to allocate some of their profits to R&D, as it can lead to long-term profitability, despite the associated risks. Conversely, MNCs tend to avoid R&D investments in host countries, reserving such endeavors primarily for their home nations. In fact, there is evidence that increases in FDI lower R&D spending in MI countries, creating additional barriers to industrial upgrading and transitioning to HI status (Anastasi, 2024a ; Azman-Saini et al., ( 2010 )).

Henley ( 2018 ) explores the historical origins and consequences of dependent industrial development in Southeast Asia, focusing on the impact of ethnic capitalism and FDI. Drawing contrasts with Northeast Asian countries like Korea, the paper contends that Southeast Asian nations, marked by ethnic business specialization, face challenges in pursuing non-dependent industrial development. It delves into the political economy of countries like Malaysia and Indonesia, highlighting the complexities arising from the dominance of ethnic Chinese minorities in the private sector. Henley ( 2018 ) argues that this phenomenon has hindered cohesive national industrialization efforts and led to a reliance on FDI, which has suppressed indigenous technology creation, particularly in the electronics sector.

Following the studies of Anastasi ( 2023 ), Henley ( 2018 ), Doner & Schneider ( 2016 ), and Zeng & Fang ( 2014 ), this paper proposes the following hypothesis:

Hypothesis 1: There is a positive relationship between the level of FDI inflows (relative to GDP) and the likelihood of being trapped in MI status.

Negative relationship between FDI inflows and the MIT

CM et al. ( 2024 ) examine the relationship between innovation (defined as labor productivity, the share of the industrial workforce, the percentage share of the population using the internet, the number of patents, and the number of scientific and technical articles) and economic globalization (defined as trade openness, FDI, high-technology exports, and taxes on international trade) on the transition from MI to HI status. Utilizing Bayesian model averaging (BMA) and the generalized method of moments (GMM), the authors found that FDI was positively correlated with transitioning from MI to HI status in both their BMA and GMM models. They also used Cox regressions in a novel fashion to test different variables’ effects on the speed of transition from MI to HI status. The results showed that the time-dependent covariate FDI increased the transition speed, thus reducing the transition duration.

Tampakoudis et al. ( 2017 ) aim to contribute to the scholarship on FDI and the MIT. However, the authors acknowledge that, at the time of their writing, “there is no empirical evidence regarding the relationship between FDI inflows and the middle-income trap.”

This study does not attempt to fill the gap that the authors identified; instead they “investigate the effects of certain determinants on FDI inflows to middle-income countries, with respect to avoiding the middle-income trap.” The study itself assumes accepting FDI is a precondition for avoiding MIT. They find that openness and GDP growth are positively correlated with FDI inflows, while population growth is negatively correlated.

Nguyen-Huu and Pham ( 2021 ) present interesting results. They test the effect of FDI inflows (among other independent variables) on GDP per capita in MI and LI countries. They find that, in the long run, FDI inflows positively correlate with GDP per capita growth for their full sample and upper MI countries. However, in the short run, for both upper and lower MI countries, FDI inflows negatively correlate with GDP per capita growth. Despite this short-term negative correlation, the long-term positive correlation with GDP per capita growth aligns Nguyen-Huu and Pham ( 2021 ) with other studies that found a negative correlation between FDI inflows and being trapped in the MIT.

Following the studies of CM et al. ( 2024 ), Tampakoudis et al. ( 2017 ), and Nguyen-Huu & Pham ( 2021 ), this paper proposes a second Hypothesis:

Hypothesis 2: There is a negative relationship between the level of FDI inflows (relative to GDP) and the likelihood of being trapped in MI status.

Comparative case study: variations in FDI reception in MI countries

The comparative analysis begins by examining Mexico’s foray into the automotive sector, characterized by the dominance of MNCs. Notably, Mexico’s potential national champion, Automex, faced challenges within this competitive landscape. In contrast, the study delves into South Korea’s experience, where the creation of national champions, epitomized by the success story of Hyundai, played a pivotal role. This exploration seeks to understand how FDI contributed to fostering a competitive domestic automotive industry, thereby influencing industrial upgrading and overall development. The chronological scope spans from the early 1960s to the 2000s, but starting a bit earlier for Mexico, providing a comprehensive backdrop for assessing the impact of various FDI models on development and industrial progress within the same industry.

The Mexican automotive industry

The Mexican automotive industry got its start with the creation of a Ford assembly plant in 1925, yet the plant did not become fully operational until 1932. During this time, most automobiles were still imported and industrial policy for the industry was fractured. Yet foreign and domestic capitalists piled into Mexico’s small automotive market due to the number of highways being built, protective tariffs, and the potential size of the market. Before the Mexican state’s first well-formulated attempt at industrial policy in 1962, 12 assemblers and 29 importers made over 100 different models. Consequently, no firm was able to hit economies of scale, which is thought to be at 100,000 units per year (Doner, 1992 ).

In the year 1960, the Mexican state produced a report, entitled the NAFIN report, on the global automotive industry and steps the state can take to ensure the development of a vibrant domestic industry. The report had a few suggestions including, (i) In order to achieve economies of scale, the state implemented a restriction on the number of assemblers, capping it at four to five. Furthermore, the range of models was also limited, and the lifespan of each model was extended to five years. (ii) Assemblers were required to integrate with local parts and components firms, with the exception of engines. The responsibility for manufacturing parts was exclusively assigned to these local firms. (iii) The standardization of auto parts was introduced, enabling parts and components firms to benefit from economies of scale and supply the same parts to different assemblers. (iv) The concept of “Mexicanization” was promoted, allowing joint ventures between local firms and MNCs, but with local Mexicans in charge of management. This blueprint provided a solid foundation for Mexico’s inaugural attempt at an industrial policy for the automotive industry, offering valuable guidance to the president and his office.

While the industrial policy for the Mexican automotive industry was well crafted, its implementation was less than desired. Despite the report on the automotive industry suggesting that only four firms be allowed to participate in auto assembly, the four largest domestic firms, Footnote 3 the government allowed many more. Two American MNCs, Ford and GM, and one Japanese MNC, Nissan were allowed to operate. By allowing these MNCs entry, the state had a hard time saying no to more domestic firms attempting to enter. This failure to limit firms in a relatively small market ensured that no firms were able to hit economies of scale.

The inclusion of more than the ideal four firms can be blamed on successful lobbying attempts by Ford. Before the report, the three largest automotive firms in Mexico were two MNCs Ford and GM, and one domestic firm, Automex. Simultaneously with the compilation of the NAFIN report, Ford crafted its own report of the Mexican state concerning the automotive industry’s development. Predictably, Ford’s report advocated a significant role for the company (Back, 1990 : p. 278). Adding to this influence, Edgar Molina, Ford’s general manager for its Mexican operations, maintained a close personal friendship with Raúl Saliana Lozano, the head of the Ministry of Industry (SIC). Exploiting this connection, Molina ensured Ford’s approval (Bennett & Sharpe, 1985 : pp. 109, 114). Thomas Mann, the U.S. ambassador to Mexico, supported this effort by conveying to the SIC that excluding U.S. firms from the industry would be viewed as an unfriendly act (Bennett & Sharpe, 1985 : p. 110). The involvement of MNCs complicated the rejection of other Mexican assemblers. Representaciones Delta, with ties to the president, gained approval after the President explicitly communicated to the SIC that they should be allowed to assemble automobiles regardless of the associated costs (Bennett & Sharpe, 1985 : 123). Additionally, Impulsore Mexicana Automotriz and Reo received approval. However, Reo, which assembled Toyotas, went out of business two years later in 1964. Subsequently, the Japanese government pressured the Mexican state to approve Nissan, threatening to halt the import of Mexican cotton if they resisted. Nissan officially entered the Mexican market in 1964, two years beyond the legal deadline (Bennett & Sharpe, 1985 : p. 111).

The failure to limit firms ensured that no firms operating in the Mexican market could hit economies of scale, which naturally benefited MNCs, as they had profitable businesses elsewhere in the world. Footnote 4 This led to the failure of many local assemblers, most notably, Automex, Mexico’s potential national champion. Automex built its business by purchasing complete-knock-down (CKD) kits from Chrysler, an American MNC. Footnote 5 At the time, Automex was Chrysler’s only exposure to the Mexican market, and refused to leave the market to Ford and GM. As Automex was looking as if it would go under, Chrysler worked with Automoex to form a plan to keep Automex afloat. The proposed plan entailed a merger among Automex, VAM, DINA, and FANASA (all three were stated owned at the time), with the distribution of equity and management rights as follows: Automex would retain one-third of both equity and management rights, Chrysler would acquire a third of the equity, and the Mexican state would also be allocated a third of the equity. The two firms approached the Mexican state with this plan and the state set up a committee to study the effects this plan would have. The committee’s report’s findings indicated that the proposed merger plan held the potential to address inefficiencies prevalent in the industry, specifically stemming from numerous firms producing an excess of models at a scale that was too low. Furthermore, the merger plan was anticipated to bolster the utilization of locally sourced parts, offering a potential resolution to Mexico’s balance-of-payment issue.

During this period, Ford grew apprehensive about the potential implications of the proposed merger plan on its position in the Mexican auto market. Specifically, Ford was concerned about disruptions to its supply chain from the United States. The worry centered around the likelihood of increased local content requirements if the merger plan proceeded. This would compel Ford to acquire more locally sourced parts, potentially forcing price hikes or extending model life due to the perceived lower quality and limited scale of Mexican domestic parts and components firms.

In response, Ford, mindful of Campos Salas’s, the head of Mexico’s SIC, efforts to encourage more exports, approached him with an alternative proposal. Capitalizing on concerns about the balance of payments, Ford devised a plan where exports would offset imports. The proposition stipulated that starting in 1972, firms must export an amount equivalent to their imports to maintain basic production quotas. Those exceeding this requirement could see an increase in their production quotas. This approach allowed Ford to prioritize higher exports over increasing locally sourced parts for its Mexican operations.

In the end, the state chose Ford’s plan over Automex’s merger plan. This led to Automex failing and Chrysler acquiring it. Automex’s failure was the last nail in the coffin for Mexico’s attempt at creating a national champion in its automotive industry. Instead, MNCs and FDI grew to dominate the sector. Though the state did not give up on industrial policy for this sector, the goals of the state shifted from trying to create a Mexicanized automotive industry, to one that could alleviate balance-of-payments concerns of the country, as these were the main targets of 1972, 1977, 1983, and 1989 presidential decrees on the automotive industry. Within these goals, the state had some successes. In regards to industrial upgrading, not so much. The industry could assemble automobiles efficiently and even manufacture engines, yet the true high-value-adding parts of the production process never moved into Mexico, as the MNCs saved that for their home countries.

The 1980s brought about a debt crisis in Mexico and most of Latin America entitled the Latin American Debt Crisis . The Mexican state pursued a strategy of liberalization after this (Morton, 2003 ). After 1994, the Mexican automotive sector was heavily deregulated, and decision-making power for the industry moved even further away from Mexico City, and even closer to Detroit (Moreno Brid, 1996 ). According to Chiquiar and Tobal’s ( 2019 ) analysis of Mexico’s engagement in Global Value Chains (GVC), the country’s automotive industry held a 6.3 percent share of the international industry’s GVC in 1994, a figure that significantly rose to 27.2 percent by 2017. Notably, there was a strategic shift from manufacturing capital-intensive parts in 1994 to labor-intensive assembly of automobiles in 2017. The transformation was also reflected in employment dynamics. In 1990, Mexico accounted for seven percent of North American automotive jobs, a percentage that surged to 42 percent by 2017 (King’s College London, 2021 ). However, this influx of jobs was accompanied by a wage squeeze. In 2007, the average wage in the Mexican automotive industry stood at 3.95 USD per hour, which decreased to 3.60 USD in 2013 and further dropped to just 2.30 USD in 2019 (King’s College London, 2021 ). This decline in wages corresponded with a reduction in Mexico’s domestic value added (Blyde, 2014 ), both on the aggregate and for the automotive industry in particular, with domestic value added falling by 50 percent between 2003 and 2016 for the automotive industry (King’s College London, 2021 ).

The involvement of FDI and MNCs in the Mexican automotive industry had a detrimental impact on industrial upgrading. Ford, in particular, vehemently opposed Automex’s success, depriving Mexico of a national champion and diminishing its prospects of advancing toward the higher-value-added segments of automotive production. The neoliberal shift in Mexico resulted in increased production volume within the industry, but a simultaneous decline in value-added components. This shift indicated that, once the state withdrew, MNCs were inclined to exploit Mexico for its relatively cheap labor, reserving the genuinely high-value-adding aspects for their home countries. Consequently, Mexico found itself confined or even downgraded within the division of labor in the automotive industry.

The South Korean automotive industry

South Korea’s automotive industry had its start in 1961 when the newly established interim government led by Park Chung Hee following his military coup in the same year, constructed an automotive assembly plant and passed the Law for the Protection of the Automobile Industry and the Five-Year Plan for the Promotion of the Automobile Industry . Instead of having a foreign firm or a joint venture, a domestic firm, Saenara, was given monopoly rights to assemble automobiles in Korea, and it started importing semi-knock-down (SKD) kits from Nissan to assemble its Bluebird model. For reasons mostly outside of Saenara’s control, the firm went under after assembling just 2,773 automobiles (Yülek et al., 2020 ). South Korea faced a currency crisis and depleted foreign reserves rendered it impossible for Saenara to continue importing SKD kits from Nissan. Consequently, Saenara faced closure and was ultimately acquired by South Korea’s Ministry of Commerce and Industry (MCI) and Hanil Bank, a state-owned bank.

After Parks’s 1963 presidential victory and the creation of the 3rd Republic of Korea, South Korea had its second attempt at industrial policy for the automotive industry. The following year saw the launch of the Promotion Plan for the Automobile Industry and the search for a new monopolist assembly firm. After intense disagreement within the South Korean state, Sinjin emerged victorious after securing the support of President Park himself (Kim & Lee, 2013 ). In 1965, Sinjin took over Saenara and started importing SKD kits and assembling Toyota’s Corona model the following year under a licensing agreement with 21 percent of parts being locally produced (Chang, 1985 ). The local automotive market experienced a surge in demand, but Sinjin maintained low production levels, and reaped significant profits, attracting new players such as Asia Motors and Hyundai Motors (Kim & Lee, 2013 ). Footnote 6 These entrants, arguing that Sinjin’s dependence on Toyota hindered the growth of the domestic parts industry, persuaded the government to allow their entry. Consequently, Asia Motors and Hyundai Motors, importing SKD kits from Fiat and Ford, respectively, entered the market.

Increasing the number of assembly firms by 200 percent made the task of building a vibrant local auto parts and components industry much more difficult. A market as small as South Korea split between three assemblers, would not have enough production of a single model of automobile needed to allow the local auto parts firms to hit economies of scale. Understanding this, Park’s government launched the 1969 Basic Promotion Plan for the Automobile Industry . The plan focused on increasing the number of local parts bought by the three assembly firms and building out local engine manufacturing capability. Yet as part of the 1969 plan, local firms would need to partner with MNCs in order to attain foreign engine manufacturing know-how, breaking with South Korea’s previous strategy of simply purchasing foreign technology.

Sinjin, the current market leader, partnered up with General Motors (GM), an American MNC. President Park figured that this joint venture would ensure US defense commitment to South Korea. GM knowing this took advantage of Sinjin and scored a great deal. Both companies would invest 24 million USD and split the ownership 50/50, yet GM also controlled all of the financing, received 750,000 USD a year in management fees, and received three percent of total sales. This resulted in the creation of GM Korea (GMK). Hyundai, as a new entrant in the automotive industry, saw this plan as an opportunity to score a larger market share and leapfrog Sinjin. Hyundai entered negotiations with its partner Ford, yet the two never reached an agreement, leaving Hyundai completely domestically owned.

The 1969 plan was a disaster, as almost none of the goals were met. This failure of industrial policy was also in the context of an economic and political crisis, which led to a regime change (though not a change of government). After declaring a state of emergency, Park pushed through the Yushin (유신) constitution, creating the Fourth Republic of Korea (4RoK). This essentially got rid of any checks and balances from the judiciary or the legislators, and allowed President Park to rule for life (Im, 2013 ). The idea of ‘ politicians ruling and bureaucrats governing ,’ still held as the fourth republic was just as technocratic as the third, yet the capacity of the South Korean state was increased dramatically (Kim & Lee, 2013 ). This change in state structure also brought about a change in economic priorities, namely a heavy industry and chemicals (HCI) drive.

The 4RoK’s HCI drive introduced a new plan for the automotive industry, and in 1973 the Long-Term Plan for the Promotion of the Automobile Industry was launched. The underpinning of this plan was the creation of a ‘ citizen’s car ,’ a fully domestically designed and made model. Along with requirements for the price, fuel efficiency, restrictions on the number of models, and length of time for which each model could be made, it had the requirement of being made with 95 percent locally sourced parts. The plan was met with mixed reviews from the assemblers. In 1973, GMK was clearly the leader out of the three domestic assemblers, and had no real interest in export promotion, as that could damage GM’s (the MNC) position in the global automobile market. Limiting the number of and extending the production cycle for models, could allow Hyundai and Asia Motors to cut into GMK’s market share, which would run counter to GMK’s interest. Additionally, GMK had little faith in local parts and components firms, as they just purchased these parts from GM’s global network from much more efficient firms, and the local content requirements would put their car at the same level of quality as the other two assemblers (Kim & Lee, 2013 ). Additionally, GMK complained that the investment requirements were too high, and domestic demand and domestic technology were too low (Yülek et al., 2020 ).

Hyundai’s reaction was much different. In fact, due to its loose ties with MNCs and its drive to become a world-class brand, the MCI worked with Hyundai’s management team as they crafted the Long-Term Plan. Asia Motors and GMK did in fact increase the amount of locally sourced parts in their assembled automobiles, yet the models they produced were just previous models from their licensors with minor changes. Hyundai had their sights set on creating their own car, and they did.

In 1974 Hyundai introduced a prototype of its first original model, the Pony. By 1976, the Hyundai Pony was ready for the domestic market, and it was an instant hit. The pony was first introduced with about 85–90 percent of locally sourced parts (Yülek et al., 2020 ). In one year, Hyundai’s market share went from 19 percent to 39 percent. In 1979, it had a majority market share of 51 percent (Hyundai Jadongcha Isipnyeonsa, 1987 ). Hyundai’s success and rising incomes within Korea led to a large increase in auto production.

The development of the Pony was a large task, as the technology levels of Hyundai and the South Korean economy were quite low at the time. Hyundai was able to acquire foreign technology without becoming a pawn of MNCs. They did this through licensing agreements and diversifying where technology came from, Hyundai’s pony was designed by an Italian car maker, a design for an engine from the U.K., and other important parts designed by the Japanese. Also by hiring foreign talent, in 1974 Hyundai hired George Turnbull, an automobile maker executive from the U.K. and he brought with him a team of engineers from the U.K. Lastly, they struck a mutually beneficial deal with Japan’s Mitsubishi. Mitsubishi, lagging behind its Japanese competitors, saw a partnership with Hyundai as an opportunity to leapfrog them (Kim & Lee, 2013 ).

Soon after Hyundai found success in its home market, it turned its sights to overseas markets, namely in the developing world. However, South Korea was dragged into both a political and economic crisis following the 1979 assassination of Park Chung Hee. After a small window of political openness, Chun Doo-hwan took control of power via a coup and immediately set up an interim government. The interim government was keen on consolidation within the automotive industry. In August and September of 1980, GM (the foreign owner of GMK) and Hyundai held six meetings, yet hit a dead-end over the issues of exports and equity ratio. Hyundai wanted GM to control only 20 percent of equity and have no management rights, while GM wanted 50 percent of equity and veto power over management decisions. GM also wanted to incorporate Hyundai into its global network of suppliers, while Hyundai wanted to become an international brand. GM wanted to turn Hyundai into something it fought hard and took risks to make sure it would not become, a mere pond of an MNC.

After Chun Doo-hwan established the Fifth Republic of Korea, the merger plan for the automotive industry was abandoned. Hyundai entered the United States market in 1984 and was able to compete with MNCs in their own backyard. This success was due to Hyundai’s competitiveness and a bit of luck. The United States and Japanese trading relations took a bit of a dive, creating an opening for cheap passenger automobiles, which Hyundai filled. Many developed economies’ automakers started to focus on larger, more expensive vehicles, which allowed Hyundai to excel in the small passenger vehicle market. Additionally, Hyundai strengthened its relationship with Mitsubishi. Hyundai got to access Mitsubishi’s global marketing network and some of Mitsubishi’s superior technology, while Mitsubishi saw this as an opportunity to leap-frog its domestic competitors within the US market by taking a 10 percent stake in Hyundai.

At the same time, Hyundai began investing heavily in R&D in order to start developing its own indigenous technology. Starting from 23.8 billion won in 1982 and by 1987, Hyundai’s R&D spending hit 467 billion won, which accounted for 72 percent of the South Korean automotive industry’s total R&D spending in 1982 and 1987, 50 percent (Yülek et al., 2020 ). Hyundai continues to excel and continues to use more and more of its indigenous technology rather than licensed technology for its automobiles.

The Korean automotive industry took another hit during the 1997 Asian Financial Crisis, yet was able to return to growth. Currently, South Korea’s automotive industry is one of the world’s biggest and most developed. The country is the fifth-largest auto producer in the world and the sixth-largest exporter of automobiles (Yoon, 2023 ).

A comparison of the two

The South Korean and Mexican automotive industries developed on different trajectories, and this is, in part, due to their different models of accepting FDI. South Korea’s industry has developed into one of the world’s largest and most advanced. The Mexican automotive industry did in fact develop into something laudable. Currently, Mexico’s automotive industry is the sixth-largest producer of passenger automobiles in the world, just below South Korea (International Trade Administration, 2023 ). In 2019, Mexico produced 3.8 million units, most of which were exported (Carlier, 202 ). On average, 89 percent of automobiles produced in Mexico are exported to the rest of the world, yet a majority of them are exported to the United States, as 80 percent of all automobiles produced in Mexico are exported there (International Trade Administration, 2023 ). Mexico does not have any national champions, so most of the automotive industry is linked to global supply chains, namely for North America, with ‘ The American Big Three ’ (Ford, GM, and Chrysler), playing a large role. This means that FDI plays a huge role in the Mexican automotive industry, making up 5 billion USD a year on average (Carlier, 2023 ).

Despite this notable success, it has been unable to move up the division of labor in the industry and is stuck to performing relatively low-value-adding economic activities. This is clearly due to the level of FDI and the number of MNCs Mexico allowed to operate within its automotive industry. One of the largest challenges when first developing this industry is that of economies of scale, consequently, large firms, or national champions, are needed to overcome this obstacle. We saw that Hyundai was able to grow into a large firm by purchasing foreign technology and keeping an arm’s length away from MNCs. In Mexico, Ford was able to ensure that Automex, Mexico’s potential national champion, went under. This is due to its superior market power, which came from profits it earned elsewhere in the world, and its ability to co-op industrial policy, again due to its profits it earned elsewhere.

It would be irresponsible to assume that if Mexico never allowed such large amounts of FDI, its automotive industry would have developed much like South Korea’s. However, without Ford, the driving force that brought about Automex’s destruction would not have been present, giving Mexico a greater chance of creating a national champion within its automotive industry. Taking a step back, if this trend of FDI negatively affecting industrial upgrading in MI countries continues, then we should see similar results in the quantitive models.

Data and research design

The data collected for the four models built in this study come from the World Bank’s Databank website. Four breakout cases : South Korea, Uruguay, Greece, and Japan, and four countries that are trapped : Mexico, Turkey, Malaysia, and Brazil were chosen. Footnote 7 The years for this data span from 1970 to 2000. The starting year was chosen due to the availability of data concerns, and the last year was chosen to minimize the years when the breakout cases were at HI status.

Estimation methods

The question of whether a country has or has not advanced toward HI status results in a simple, binary answer; consequentially a logistic regression is best suited for this conundrum. This study employs a cross-sectional approach. Although the data covers multiple years, the MIT outcomes are constant over time for each country, with breakout cases coded as 1 and trapped cases coded as 0 for the entire period. This approach allows us to capture variations between countries and different levels of FDI inflows relative to GDP, enhancing the robustness of our findings regarding the impact of FDI inflows on overcoming the MIT. Descriptions of the variables used can be found in Table 1 , and descriptive statistics and the variable’s Pearson’s correlations can be found in Table 2 .

Model construction

Figure 1 simply shows the levels of FDI%G of the countries that advanced to HI status (1) and those trapped at MI status (0). Figures 2 and 3 are the logistic regression curve and the marginal effects plot, respectively, of a simple logistic regression between MITθ (dependent variable) and FDI%G (independent variable). All figures show a clear negative relationship between acceptance of FDI%G and MITθ, being the advancement to HI status. Model 1 is written as:

Notes: The y -axis is MIT outcomes (0:trapped, 1:not trapped) and the x -axis is foreign direct investment inflows (% of GDP).

Notes: The y -axis is the probability of MIT outcomes and the x -axis is foreign direct investment inflows (% of GDP).

Notes: The y -axis is MIT outcomes and the x -axis is foreign direct investment inflows (% of GDP).

To further test this relationship, three additional models were built. Model 2 adds two additional variables that have been argued to be correlated with development, the ADR and GCF. Footnote 8 Model 2 is written as:

The third model adds E and MVA to simulate the characteristics of the developmental state, which has been credited with enabling the quick, robust development found in East Asia (Haggard, 2018 ). Model 3 is written as:

The fourth model combines all the control variables, which is written as:

The results of the models can be found in Table 3 , and the 95 percent confidence intervals of the odds ratios for each variable in the models can be found in Table 4 .

Robustness test

To test the robustness of these four models, this study deployed four different subsample analysis tests, dividing the data by region (Table 5 ). The initial test mirrored the first model of this study, using only one independent variable (FDI%G), but focused solely on countries in East Asia (South Korea, Japan, and Malaysia). FDI%G continued to show significance in this context.

The second subsample test also used East Asian countries but added ADR and GCF, similar to the second model of this study. FDI%G remained significant; interestingly, ADR, which was significant in Models 2 and 4, appeared nonsignificant in this test. Due to data availability concerns, the third and fourth models of this study were not tested.

The third test replicated Model 1 (and Test 1) but examined only Latin American countries (Mexico, Brazil, and Uruguay). FDI%G was significant, although slightly less so, with a p -value of 0.006. The fourth and final test mirrored Model 2 (and Test 2) but focused on observations from Latin American countries. Similar to Test 3, FDI%G was significant, though less so than in the first two tests (and the four models), with a p -value of 0.003.

Empirical results

Descriptive statistics and pearson’s correlations.

The mean values and standard deviations of key variables are as follows: FDI%G (1.116, 1.501), GCF (25.972, 7.889), ADR (64.283, 15.047), E (21.832, 20.082), and MVA (21.654, 4.945). These indicate moderate variability in FDI%G, significant differences in GCF, a broad range in ADR, considerable disparity in E , and moderate variability in MVA. Pearson’s correlation coefficients show: FDI%G has slight positive correlations with GCF (0.131) and ADR (0.173), moderate positive correlation with E (0.715), and weak correlation with MVA (0.041). GCF has a negative correlation with ADR (−0.452) and positive correlations with E (0.263) and MVA (0.246). ADR has weak negative correlations with E (−0.021) and MVA (−0.151). E has a moderate positive correlation with MVA (0.245). None of the correlation coefficients are considerably high (<0.9), indicating no significant multicollinearity. This suggests that the independent variables are not highly correlated, ensuring more reliable regression analysis results.

The initial model, which considers only FDI%G as a predictor, revealed a significant negative association. The odds ratio (OR) for FDI%G was 0.36 (95% CI: 0.24–0.51), indicating that a one-unit increase in FDI%G is associated with a 64% decrease in the odds of positive MITθ. An OR of 0.36 means that for each one-unit increase in FDI%G, the odds of transitioning to HI status decreased by 64% (since 1–0.36 = 0.64). This is a substantial effect, highlighting that FDI inflows might be counterproductive to achieving economic advancement in the context of MI countries.

The 95% confidence interval for the OR (0.24–0.51) indicates that the true effect of FDI%G on the odds of escaping the MIT is highly unlikely to be greater than 0.51 or less than 0.24. This range suggests robustness in the negative association between FDI%G and positive MITθ, providing strong evidence that higher FDI levels are consistently associated with lower odds of transitioning to HI status. This model’s goodness of fit is reflected in the McFadden R² (0.16) and Nagelkerke R² (0.20).

Expanding the model to include GCF and the ADR introduced new insights. FDI%G remained negatively associated with MITθ, with an odds ratio (OR) of 0.42 (95% CI: 0.27–0.60). This indicates that for each one-unit increase in FDI%G, the odds of transitioning to HI status decrease by 58% (since 1 − 0.42 = 0.58). The consistency of the negative association across models reinforces the robustness of the finding that higher FDI inflows are detrimental to achieving economic advancement.

The ADR also exhibited a significant negative association with MITθ, with an OR of 0.81 (95% CI: 0.76–0.86). This means that for each one-unit increase in the ADR, the odds of transitioning to HI status decreased by 19% (since 1 − 0.81 = 0.19). This suggests that higher ADRs, indicative of a larger proportion of dependents (both young and old) relative to the working-age population, hinder economic progression to HI status. The inclusion of GCF in the model did not yield a significant association with MITθ, implying that variations in gross capital formation do not substantially impact the likelihood of escaping MIT in this context.

The goodness of fit for Model 2, as indicated by the Akaike Information Criterion (AIC) of 142.95 and the Bayesian Information Criterion (BIC) of 157.01, suggests a good balance between model fit and complexity. The lower AIC and BIC values relative to Model 1 indicate improved model performance while maintaining parsimony. The pseudo-R² values for Model 2 (McFadden: 0.60, Nagelkerke: 0.76) show a substantial increase compared to Model 1, reflecting a better explanatory power of the model with the additional predictors. These values suggest that the model explains a significant portion of the variance in the outcome variable, providing a more comprehensive understanding of the factors influencing the transition to HI status.

Incorporating E and MVA alongside FDI%G demonstrated that FDI%G retained a negative association (OR = 0.12, 95% CI: 0.05–0.24). This indicates that for each one-unit increase in FDI%G, the odds of transitioning to HI status decrease by 88% (since 1 − 0.12 = 0.88).

E exhibited a positive association with the odds of transitioning to HI status, with an OR of 1.07 (95% CI: 1.04–1.11). This means that for each one-unit increase in E , the odds of transitioning to HI status increase by 7%. This positive association suggests that higher export levels contribute to economic progression, potentially by fostering greater economic activity and integration into global markets. MVA did not show significance.

The model exhibited a reasonable fit (AIC: 184.86, BIC: 197.76). These criteria suggest that the model balances fit and complexity well, providing a robust framework for understanding the factors influencing the transition to HI status.

The final model included all predictors, and FDI%G continued to exhibit a negative association (OR = 0.22, 95% CI: 0.08–0.45). This suggests that a one-unit increase in FDI%G is associated with a 78% decrease in the odds of moving to HI status (since 1 − 0.22 = 0.78). Notably, the ADR retained its significant associations. The model’s fit was well-balanced, as indicated by the AIC of 118.94 and the BIC of 138.30. These values suggest that the model effectively captures the relationship between the predictors and the outcome without excessive complexity. The relatively high pseudo-R² values (McFadden: 0.55, Nagelkerke: 0.70) further indicate that the model provides a good fit to the data, capturing a substantial proportion of the variability in the likelihood of transitioning to HI status.

The consistent negative correlation between FDI and the likelihood of transitioning to HI status across all models supports the first hypothesis, allowing us to reject the first null hypothesis. Higher levels of FDI appear to hinder a country’s ability to escape the MIT. However, the results seem to counter the second hypothesis, indicating that we cannot reject the second null hypothesis.

The AIC and BIC values offer valuable insights into model fit and complexity. Lower AIC and BIC values across subsequent models suggest improved goodness of fit without an unwarranted increase in complexity. Thus, the selected models strike a balance between explanatory power and parsimony, enhancing the robustness of the findings. These results collectively contribute to a nuanced understanding of the factors influencing MITθ and the role FDI plays in the transition from MI to HI status.

The findings from the qualitative comparative case study, specifically that FDI played a negative role in the formation of Mexico’s automotive industry and hindered its transition from MI to HI status, were confirmed by the results of the multiple logistic regression models. This finding is particularly significant in the context of the global economic landscape, where FDI is often considered a key driver of economic growth (Bénétrix et al., 2023 ).

The results of both the qualitative and quantitative studies have several theoretical implications. First, they run counter to CM et al. ( 2024 ) and Tampakoudis et al. ( 2017 ). Second, they confirm the theoretical studies of Anastasi ( 2023 ), Henley ( 2018 ), Doner & Schneider ( 2016 ), and Zeng & Fang ( 2014 ), validating the claim by Anastasi ( 2023 ), Zeng & Fang ( 2014 ) and World-Systems theorist that the free movement of capital seems to harm developing countries’ prospects of development rather than aid it. Finally, these findings open up new questions, particularly regarding the mechanism by which FDI harms the host countries’ transition from MI to HI status.

As for the exact mechanism by which higher levels of FDI lead to a lower chance of advancing to HI status, future research is needed. However, based on this study’s comparative case study, it seems that FDI prevents the materialization of large domestic firms capable of performing high-value-adding economic activities within the host country. This was evident in the case of the Mexican automotive industry, where MNCs, through both economic (increased competition) and political (successful lobbying to influence industrial policy) fronts, prevented Automex from succeeding. This stands in contrast to South Korea’s model of FDI acceptance, where Hyundai grew into a large firm capable of performing the highest value-adding economic activities within the automotive industry.

Beyond the primary independent variable of this study, FDI%G, there were some interesting findings with the other control variables. GCF was not found to be significant in any model it was included in (Models 2 and 4), nor was it significant in the subsample analysis tests. ADR was significant in Models 2 and 4 but was insignificant in the subsample analysis test focused solely on East Asia. E was significant in Model 3, but once other control variables were added in Model 4, it was not significant. Lastly, MVA was not found to be significant in any model.

Implications

In 2021, according to the World Bank ( 2023 ), MI countries received $754 billion of FDI inflows, which represented 2.1% of their GDP. While this is a substantial amount, the results of this mixed-method study suggest that MI countries should exercise caution in accepting FDI.

It would be unwise for MI countries to completely shut down FDI inflows; instead, they should adopt a more balanced approach to advance towards HI status.

If the primary mechanism by which FDI traps MI countries at MI status is indeed the suppression of large domestic firms capable of performing high-value-adding economic activities, then MI countries should be selective about the FDI they allow or accept FDI in a way that promotes industrial upgrading. China’s automotive industry provides a useful example. Starting in 1994, China crafted an industrial policy for the automotive sector that included MNCs and sought to attract FDI through joint ventures (JVs), where MNCs partnered with local firms. Footnote 9 With state support in negotiating technology transfers, China’s young domestic firms entered the market and moved towards higher-value-adding economic activities (Chin, 2018 ). Today, Chinese automakers are world-class in terms of electric vehicles, showcasing how properly managed FDI can enable industrial upgrading.

However, not every MI country has a market the size of China, which might make MNCs reluctant to transfer technology merely to enter a smaller market. In such cases, MI country governments should strategically decide which sectors to allow FDI. For higher-value-adding industries, whose creation is essential for avoiding the MIT, MI countries should initially aid local firms in purchasing foreign technology and subsequently support the development of indigenous technology, much like the strategy employed by South Korea (Anastasi, 2024b : p. 116).

From a global economic governance perspective, the global trading system and the system of global flows of capital are broken. This harms both developed countries, such as the United States (Klein & Pettis, 2021 ; p. 190) and developing countries alike. The implications of the study imply that capital flows into the MI world, in the form of FDI are harmful to industrial upgrading, economic advancement, and thus making the transition to HI status. As stated above there are some domestic policy implications (such as the use of JVs, being selective as to which sectors of the economy can welcome FDI inflows, and obtaining foreign technology through technology purchases and licensing agreements), although there are some global economic governance implications. MI should attempt to bring their domestic laws in line surrounding FDI inflows in a manner that increases the likelihood of technology transfers (namely in regards to JVs and intellectual property rights) and force a global norm change regarding FDI. This could stop a potential “race-to-the-bottom” in regards to laws governing FDI inflows within the MI world. We have seen something like this in the case of the “Global Minimum Corporate Tax” (GMCT) (Partington, 2021 ), which major countries agreed a few years back. This could serve as a model for a new international structure to govern FDI inflows into the MI world.

While the concept of MIT has received well-deserved attention from scholars during its almost two decades in existence, some large questions about it remain. One of these is the effect FDI has on the transition from MI to HI status. Through a mixed-method approach, this research attempted to fill this gap.

In examining the trajectories of the automotive industries in Mexico and South Korea, this comparative case study reveals nuanced insights into the role of FDI in shaping industrial development. The Mexican automotive industry, heavily reliant on FDI, found itself entwined with MNCs, facing challenges in achieving economies of scale and failing to create national champions. In contrast, South Korea strategically navigated its industrial policy, fostering the emergence of successful domestic players like Hyundai.

The Mexican experience highlights the complexities of managing FDI and underscores the impact of MNCs’ influence on policy decisions. The failure to limit the number of firms and the dominance of MNCs hindered industrial upgrading, leaving Mexico performing relatively low-value-adding economic activities. The shift in industrial policy focus from creating a Mexicanized industry to addressing balance-of-payments concerns marked a significant turning point. Conversely, South Korea’s journey showcases the potential for strategic policy interventions to foster a vibrant domestic industry. The emphasis on a “citizen’s car” with high local content, successful collaborations with MNCs, and Hyundai’s innovative approaches allowed South Korea to become a major global player. The ability to balance domestic priorities with international partnerships contributed to South Korea’s position as one of the world’s largest and most advanced automotive industries.

The comparative analysis underscores the critical importance of policy choices and the nature of FDI acceptance models in determining industrial outcomes. While Mexico achieved success in becoming a major automotive producer, it struggled to move up the division of labor and remained dependent on global supply chains. In contrast, South Korea’s strategic policies facilitated the creation of a robust industry with substantial technological advancements.

The logistic regression models, analyzing the relationship between FDI and a country’s likelihood of advancing to HI status, consistently demonstrated a negative association. Higher levels of FDI appear to hinder a country’s ability to escape the MIT. The inclusion of control variables provided a nuanced understanding of the factors influencing outcomes, emphasizing the delicate interplay between FDI and other economic indicators. While the results of this study run counter to some of the earlier ones (CM et al., 2024 ; Tampakoudis et al., 2017 ), it validated the claim by World-Systems theorists (Anastasi, 2023 ; Zeng & Fang, 2014 ), that the free movement of capital seems to harm developing countries’ prospects of development rather than aid it.

The limitations of this study are that in cases such as the Chinese automotive industry, we have indeed seen FDI inflows lead to industrial upgrading (Chin, 2018 ). While on the aggregate, FDI inflows seem to pose a threat to industrial upgrading thus avoiding the MIT in terms of MI countries, there seem to be cases that do no comfort to the results of this study. Future research should investigate why this is so, to better understand under which conditions can FDI aid development and industrial upgrading in MI countries.

In conclusion, the experiences of Mexico and South Korea in the automotive sector and the logistic regression models point to the fact that states should exercise caution while accepting FDI. States should devise domestic laws governing FDI and MNCs to facilitate technology transfers to local firms or opt to push domestic firms to purchase foreign technology through licensing agreements, avoiding FDI altogether. Careful policy considerations and strategic planning that empower the creation of national champions and indigenous technology development are essential for ensuring long-term success. The findings of this study contribute to the broader discourse on the impact of FDI on industrialization and provide valuable insights for policymakers and scholars alike.

Data availability

The data used in the quantitative part of this study can be found on the World Bank Databank’s website or alternatively can be made available by requesting it from the author. The qualitative data can be found through in-text citations.

These break-cases are; Israel, Japan, Ireland, Spain, Hong Kong, Singapore, Portugal, Taiwan, Mauritius, Equatorial Guinea, South Korea, Greece, and Puerto Rico. The number of HI countries has since changed a bit from the time of the writing of the World Bank’s report. New entries mostly include post-Soviet states, island states, and Chile and Uruguay in South America. Equatorial Guinea and Mauritius, two of the 13 break-out cases, have since declined in terms of GDP per capita and have been downgraded to MI status.

For a comprehensive look at automotive industry building in the developing world, please see Doner (1992).

The ideal four firms would be: Automex, DINA, Promexa, and VAM.

In fact, one study shows that between the years 1966 to 1972, MNCs’ profits were about 16.5% higher than local firms within the Mexican automotive industry (Jenkins, 1997).

Complete-knock-down kits are kits that contain most, if not all, of the necessary parts needed to assemble automobiles. They differ from semi-knock-down kits, as complete-knock-down kits are completely unassembled, while semi-knock-down kits come with some of the parts already assembled to some degree.

Asia Motors was bought out by Kia in 1976, yet will be referred to as Asia Motors for the sake of consistency.

Trapped countries are according to Felipe et al.’s (2012) definition of being trapped in the MIT.

See Lawton ( 2019 ) for the age dependency ratio’s link to economic growth in developing countries and Topcu et al. ( 2020 ) for the link between gross capital formation and economic growth.

This was the 1994 Automotive Industry Policy (AIP), or the 1994版《汽车工业产业政策》. The 1994 AIP details were; (i) local firms could only partner with world-leading automotive MNCs, (ii) the MNCs could not have more than a 49 percent stake in the joint venture, (iii) the MNCs could not be involved in the distribution and sales of the automobiles, as that would be the sole responsibility of the local firm, (iv) at least 40 percent of automotive’s part should be bought locally, and the higher the local content level, the lower the import duties would be for the rest of the imported parts, (v) local firms are allowed to set up joint ventures with multiple MNCs (yet this was there to increase the local firm’s power within their relationship with the MNC), and (vi) the MNC should perform R&D in China.

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Anastasi, A.W.D. The middle-income trap and foreign direct investment: a mixed-methods approach centered on Mexico and South Korea. Humanit Soc Sci Commun 11 , 1211 (2024). https://doi.org/10.1057/s41599-024-03662-6

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• Volume 14, Issue 9
• Evaluating the impact of malaria rapid diagnostic tests on patient-important outcomes in sub-Saharan Africa: a systematic review of study methods to guide effective implementation
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• http://orcid.org/0000-0001-9521-624X Jenifer Akoth Otieno 1 ,
• Lisa Malesi Were 1 ,
• http://orcid.org/0000-0002-7316-3340 Caleb Kimutai Sagam 1 ,
• Simon Kariuki 1 ,
• http://orcid.org/0000-0002-7951-3030 Eleanor Ochodo 1 , 2
• 1 Centre for Global Health Research, Kenya Medical Research Institute , Kisumu , Kenya
• 2 Centre for Evidence-Based Health Care, Division of Epidemiology and Biostatistics, Faculty of Medicine and Health Sciences , Stellenbosch University , Cape Town , South Africa
• Correspondence to Ms. Jenifer Akoth Otieno; jenipherakoth15{at}gmail.com

Objective To perform critical methodological assessments on designs, outcomes, quality and implementation limitations of studies evaluating the impact of malaria rapid diagnostic tests (mRDTs) on patient-important outcomes in sub-Saharan Africa.

Design A systematic review of study methods.

Data sources MEDLINE, EMBASE, Cochrane Library, African Index Medicus and clinical trial registries were searched up to May 2022.

Eligibility criteria Primary quantitative studies that compared mRDTs to alternative diagnostic tests for malaria on patient-important outcomes within sub-Sahara Africa.

Data extraction and synthesis Studies were sought by an information specialist and two independent reviewers screened for eligible records and extracted data using a predesigned form using Covidence. Methodological quality was assessed using the National Institutes of Health tools. Descriptive statistics and thematic analysis guided by the Supporting the Use of Research Evidence framework were used for analysis. Findings were presented narratively, graphically and by quality ratings.

Results Our search yielded 4717 studies, of which we included 24 quantitative studies; (15, 62.5%) experimental, (5, 20.8%) quasi-experimental and (4, 16.7%) observational studies. Most studies (17, 70.8%) were conducted within government-owned facilities. Of the 24 included studies, (21, 87.5%) measured the therapeutic impact of mRDTs. Prescription patterns were the most reported outcome (20, 83.3%). Only (13, 54.2%) of all studies reported statistically significant findings, in which (11, 45.8%) demonstrated mRDTs’ potential to reduce over-prescription of antimalarials. Most studies (17, 70.8%) were of good methodological quality; however, reporting sample size justification needs improvement. Implementation limitations reported were mostly about health system constraints, the unacceptability of the test by the patients and low trust among health providers.

Conclusion Impact evaluations of mRDTs in sub-Saharan Africa are mostly randomised trials measuring mRDTs’ effect on therapeutic outcomes in real-life settings. Though their methodological quality remains good, process evaluations can be incorporated to assess how contextual concerns influence their interpretation and implementation.

PROSPERO registration number CRD42018083816.

• INFECTIOUS DISEASES
• Tropical medicine

Data availability statement

Data are available upon reasonable request. Our reviews’ data on the data extraction template forms, including data extracted from the included studies, will be availed by the corresponding author, JAO, upon reasonable request.

This is an open access article distributed in accordance with the Creative Commons Attribution 4.0 Unported (CC BY 4.0) license, which permits others to copy, redistribute, remix, transform and build upon this work for any purpose, provided the original work is properly cited, a link to the licence is given, and indication of whether changes were made. See:  https://creativecommons.org/licenses/by/4.0/ .

https://doi.org/10.1136/bmjopen-2023-077361

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STRENGTHS AND LIMITATIONS OF THIS STUDY

We conducted a robust literature search to get a recent representative sample of articles to assess the methodology.

In addition to the methodology of studies, we evaluated the implementation challenges that limit the effect of the tests.

We only included studies published in English which might have limited the generalisability of study findings, but we believe this is a representative sample to investigate the methods used to assess the impact of malaria rapid diagnostic tests.

Introduction

The malaria burden remains high in sub-Saharan Africa despite several interventions deployed to control. 1 Interventions include but are not limited to the adoption of parasitological confirmation of malaria infection using malaria rapid diagnostic tests (mRDTs) and effective treatment using artemisinin-based combination therapies. 2 3 In 2021, there were 247 million cases of malaria reported globally, an increase of 2 million cases from 245 million cases reported in 2020. 4 This estimated increase in 2021 was mainly reported in sub-Saharan Africa. 4 Of all global malaria cases in 2021, 48.1% were reported in sub-Saharan Africa—Nigeria (26.6%), the Democratic Republic of the Congo (DRC) (12.3%), Uganda (5.1%) and Mozambique (4.1%). 4–6 Similarly, 51.9% of the worldwide malaria deaths were reported in sub-Saharan African—Nigeria (31.3%), the DRC (12.6%), the United Republic of Tanzania (4.1%) and Niger (3.9%). 4–6

Following the 2010 WHO’s policy on recommending parasitological diagnosis of malaria before treatment, the availability and access to mRDTs have significantly increased. 7 For instance, globally, manufacturers sold 3.5 billion mRDTs for malaria between 2010 and 2021, with almost 82% of these sales being in sub-Saharan African countries. 4 In the same period, National Malaria Control Programmes distributed 2.4 billion mRDTs globally, with 88% of the distribution being in sub-Saharan Africa. 4 This demonstrates impressive strides in access to diagnostic services in the public sector but does not effectively reveal the extent of test access in the private and retail sectors. Published literature indicates that over-the-counter (OTC) malaria medications or treatment in private retail drug stores are often the first point of care for fever or acute illness in African adults and children. 7–9 Using mRDTs in private drug outlets remains low, leading to overprescribing antimalarials. Increased access to mRDTs may minimise the overuse of OTC medicines to treat malaria.

Universal access to malaria diagnosis using quality-assured diagnostic tests is a crucial pillar of the WHO’s Global Technical Strategy (GTS) for malaria control and elimination. 4 10 11 Assessing the role of mRDTs in achieving the GTS goals and their impact on patient-important outcomes is essential in effectively guiding their future evaluation and programmatic scale-up. 12 Rapidly and accurately identifying those with the disease in a population is crucial to administering timely and appropriate treatment. It plays a key role in effective disease management, control and surveillance.

Impact evaluations determine if and how well a programme or intervention works. If impact evaluations are well conducted, they are expected to inform the scale-up of interventions such as mRDTs, including the cost associated with the implementation. Recent secondary research (systematic reviews on the impact of mRDTs on patient-important outcomes) 13 is only based on assessing mRDTs’ effect and does not consider how well the individual studies were conducted. Odaga et al conducted a Cochrane review comparing mRDTs to clinical diagnosis. They included seven trials where mRDTs substantially reduced antimalarial prescription and improved patient health outcomes. However, they did not assess the contextual factors that influence the effective implementation of the studies. There is a need to access the methodological implementation of studies that evaluate the impact of mRDTs. To our knowledge, no study has investigated the implementation methods of studies evaluating the impact of mRDTs.

We aimed to perform critical methodological assessments on the designs, outcomes, quality and implementation limitations of studies that evaluate the impact of mRDTs compared with other malaria diagnostic tests on patient-important outcomes among persons suspected of malaria in sub-Saharan Africa. We defined patient-important outcomes as; characteristics valued by patients which directly reflect how they feel, function or survive (direct downstream health outcomes such as morbidity, mortality and quality of life) and those that lie on the causal pathway through which a test can affect a patient’s health, and thus predict patient health outcomes (indirect upstream outcomes such as time to diagnosis, prescription patterns of antimalarials and antimicrobials, patient adherence). 14

We prepared this manuscript according to the reporting guideline: Preferred Reporting Items for Systematic Reviews and Meta-Analyses (PRISMA-2020) 15 ( online supplemental files 1; 2 ). The protocol is registered with the International Prospective Register of Systematic Reviews and was last updated in June 2022. The protocol is also available as a preprint in the Open Science Network repositories. 12

Supplemental material

Patient and public involvement, criteria for including studies in this review, study designs.

We included primary quantitative studies published in English. We included observational and experimental studies in either controlled or uncontrolled settings. We did not limit trials to the unit of randomisation (individual or cluster). We extracted qualitative data from quantitative studies on implementation limitations. We excluded studies, which only provided test accuracy statistics without evaluating the tests’ impact on patient-important outcomes and modelling studies. We also excluded editorials, opinion pieces, non-research reports, theoretical studies, secondary quantitative studies, reports, case studies, case series or abstracts with insufficient information or no full texts available, as the methodology of the studies could not be fully appraised.

Population and setting

We defined our population as people suspected of having malaria infection caused by any of the four human malaria parasites ( Plasmodium falciparum, P. malariae, P. ovale and P. vivax ) who reside in any sub-Saharan African country, regardless of age, sex or disease severity.

Intervention

We restricted studies for inclusion to those assessing mRDTs, regardless of the test type or the manufacturer.

We included studies comparing mRDTs to microscopy, molecular diagnosis (PCR) or clinical/presumptive/routine diagnosis.

We included studies reporting on at least one or more patient-important outcomes. We adopted the conceptual framework for the classification of these outcomes as described by Schumacher et al . 16 Further details regarding the classification are available in our protocol. 12

Measures of the diagnostic impact that indirectly assess the effect of mRDTs on the diagnostic process, such as time to diagnosis/turn-around time and prediagnostic loss to follow-up.

Measures of the therapeutic impact that indirectly assess the effect of mRDTs on treatment decisions, such as time to treatment, pretreatment loss to follow-up, antimalarial/antibiotics prescription patterns and patient adherence to the test results.

Measures of the health impact that directly assess the effect of mRDTs on the patient’s health, such as mortality, morbidity, symptom resolution, quality of life and patient health costs.

Search methods for identifying studies

Electronic searches.

Given the review’s purpose to assess the methodology of existing studies, we searched the following electronic databases for a representative sample till May 2022; MEDLINE, EMBASE, Cochrane Library and African Index Medicus. We also searched clinical trial registries, including clinicaltrials.gov, the meta-register of controlled trials, the WHO trials register and the Pan African Clinical Trials Registry. We applied a broad search strategy that included the following key terms: “Malaria”, “Diagnosis”, “Rapid diagnostic test”, “Impact”, “Outcome” and their associated synonyms. The full search strategy is provided in online supplemental file 2 .

Other searches

We searched reference lists and citations of relevant systematic reviews that assessed the impact of mRDTs on patient-important outcomes. We checked for searches from conference proceedings within our search output.

Study selection

Two reviewers independently screened the titles and abstracts of the search output and identified potentially eligible full texts using Covidence—an online platform for systematic reviews. 17 We resolved any differences or conflicts through discussion among the reviewers or consulting a senior reviewer.

Data extraction

Two reviewers independently extracted data from studies included using a predesigned and standard data extraction form in Covidence. 17 We piloted the form on two potentially eligible studies before its use and resolved any differences or conflicts through a discussion among the reviewers or consulting a senior reviewer. The study information that was extracted included the following:

General study details include the first author, year, title, geographical location(s), population, target condition and disease seasonality.

Study design details such as the type of study, intervention, comparator, prediagnostic, pretreatment and post-treatment loss to follow-up, outcome measures and results for outcome measures (effect size and precision). Study design issues were also considered, including sample size, study setting, inclusion criteria and study recruitment.

The quality assessment of the included studies was also performed using the National Institute for Health (NIH) quality assessment tools 18 ( online supplemental file 3 ).

The implementation challenges, as reported by study authors in the methods and the discussion sections, were extracted according to the four main domains of the Supporting the Use of Research Evidence (SURE) framework for identifying barriers and enablers to health systems: recipient of care, providers of care, health system constraints and sociopolitical constraints 19 ( online supplemental file 4 ).

Quality assessment

We assessed the methodological quality of included studies in Covidence. 17 We adopted two NIH quality assessment tools 18 for experimental and observational designs. Two reviewers independently assessed the methodological quality of studies as stratified by study design. We resolved any differences or conflicts by discussing among the reviewers or consulting a senior reviewer. Our quality evaluation was based on the number of quality criteria a study reported about its internal validity. The overall score was used to gauge the study’s methodological quality. We did not exclude studies based on the evaluation of methodological quality. Instead, we used our assessment to explain the methodological issues affecting impact studies of mRDTs.

We did not pool results from included individual studies, but we conducted descriptive statistics by synthesising our results narratively and graphically, as this was a methodological review. All included studies were thereby considered during narrative synthesis.

Quantitative data

We started our analysis by listing and classifying identified study designs and patient-important outcomes according to similarities. Stratified by study design, we used descriptive statistics for summarising key study characteristics. Descriptive analysis was done using STATA V.17 (Stata Corp, College Station, TX).

Qualitative data

We used the thematic framework analysis approach to analyse and synthesise the qualitative data to enhance our understanding of why the health stakeholders thought, felt and behaved as they did. 20 We applied the following steps: familiarisation with data, selection of a thematic framework (SURE), 19 coding themes, charting, mapping and interpreting identified themes.

A summary of our study selection has been provided in figure 1 . Our search yielded 4717 records as of June 2022. After removing 17 duplicates, we screened 4700 studies based on their titles and abstracts and excluded 4566 records. After that, we retrieved 134 full texts and screened them against the eligibility criteria. We excluded 110 studies. The characteristics of excluded studies are shown in online supplemental file 5 . Therefore, we included 24 studies in this systematic review.

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Preferred Reporting Items for Systematic Reviews and Meta-Analyses 2020 flow diagram showing the study selection process.

General characteristics of included studies

Study characteristics have been summarised in online supplemental file 6 . Studies included in this review were done in Ghana (7, 29.2%), Uganda (7, 29.2%), Tanzania (6, 25%), Burkina Faso (3, 12.5%), Nigeria (2, 8.3%) and Zambia (1, 4.2%). Most studies (16, 66.7%) were done on mixed populations of children and adults, while the remaining (8, 33.3%) were done on children alone. All studies (24, 100%) tested mRDTs as the intervention. Most studies (18, 75%) compared mRDTs to presumptive treatment/clinical diagnosis/clinical judgement, while the remaining (7, 29.2%) had microscopy and routine care (1, 4.2%) as their comparator. No study reported on PCR as a control.

Of all included studies, (17, 70.8%) were carried out in rural areas within government-owned facilities, (7, 29.2%) in urban areas and (2, 8.3%) in peri-urban areas. Few studies (6, 25%) were conducted in privately owned propriety facilities. Most studies (15, 62.5%) were conducted in health facilities and only (9, 37.5%) were within the communities. Studies conducted within health centres were (9, 37.5%), while those conducted in hospitals were (7, 29.2%). Most studies (15, 62.5%) were conducted during the high malaria transmission season, (9, 37.5%) during the low malaria season and (4, 16.7%) during the moderate malaria season. P. falciparum was the most common malaria parasite species (21, 87.5%)

We included multiple-armed studies with an intervention and a comparator ( online supplemental file 6 ). Of the 24 studies, (15, 62.5%) were experimental designs in which, (10, 41.7%) were cluster randomised controlled trials (4, 16.7%) were individual randomised controlled trials and (1, 4.2%) was a randomised crossover trial. Of the remaining studies, (5, 20.8%) were quasi-experimental designs (non-randomised studies of intervention) in which (4, 16.7%) were pre-post/before and after studies and (1, 4.2%) was non-randomised crossover trials. The remaining studies (4, 16.7%) were observational where, (3, 12.5%) were cross-sectional designs and (1, 4.2%) was a cohort study.

Patient-important outcomes

Patient-important outcome measures and individual study findings are summarised in online supplemental file 7 . Of the 24 included studies, (21, 87.5%) measured the therapeutic impact of mRDTs, while (13, 54.2%) evaluated its health impact and only (1, 4.2%) assessed its diagnostic impact. Only (13, 54.2%) of all studies reported statistically significant findings.

Measures of therapeutic impact

Of the included studies, (20, 83.3%) reported on either antimalarials or antibiotics prescription patterns. The patient’s adherence to test results was reported by (3, 12.5%) studies, and the time taken to initiate treatment was reported by (2, 8.3%). In contrast, the pretreatment loss to follow-up was reported by (1, 4.2%) study. Studies reporting statistically significant findings on prescription patterns were (12, 50%), in which (11, 45.8%) demonstrated mRDTs’ potential to reduce over-prescription of antimalarials. In contrast, (1, 4.2%) study reported increased antimalarial prescription in the mRDT arm. Other statistically significant findings were reported by two studies where (1, 4.2%) reported that patients’ adherence to test results was poor in the malaria RDT arm. In contrast, the other (1, 4.2%) reported that mRDTs reduced the time to offer treatment.

Measures of health impact

Of the included studies, (6, 25%) reported on mortality, while (5, 20.8%) reported on symptom resolution. Patient health cost was reported by (4, 16.7%) studies, while patient referral and clinical re-attendance rates were reported by (2, 8.3%) each. Few (3, 12.5%) studies reported statistically significant findings on measuring the health impact that mRDTs improved the patient’s health outcomes by reducing morbidity.

Measures of diagnostic impact

Time taken to diagnose patients with malaria was reported by (1, 4.2%) study where diagnosis using mRDTs reduced the time to diagnose patients, but the findings were not statistically significant.

Implementation challenges

The themes identified among included studies according to the SURE framework 19 are presented in table 1 . Most themes (n=7, 50%) emerged from the health system constraints domain while only one theme was reported under the domain, social and political constraints. Two themes, human resources and patient’s attitude were dominant. Lack of qualified staff in some study sites and patient’s preference for alternative diagnostic tests other than mRDTs hindered effective implementation of five studies.

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Implementation challenge reported by the included studies

Methodological quality of included studies

The methodological quality of the included studies is summarised in figures 2 and 3 . All studies assessed their outcomes validly and reliably and consistently implemented them across all participants. Some studies did not provide adequate information about loss-to-follow-up. Overall, (17, 70.8%) were of good methodological quality in which (11, 45.8%) were experimental, (3, 12.5%) were quasi-experimental and (3, 12.5%) were observational studies; however, blinding was not feasible. Concerns regarding patient non-adherence to treatment were reported in some studies. Sample size justification which is crucial when detecting differences in the measured primary outcomes was poorly reported among most studies. A detailed summary of each study’s performance is available in online supplemental files 8 and 9 .

Quality assessment of controlled intervention study designs. NIH, National Institute for Health.

Quality assessment of observational study designs. NIH, National Institute for Health.

In this methodological systematic review, we assessed the designs, patient-important outcomes, implementation challenges and the methodological quality of studies evaluating the impact of mRDTs on patient-important outcomes within sub-Saharan Africa. We found evidence of mRDTs’ impact on patient-important outcomes came from just a few (six) from Western, Eastern and Southern African countries. Few studies were done on children, while most enrolled mixed populations in rural settings within government-owned hospitals. Few studies were conducted within the community health posts. Included studies assessed mRDTs’ impact compared with either microscopy/clinical diagnosis, with a majority being carried out during the high malaria transmission seasons in areas predominated by P. falciparum . Studies included were primary comparative designs, with experimental designs being the majority, followed by quasi-experimental and observational designs.

While most studies evaluated the therapeutic impact of mRDTs by measuring the prescription patterns of antimalarials/antibiotics, few assessed the test’s health and diagnostic impact. Few studies reported statistically significant findings, mainly on reduced antimalarial prescription patterns due to mRDTs. Most studies were of good quality, but quality concerns were lack of adequate information about loss-to-follow-up, inability to blind participants/providers/investigators, patient’s poor adherence to treatment options provided as guided by the predefined study protocols and lack of proper sample size justification. Key implementation limitations included inadequate human resources, lack of facilities, patients’ unacceptability of mRDTs, little consumer knowledge of the test and the providers’ low confidence in mRDTs’ negative results.

Schumacher et al conducted a similar study focusing on the impact of tuberculosis molecular tests, but unlike ours, they did not focus on implementation challenges. Similar to our results, Schumacher et al 16 identified that evidence of the impact of diagnostic tests comes from just a small number of countries within a particular setting. 16 Likewise, most studies evaluating the impact of diagnostic tests are done in health facilities like hospitals rather than in the community. 16 Our finding that the choice of study design in diagnostic research is coupled with trade-offs is in line with Schumacher’s review. 16 In the same way, experimental designs are mostly preferred in assessing diagnostic test impact, followed by quasi-experimental studies—majorly pre-post studies—conducted before and after the introduction of the intervention. 16 Our findings also agree that observational designs are the least adopted in evaluating diagnostic impact. 16 Similarly, our review’s finding concur with Schumacher et al that it may be worthwhile to explore other designs 16 that use qualitative and quantitative methods, that is, the mixed-methods design, as this can create a better understanding of the test’s impact in a pragmatic way.

Our findings that studies indirectly assess the impact of diagnostic tests on patients by measuring the therapeutic impact rather than the direct health impact agree with Schumacher et al . 16 However, in this systematic review, the ‘prescription patterns’ were most reported in contrast to Schumacher et al , where the ‘time to treatment’ was by far the most common. 16 Similar to our finding, Schumacher et al determined that there is a trade-off in the choice of design and the fulfilment of criteria set forth to protect the study’s internal validity. 16 While Schumacher et al investigated the risk of bias, our review focused on methodological quality. 16

Diagnostic impact studies are complex to implement despite being crucial to any health system seeking to roll-out the universal health coverage programmes. 21 Unlike therapeutic interventions that directly affect outcomes, several factors influence access to and effective implementation of diagnostic testing. 22 While it is easier to measure indirect upstream outcomes to quantify mRDTs’ impact on diagnosis and treatment options, it is crucial to understand the downstream measures such as morbidity (symptom resolution, clinical re-attendance and referrals), mortality, patient health costs 22 are key to improving value-based care. Contextual factors such as the provider’s lack of trust in the test’s credibility can negate the positive effects of the test, such as good performance. This is a problem facing health systems that are putting up initiatives to roll out mRDTs as the providers often perceive that negative mRDTs’ results are false positives. 16 22 Consequently, lacking essential facilities and human resources can hinder the true estimation of the value mRDTs contribute to the patient’s health in resource-limited areas.

Strengths and limitations

We conducted a robust literature search to get a recent representative sample of articles to assess the methodology. In addition to the methodology of studies, we evaluated the implementation challenges that limit the effect of the tests. Although we only included studies published in English which could affect generalisability of these findings, we believe this is a representative sample. Included studies were just from a few countries with sub-Sahara which could limit generalisability to other countries within the region. Since the overall sample size may not be an adequate representative of the entire population, the findings presented herein should be interpreted with caution. Additionally, considerations of the limited diversity in terms of study populations, interventions and outcome measures due to the few countries represented in the review should be included when interpreting our findings.

Health system concerns in both anglophone and francophone countries in sub-Saharan Africa are similar. 23 Studies did not report on blinding, but this did not affect their methodological quality since prior knowledge of the test and the intervention itself calls for having prior knowledge of the test. Our study was limited by reporting of study items such as randomisation and blinding of participants, providers and outcome assessors. This limited our quality assessment in quasi-experimental studies. Therefore, authors are encouraged to report the study findings according to the relevant reporting guidelines. 24 Most studies did not justify their sample sizes which could have compromised the validity of findings by influencing the precision and reliability of estimates. In cases where the sample size is inadequate, the reliability and generalisability of the findings becomes limited due to imprecise estimates with broad CIs. Studies reported poor adherence to protocols which could have reduced the sample size and the overall statistical power which could limit validity.

Implications for practice, policy and future research

Controlling the malaria epidemic in high-burden settings in sub-Saharan Africa will require the effective implementation of tests that do more than provide incremental benefit over current testing strategies. Contextual factors affecting the test performance need to be considered a priori and factors introduced to mitigate their effect on implementing mRDTs. Process evaluations 25 can be incorporated into quantitative studies or done alongside quantitative studies to determine whether the tests have been implemented as intended and resulted in certain outputs. Process evaluations 25 can be incorporated into experimental studies to assess contextual challenges that could influence the design. Process evaluations can help decision-makers ascertain whether the mRDTs could similarly impact the people if adopted in a different context. Therefore, not only should process evaluations be performed but they should also be performed in a variety of contexts. It is prudent that patient-important outcomes be measured alongside process evaluations to better understand how to implement mRDTs. It may be worthwhile to focus on methodological research that guides impact evaluation reporting, particularly those that consider contextual factors. Future studies on the impact of mRDTs could improve by conducting mixed-methods designs which might provide richer data interpretation and insights into implementation challenges. Future studies could also consider providing clear justification for the sample size to ensure there is enough power to detect a significant difference.

Most studies evaluating mRDTs’ impact on patient-important outcomes in sub-Saharan Africa are randomised trials of good methodological quality conducted in real-life settings. The therapeutic effect of mRDTs is by far the most common measure of mRDTs’ impact. Quality issues include poor reporting on sample size justification and reporting of statistically significant findings. Effective studies of patient-important outcome measures need to account for contextual factors such as inadequate resources, patients’ unacceptability of mRDTs, and the providers’ low confidence in mRDTs’ negative results, which hinder the effective implementation of impact-evaluating studies. Process evaluations can be incorporated into experimental studies to assess contextual challenges that could influence the design.

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Not applicable.

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Acknowledgments.

We also acknowledge the information search specialist Vittoria Lutje for designing the search strategy and conducting the literature searches.

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X @AkothJenifer, @sagamcaleb1

Contributors Concept of the study: EO. Drafting of the initial manuscript: JAO. Intellectual input on versions of the manuscript: JAO, LMW, CKS, SK, EO. Study supervision: SK, EO. Approving final draft of the manuscript: JAO, LMW, CKS, SK, EO. Guarantor: JAO.

Funding EO is funded under the UK MRC African Research Leaders award (MR/T008768/1). This award is jointly funded by the UK Medical Research Council (MRC) and the UK Foreign, Commonwealth & Development Office (FCDO) under the MRC/FCDO Concordat agreement. It is also part of the EDCTP2 programme supported by the European Union. This publication is associated with the Research, Evidence and Development Initiative (READ-It). READ-It (project number 300342-104) is funded by UK aid from the UK government; however, the views expressed do not necessarily reflect the UK government’s official policies. The funding organisations had no role in the development of this review.

Competing interests None declared.

Patient and public involvement Patients and/or the public were not involved in the design, or conduct, or reporting, or dissemination plans of this research.

Provenance and peer review Not commissioned; externally peer reviewed.

Supplemental material This content has been supplied by the author(s). It has not been vetted by BMJ Publishing Group Limited (BMJ) and may not have been peer-reviewed. Any opinions or recommendations discussed are solely those of the author(s) and are not endorsed by BMJ. BMJ disclaims all liability and responsibility arising from any reliance placed on the content. Where the content includes any translated material, BMJ does not warrant the accuracy and reliability of the translations (including but not limited to local regulations, clinical guidelines, terminology, drug names and drug dosages), and is not responsible for any error and/or omissions arising from translation and adaptation or otherwise.

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Electrical Resistivity Tomography study above inaccessible old mine workings for safe erection of high voltage electricity power transmission terrestrial towers: a case study 

• Original Paper
• Published: 13 September 2024
• Volume 83 , article number  398 , ( 2024 )

Cite this article

• Abhay Kumar Bharti 1 ,
• Amar Prakash 1 ,
• Sandip Oraon 1 ,
• Prerna Jaiswal 1 &
• Sujit Kumar Mandal 1  

Old and abandoned mine workings become inaccessible with time owing to safety issues thereby demanding insight review of strata overlying such areas. Electrical Resistivity Tomography (ERT) survey was carried out at locations within Kajora area of Eastern Coalfield Limited (ECL) in Raniganj coalfield, India to assess the present strata condition for the proposed high voltage electric transmission layout. Parallel 2D ERT profiles were carried out with 20 m offset covering the study area. Considering the sensitiveness in horizontal direction i.e., identification of vertical structures, the Dipole-Dipole array methodology was implemented. The acquired data sets were filtered and processed using Prosys-II software. L-curve criteria for misfit data was used for proper interpretation of subsurface features. Non-linear least-squares regularized optimization method and 3D ERT volumetric model were performed by combining 2D ERT parallel profiles data sets for better resolution of underground old mine working and accurately map the status of mine workings. High resistivity magnitude ranging between 200 Ωm to 1600 Ωm indicated intact bedrock and solid pillar. Depillared workings area (either dry-filling or air-filled) was identified through anomalous high resistivity magnitude of more than 1600 Ωm. The data generated were also validated with underground working plan and available borehole data. Combination of 2D ERT and 3D ERT techniques against each profile was found to be effective for detection of strata condition for safe installation of terrestrial high voltage electric transmission towers.

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The authors extend thanks to Director, CSIR-Central Institute of Mining and Fuel Research, Dhanbad, for providing relevant support, guidance in this study and permission for publication.

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Abhay Kumar Bharti, Amar Prakash, Sandip Oraon, Prerna Jaiswal & Sujit Kumar Mandal

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Bharti, A.K., Prakash, A., Oraon, S. et al. Electrical Resistivity Tomography study above inaccessible old mine workings for safe erection of high voltage electricity power transmission terrestrial towers: a case study . Bull Eng Geol Environ 83 , 398 (2024). https://doi.org/10.1007/s10064-024-03893-6

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Received : 25 September 2023

Accepted : 29 August 2024

Published : 13 September 2024

DOI : https://doi.org/10.1007/s10064-024-03893-6

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