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Writing a case report in 10 steps

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• Victoria Stokes , foundation year 2 doctor, trauma and orthopaedics, Basildon Hospital ,
• Caroline Fertleman , paediatrics consultant, The Whittington Hospital NHS Trust
• victoria.stokes1{at}nhs.net

Victoria Stokes and Caroline Fertleman explain how to turn an interesting case or unusual presentation into an educational report

It is common practice in medicine that when we come across an interesting case with an unusual presentation or a surprise twist, we must tell the rest of the medical world. This is how we continue our lifelong learning and aid faster diagnosis and treatment for patients.

It usually falls to the junior to write up the case, so here are a few simple tips to get you started.

First steps

Begin by sitting down with your medical team to discuss the interesting aspects of the case and the learning points to highlight. Ideally, a registrar or middle grade will mentor you and give you guidance. Another junior doctor or medical student may also be keen to be involved. Allocate jobs to split the workload, set a deadline and work timeframe, and discuss the order in which the authors will be listed. All listed authors should contribute substantially, with the person doing most of the work put first and the guarantor (usually the most senior team member) at the end.

Getting consent

Gain permission and written consent to write up the case from the patient or parents, if your patient is a child, and keep a copy because you will need it later for submission to journals.

Information gathering

Gather all the information from the medical notes and the hospital’s electronic systems, including copies of blood results and imaging, as medical notes often disappear when the patient is discharged and are notoriously difficult to find again. Remember to anonymise the data according to your local hospital policy.

Write up the case emphasising the interesting points of the presentation, investigations leading to diagnosis, and management of the disease/pathology. Get input on the case from all members of the team, highlighting their involvement. Also include the prognosis of the patient, if known, as the reader will want to know the outcome.

Coming up with a title

Discuss a title with your supervisor and other members of the team, as this provides the focus for your article. The title should be concise and interesting but should also enable people to find it in medical literature search engines. Also think about how you will present your case study—for example, a poster presentation or scientific paper—and consider potential journals or conferences, as you may need to write in a particular style or format.

Background research

Research the disease/pathology that is the focus of your article and write a background paragraph or two, highlighting the relevance of your case report in relation to this. If you are struggling, seek the opinion of a specialist who may know of relevant articles or texts. Another good resource is your hospital library, where staff are often more than happy to help with literature searches.

How your case is different

Move on to explore how the case presented differently to the admitting team. Alternatively, if your report is focused on management, explore the difficulties the team came across and alternative options for treatment.

Finish by explaining why your case report adds to the medical literature and highlight any learning points.

Writing an abstract

The abstract should be no longer than 100-200 words and should highlight all your key points concisely. This can be harder than writing the full article and needs special care as it will be used to judge whether your case is accepted for presentation or publication.

Discuss with your supervisor or team about options for presenting or publishing your case report. At the very least, you should present your article locally within a departmental or team meeting or at a hospital grand round. Well done!

Competing interests: We have read and understood BMJ’s policy on declaration of interests and declare that we have no competing interests.

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Methodology

• 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.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Research bias

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

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How to Write Case Reports and Case Series

Ganesan, Prasanth

Department of Medical Oncology, Jawaharlal Institute of Postgraduate Medical Education and Research, Puducherry, India

Address for correspondence: Dr. Prasanth Ganesan, Medical Oncology, 3 rd Floor, SSB, Jawaharlal Institute of Postgraduate Medical Education and Research, Dhanvantari Nagar, Puducherry - 605006, India. E-mail: [email protected]

Received March 13, 2022

Received in revised form April 10, 2022

Accepted April 10, 2022

This is an open access journal, and articles are distributed under the terms of the Creative Commons Attribution-NonCommercial-ShareAlike 4.0 License, which allows others to remix, tweak, and build upon the work non-commercially, as long as appropriate credit is given and the new creations are licensed under the identical terms.

Case reports are considered the smallest units of descriptive studies. They serve an important function in bringing out information regarding presentation, management, and/or outcomes of rare diseases. They can also be a starting point in understanding unique associations in clinical medicine and can introduce very effective treatment paradigms. Preparing the manuscript for a case report may be the first exposure to scientific writing for a budding clinician/researcher. This manuscript describes the steps of writing a case report and essential considerations when publishing these articles. Individual components of a case report and the “dos and don'ts” while preparing these components are detailed.

INTRODUCTION

A case report describes several aspects of an individual patient's presentation, investigations, management decisions, and/or outcomes. This is a type of observational study and has been described as the smallest publishable unit in medical literature.[ 1 ] A case series involves a group of patients with similar presentations or treatments. In modern medicine [ Figure 1 ], these publications are categorized as the “lowest level of evidence”.[ 2 ] However, they serve several essential functions. For example, there are rare diseases where large, randomized trials, or even observational studies may not be possible. Medical practice, in these conditions, is often guided by well-presented case reports or series. There are situations where a single case report has heralded an important therapy change.[ 3 ] Further, case reports are often a student's first exposure to manuscript writing. Hence, these serve as training for budding scholars to understand scientific writing, learn the process of manuscript submission, and receive and respond to reviewer comments. This article explains the reasons why case reports are published and provides guidance for writing such type of articles.

WHY ARE CASE REPORTS PUBLISHED?

A case report is often published to highlight the rarity of a particular presentation. However, it may be of much more value if it also informs some aspects of management. This could be in the form of rare expressions of a common disease so that clinicians who read will be aware and can consider additional possibilities and differential diagnoses when encountering similar situations. A new form of evaluation of a patient, either to facilitate the diagnostics or to improve understanding of the disease condition, may stimulate a case report. Novel treatments may be tried, and the results might be necessary to disseminate. This may be encountered either in rare diseases or conditions where treatment options are exhausted. Moreover, randomized trials report outcomes of a group and often do not inform about the individual patient. [ Table 1 ] describes a few examples of case reports/case series which have had a remarkable impact on medical practice.

ETHICAL ISSUES

If there is a possibility of patient identification from the report, it is mandatory to obtain informed consent from the patient while approval from the institutional ethics committee (IEC) may also be needed depending on institutional policies.[ 7 ] If identifying information is absent (or if suitable steps are taken to remove identifying information or hide the identity, (such as by covering the eyes), it may still be required by some journals to obtain ethics committee approval for certain types of case reports. If a case series involves retrospective chart review, “waiver-of-consent” may be sought from the ethics committee. Indian Ethical Guidelines do not separately address this issue in case reports.[ 8 ] The Committee on Publication Ethics has described best practices for journals when publishing case reports which also gives links to model consent forms.[ 9 ]

HOW TO START?

If you are a beginner and you have identified an interesting case which you want to report, the first step would be to sit with your team and discuss the aspects of the case you want to highlight in your publication.[ 10 ] Do a literature search and try to summarize available information before writing the draft. It would also be a good idea to understand which journal you are targeting; this will assist in determining the number of figures, the word limits, and ethical requirements (such as informed consent). Discussions with senior faculty about the authors and their order should also be done at this point to avoid issues later. For a beginner, it would be a good practice to present the case in the department or in an institutional scientific forum before writing up the manuscript.

COMPONENTS OF a CASE REPORT

A case report usually has the following sections: an abstract, a brief introduction, the actual description of the case, and finally, the discussion which highlights the uniqueness of the case and includes a conclusion statement. Many journals these days publish case reports only as a letter to editor; in such cases, an abstract is not usually required.

The title must be informative about the problem being reported. It may refer to the particular issue being highlighted in the report, or it may refer to the educational aspect of that particular report. Catchy titles are often used by authors to trigger interest among the readers and make them want to read the article. Authors may remember to use titles which will help people locate the article when searching the literature.

When writing a title, it may be best to avoid terms such as “case report,” “review of literature,” “unique,” “rare,” “first-report”; these do not add value to the presentation.

Introduction

This must introduce the condition and clearly state why the case report is worth reading. It may also contain a brief mention of the current status of the problem being described with supporting references.

Describing the case

The case must be presented succinctly, in a chronological order, clearly highlighting the salient aspects of the case being reported. Relevant negative findings may be provided. For example, if a case is being reported for elaborating a new type of treatment, then more attention must be given to treatment aspects (e.g., name of the drug, dosage, schedule, dose modifications, or the type of surgery, duration, and type of anesthesia) after briefly describing the presentation and diagnostics. The idea is that the reader must be able to apply the treatment in his/her practice if required.

However, if the case is being presented for diagnostic rarity/unusual clinical features/pathological aspects, then more attention must be given to these aspects. For example, if the emphasis is on tissue pathology, then the description must include details about tissue processing, types of stains, and immunohistochemistry details.

Figures and tables

Figures, as in any publication, should be self-explanatory. A properly constructed figure legend can be used for describing certain aspects of the case much better than long-winded text in the main manuscript. This will also help to reduce the word count in the main manuscript. If there are multiple figures (e.g., follow-up radiology series and response to treatment images), these can be combined as [ Figure 1 ]a, [ Figure 1 ]b, [ Figure 1c ] or [ Figure 1 ]a, [ Figure 1 ]b, [ Figure 1 ]c, [ Figure 1d ]. This will help conform to the figure number limits prescribed by the journal. While preparing the figures, one must ensure that the quality of the art/photograph is not compromised. Further, patient identifying features must be masked, unless necessary to show.

Tables are usually not part of case reports but may be used. One example is presenting the baseline investigations in a tabular format which can facilitate assimilation as well as reduce the word count. Tables are more often used in case series. The most common is a type of table where the features of all the cases included are summarized with each row referring to an individual patient. This usually works for a series of up to ten patients; beyond that, the table may become crowded and difficult to understand. Tables may also be used in the discussion section to summarize related, published reports to date.

Discussion including review

A case report may help to alter the approach to patient management in the clinic or it may even stimulate original research evaluating a new treatment. Thus, the discussion must summarize the unique aspects of the case (why is the case different?) and the essential learning points/implications (how will it change management?/What further research needs to be done?). In addition to stating the differences from existing literature, the discussion should also attempt to explain these differences.

If the condition or treatment approach being focused on is sufficiently rare, reviewing all available cases published until that point is critical. This review may be presented in a table with each case described briefly. A more nuanced study might attempt to summarize the relevant demographics and clinical details of the various cases published to date in the form of a table (e.g., median age, gender distribution, and survival outcomes).

CASE SERIES - WHAT IS DIFFERENT?

There is no formal definition as to what is case series and what would be considered a retrospective cohort study. In general, a case series comprises <10 cases; beyond that, it may be feasible to apply formal statistics and may be considered a cohort study.

Both case reports and case series are descriptive studies. Case series must have similar cases and hence the inclusion must be clearly defined. The interventions must be documented in a way that is reproducible and follow-up of each individual in the report must be available. Although formal statistical analyses are usually not a part of case series, authors may attempt to summarize baseline demographic parameters using descriptive statistics.

ABSTRACT OF a CASE REPORT

As explained earlier, a few journals do not require abstracts for case report submissions. When required, one should try to highlight the salient aspects of the case presented and the reason for the publication within the abstract word limit, which may be as short as 100–200 words. Spend time and effort in writing a good abstract as this is a portion which is usually read by the editor during manuscript screening and may have implications for whether the article progresses to the next stage of editorial processing.

REFERENCES IN a CASE REPORT

One may only cite key references in a case report or series as there is limited scope for elaborate literature search. Most journals have a limit of 10–15 references for case reports; when publishing as a letter to editor (or correspondence), the allowed reference limit may be even lower (five or less for some journals).

CHOOSING THE RIGHT JOURNAL

Many journals have recently stopped publishing case reports and series. This is often an attempt by journals to optimize their resources (space and reviewer time) to attain the highest possible impact. Although this is unfortunate, it is a reality which must be acknowledged. Nonetheless, the advent of online-only journals has led to more options for aspiring authors. Some journals accept case series, whereas others have “sister” journals created to accept case reports and other, less definitive, contributions to the literature.[ 11 ] It is an important exercise to study all available journals accepting case reports of the type being written. The case report must be tailored to the journal's requirements. Many journals may charge an article processing fee; author(s) must consider whether they are willing to pay and publish. Some of these may be predatory journals; authors must be wary of them and scrupulously avoid publishing in such journals as they can permanently stain the publication records of a researcher.

PUBLISHING THE CASE REPORT/SERIES AS a LETTER TO EDITOR/IMAGE SERIES

When the matter to be conveyed is very minimal or is being published mainly for its rarity, letters to editor may be an alternate route to publish case report data. Interesting images may be published in the form of “images” series which is now a part of many journals. The flexibility of web-based publishing also allows interesting videos to be published online.

GUIDELINES FOR CASE REPORTS

There are guidelines which help authors in the preparation and submission of case reports. The CAse REports (CARE) checklist is one such popular guideline. It provides a “checklist” and other resources for authors that can help navigate the process of writing a case report, especially when a person is doing it for the first time.[ 12 ]

AUTHORSHIP IN CASE REPORTS

Although there are no separate guidelines for authorship in “case reports,” general authorship rules follow that for any manuscript. “Gift” authorship must be avoided. All authors must have contributed to the creation of the manuscript in addition to being involved in some aspect of care of the patient being reported. Authorship order should be ideally predecided based on mutual consensus.

CONCLUSIONS

A case report is a useful starting point for one's scientific writing career. There are useful online resources which describe the steps for a newbie writer.[ 13 14 ] [ Table 2 ] summarizes the important components to follow and understand when writing case reports. Although many frontline journals have reduced their acceptance of case reports, these publications continue to serve an essential scientific and academic role.

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How to Write a Case Report

• First Online: 01 January 2020

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• Eugene V. Beresin 3 , 4 , 5  

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Case reports are an important starting point for academic writing and for producing new, interesting, and educational information for the field. They usually describe a unique syndrome or disease, an unexpected relationship between relatively uncommon diseases or symptoms, unique or rare events or outcomes in describing a disease, or a unique therapeutic approach to an illness. Authors should not write a case report simply for the sake of writing. Rather, the case report must help improve understanding of a disease or improve therapy. Thus, detailed preparation is crucial, including a thorough literature search about the disease, treatment, and outcomes. A single outlying case or freak episode may unintentionally negatively influence some clinical practice. Hence, authors must remember that there is a great professional responsibility in providing a case report. Patient privacy must be preserved. All identifying information should be omitted unless essential for scientific purposes, and informed consent is often required. The structure of the case report should include the Title/Title page; Abstract (summary of the case) (only if required by the journal); Introduction (purpose, worthiness of the case, based on references); Case Description (most salient parts of the case and its outcome); Discussion/Conclusion (presents the broad view of the case, its uniqueness, and contribution to the literature); at times Patient’s Perspective; Acknowledgments; and References.

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The Historical Tradition of Case Reporting

How to Write a Case Report?

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Balon, R., Beresin, E.V. (2020). How to Write a Case Report. In: Roberts, L. (eds) Roberts Academic Medicine Handbook. Springer, Cham. https://doi.org/10.1007/978-3-030-31957-1_30

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Guideline on writing a case report

Affiliations.

• 1 Department of Surgery, King Abdulaziz Medical City, Ministry of National Guard, Jeddah, Saudi Arabia.
• 2 Department of Research Unit, College of Medicine, King Saud Bin Abdulaziz University for Health Sciences, Jeddah, Saudi Arabia.
• 3 Department of Pediatric, Rabigh Branch, King Abdulaziz University, Jeddah, Saudi Arabia.
• 4 Department of Medicine, King Abdulaziz Medical City, Jeddah, Saudi Arabia.
• PMID: 31040594
• PMCID: PMC6476221
• DOI: 10.4103/UA.UA_177_18

Research is an important competency that should be mastered by medical professionals. It provides an opportunity for physicians to develop numerous skills including communication, collaboration, time management, and teamwork. Case report, as a research design, describes important scientific observations that are encountered in a clinical setting to expand our knowledge base. Preparing a case report is far easier than conducting any other elaborative research design. Case report, with its main components, should be focused and delivers a clear message. In this article, the key components of a case report were described with the aim of providing guidance to novice authors to improve the quality of their reporting.

Keywords: Case report; education; guideline; publication; research; writing.

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Hierarchy of evidence base medicine

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Designing and Conducting Case Studies

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

Definition and Overview

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

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

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

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

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

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

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

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

Educational Applications

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

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

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

Types and Design Concerns

Researchers use multiple methods and approaches to conduct case studies.

Types of Case Studies

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

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

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

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

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

Identifying a Theoretical Perspective

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

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

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

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

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

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

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

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

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

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

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

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

Designing a Case Study

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

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

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

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

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

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

Conducting Case Studies

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

Method: Single or Multi-modal?

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

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

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

Participant Selection

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

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

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

Data Collection

There are six types of data collected in case studies:

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

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

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

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

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

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

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

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

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

Data Analysis

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

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

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

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

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

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

Composing the Case Study Report

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

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

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

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

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

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

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

Issues of Validity and Reliability

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

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

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

Commentary on Case Studies

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

Strengths and Weaknesses of Case Studies

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

Flexibility

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

Emphasis on Context

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

Inherent Subjectivity

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

High Investment

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

Ethical Considerations

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

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

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

Concerns about Reliability, Validity, and Generalizability

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

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

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

Annotated Bibliography

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

No abstract available.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

This article provides tips for writing more effective case studies.

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Related Links

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

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

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

Organizing Your Social Sciences Research Assignments

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

Definition and Introduction

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

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

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

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

How to Approach Writing a Case Analysis Paper

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

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

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

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

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

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

Structure and Writing Style

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

Introduction

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

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

Background Analysis

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

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

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

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

Identification of Problems

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

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

Alternative Solutions

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

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

Recommended Courses of Action

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

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

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

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

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

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

Problems to Avoid

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

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

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

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

Writing Tip

Ca se Study and Case Analysis Are Not the Same!

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

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

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

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

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How to Write a Case Study - All You Wanted to Know

What do you study in your college? If you are a psychology, sociology, or anthropology student, we bet you might be familiar with what a case study is. This research method is used to study a certain person, group, or situation. In this guide from our dissertation writing service , you will learn how to write a case study professionally, from researching to citing sources properly. Also, we will explore different types of case studies and show you examples — so that you won’t have any other questions left.

What Is a Case Study?

A case study is a subcategory of research design which investigates problems and offers solutions. Case studies can range from academic research studies to corporate promotional tools trying to sell an idea—their scope is quite vast.

What Is the Difference Between a Research Paper and a Case Study?

While research papers turn the reader’s attention to a certain problem, case studies go even further. Case study guidelines require students to pay attention to details, examining issues closely and in-depth using different research methods. For example, case studies may be used to examine court cases if you study Law, or a patient's health history if you study Medicine. Case studies are also used in Marketing, which are thorough, empirically supported analysis of a good or service's performance. Well-designed case studies can be valuable for prospective customers as they can identify and solve the potential customers pain point.

Case studies involve a lot of storytelling – they usually examine particular cases for a person or a group of people. This method of research is very helpful, as it is very practical and can give a lot of hands-on information. Most commonly, the length of the case study is about 500-900 words, which is much less than the length of an average research paper.

The structure of a case study is very similar to storytelling. It has a protagonist or main character, which in your case is actually a problem you are trying to solve. You can use the system of 3 Acts to make it a compelling story. It should have an introduction, rising action, a climax where transformation occurs, falling action, and a solution.

Here is a rough formula for you to use in your case study:

Problem (Act I): > Solution (Act II) > Result (Act III) > Conclusion.

Types of Case Studies

The purpose of a case study is to provide detailed reports on an event, an institution, a place, future customers, or pretty much anything. There are a few common types of case study, but the type depends on the topic. The following are the most common domains where case studies are needed:

• Historical case studies are great to learn from. Historical events have a multitude of source info offering different perspectives. There are always modern parallels where these perspectives can be applied, compared, and thoroughly analyzed.
• Problem-oriented case studies are usually used for solving problems. These are often assigned as theoretical situations where you need to immerse yourself in the situation to examine it. Imagine you’re working for a startup and you’ve just noticed a significant flaw in your product’s design. Before taking it to the senior manager, you want to do a comprehensive study on the issue and provide solutions. On a greater scale, problem-oriented case studies are a vital part of relevant socio-economic discussions.
• Cumulative case studies collect information and offer comparisons. In business, case studies are often used to tell people about the value of a product.
• Critical case studies explore the causes and effects of a certain case.
• Illustrative case studies describe certain events, investigating outcomes and lessons learned.

Need a compelling case study? EssayPro has got you covered. Our experts are ready to provide you with detailed, insightful case studies that capture the essence of real-world scenarios. Elevate your academic work with our professional assistance.

Case Study Format

The case study format is typically made up of eight parts:

• Executive Summary. Explain what you will examine in the case study. Write an overview of the field you’re researching. Make a thesis statement and sum up the results of your observation in a maximum of 2 sentences.
• Background. Provide background information and the most relevant facts. Isolate the issues.
• Case Evaluation. Isolate the sections of the study you want to focus on. In it, explain why something is working or is not working.
• Proposed Solutions. Offer realistic ways to solve what isn’t working or how to improve its current condition. Explain why these solutions work by offering testable evidence.
• Conclusion. Summarize the main points from the case evaluations and proposed solutions. 6. Recommendations. Talk about the strategy that you should choose. Explain why this choice is the most appropriate.
• Implementation. Explain how to put the specific strategies into action.
• References. Provide all the citations.

How to Write a Case Study

Let's discover how to write a case study.

Setting Up the Research

When writing a case study, remember that research should always come first. Reading many different sources and analyzing other points of view will help you come up with more creative solutions. You can also conduct an actual interview to thoroughly investigate the customer story that you'll need for your case study. Including all of the necessary research, writing a case study may take some time. The research process involves doing the following:

• Define your objective. Explain the reason why you’re presenting your subject. Figure out where you will feature your case study; whether it is written, on video, shown as an infographic, streamed as a podcast, etc.
• Determine who will be the right candidate for your case study. Get permission, quotes, and other features that will make your case study effective. Get in touch with your candidate to see if they approve of being part of your work. Study that candidate’s situation and note down what caused it.
• Identify which various consequences could result from the situation. Follow these guidelines on how to start a case study: surf the net to find some general information you might find useful.
• Make a list of credible sources and examine them. Seek out important facts and highlight problems. Always write down your ideas and make sure to brainstorm.
• Focus on several key issues – why they exist, and how they impact your research subject. Think of several unique solutions. Draw from class discussions, readings, and personal experience. When writing a case study, focus on the best solution and explore it in depth. After having all your research in place, writing a case study will be easy. You may first want to check the rubric and criteria of your assignment for the correct case study structure.

Read Also: ' WHAT IS A CREDIBLE SOURCES ?'

Although your instructor might be looking at slightly different criteria, every case study rubric essentially has the same standards. Your professor will want you to exhibit 8 different outcomes:

• Correctly identify the concepts, theories, and practices in the discipline.
• Identify the relevant theories and principles associated with the particular study.
• Evaluate legal and ethical principles and apply them to your decision-making.
• Recognize the global importance and contribution of your case.
• Construct a coherent summary and explanation of the study.
• Demonstrate analytical and critical-thinking skills.
• Explain the interrelationships between the environment and nature.
• Integrate theory and practice of the discipline within the analysis.

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Case Study Outline

Let's look at the structure of an outline based on the issue of the alcoholic addiction of 30 people.

Introduction

• Statement of the issue: Alcoholism is a disease rather than a weakness of character.
• Presentation of the problem: Alcoholism is affecting more than 14 million people in the USA, which makes it the third most common mental illness there.
• Explanation of the terms: In the past, alcoholism was commonly referred to as alcohol dependence or alcohol addiction. Alcoholism is now the more severe stage of this addiction in the disorder spectrum.
• Hypotheses: Drinking in excess can lead to the use of other drugs.
• Importance of your story: How the information you present can help people with their addictions.
• Background of the story: Include an explanation of why you chose this topic.
• Presentation of analysis and data: Describe the criteria for choosing 30 candidates, the structure of the interview, and the outcomes.
• Strong argument 1: ex. X% of candidates dealing with anxiety and depression...
• Strong argument 2: ex. X amount of people started drinking by their mid-teens.
• Strong argument 3: ex. X% of respondents’ parents had issues with alcohol.
• Concluding statement: I have researched if alcoholism is a disease and found out that…
• Recommendations: Ways and actions for preventing alcohol use.

Writing a Case Study Draft

After you’ve done your case study research and written the outline, it’s time to focus on the draft. In a draft, you have to develop and write your case study by using: the data which you collected throughout the research, interviews, and the analysis processes that were undertaken. Follow these rules for the draft:

Use Data to Illustrate Key Points in Your Case Study

Even though your case study is a story, it should be based on evidence. Use as much data as possible to illustrate your point. Without the right data, your case study may appear weak and the readers may not be able to relate to your issue as much as they should. Let's see the examples from essay writing service :

‍ With data: Alcoholism is affecting more than 14 million people in the USA, which makes it the third most common mental illness there. Without data: A lot of people suffer from alcoholism in the United States.

Try to include as many credible sources as possible. You may have terms or sources that could be hard for other cultures to understand. If this is the case, you should include them in the appendix or Notes for the Instructor or Professor.

Finalizing the Draft: Checklist

After you finish drafting your case study, polish it up by answering these ‘ask yourself’ questions and think about how to end your case study:

• Check that you follow the correct case study format, also in regards to text formatting.
• Check that your work is consistent with its referencing and citation style.
• Micro-editing — check for grammar and spelling issues.
• Macro-editing — does ‘the big picture’ come across to the reader? Is there enough raw data, such as real-life examples or personal experiences? Have you made your data collection process completely transparent? Does your analysis provide a clear conclusion, allowing for further research and practice?

Problems to avoid:

• Overgeneralization – Do not go into further research that deviates from the main problem.
• Failure to Document Limitations – Just as you have to clearly state the limitations of a general research study, you must describe the specific limitations inherent in the subject of analysis.
• Failure to Extrapolate All Possible Implications – Just as you don't want to over-generalize from your case study findings, you also have to be thorough in the consideration of all possible outcomes or recommendations derived from your findings.

How to Create a Title Page and Cite a Case Study

Let's see how to create an awesome title page.

Your title page depends on the prescribed citation format. The title page should include:

• A title that attracts some attention and describes your study
• The title should have the words “case study” in it
• The title should range between 5-9 words in length
• Your name and contact information
• Your finished paper should be only 500 to 1,500 words in length.With this type of assignment, write effectively and avoid fluff

Here is a template for the APA and MLA format title page:

There are some cases when you need to cite someone else's study in your own one – therefore, you need to master how to cite a case study. A case study is like a research paper when it comes to citations. You can cite it like you cite a book, depending on what style you need.

Citation Example in MLA ‍ Hill, Linda, Tarun Khanna, and Emily A. Stecker. HCL Technologies. Boston: Harvard Business Publishing, 2008. Print.

Citation Example in APA ‍ Hill, L., Khanna, T., & Stecker, E. A. (2008). HCL Technologies. Boston: Harvard Business Publishing.

Citation Example in Chicago Hill, Linda, Tarun Khanna, and Emily A. Stecker. HCL Technologies.

Case Study Examples

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• Research article
• Open access
• Published: 10 September 2013

The CARE guidelines: consensus-based clinical case reporting guideline development

• Joel J Gagnier 1 , 2 ,
• Gunver Kienle 3 ,
• Douglas G Altman 4 ,
• David Moher 5 , 6 ,
• Harold Sox 7 ,
• David Riley 8 &

the CARE Group

Journal of Medical Case Reports volume  7 , Article number:  223 ( 2013 ) Cite this article

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A case report is a narrative that describes, for medical, scientific, or educational purposes, a medical problem experienced by one or more patients. Case reports written without guidance from reporting standards are insufficiently rigorous to guide clinical practice or to inform clinical study design.

Primary Objective. Develop, disseminate, and implement systematic reporting guidelines for case reports.

We used a three-phase consensus process consisting of (1) pre-meeting literature review and interviews to generate items for the reporting guidelines, (2) a face-to-face consensus meeting to draft the reporting guidelines, and (3) post-meeting feedback, review, and pilot testing, followed by finalization of the case report guidelines.

This consensus process involved 27 participants and resulted in a 13-item checklist—a reporting guideline for case reports. The primary items of the checklist are title, key words, abstract, introduction, patient information, clinical findings, timeline, diagnostic assessment, therapeutic interventions, follow-up and outcomes, discussion, patient perspective, and informed consent.

Conclusions

We believe the implementation of the CARE (CAse REport) guidelines by medical journals will improve the completeness and transparency of published case reports and that the systematic aggregation of information from case reports will inform clinical study design, provide early signals of effectiveness and harms, and improve healthcare delivery.

Peer Review reports

Introduction

A case report is a detailed narrative that describes, for medical, scientific, or educational purposes, a medical problem experienced by one or several patients.

Case reports present clinical observations customarily collected in healthcare delivery settings. They have proved helpful in the identification of adverse and beneficial effects, the recognition of new diseases, unusual forms of common diseases, and the presentation of rare diseases [ 1 ]. For example, our understanding of the relationship between thalidomide and congenital abnormalities [ 2 ] and the use of propranolol for the treatment of infantile hemangiomas began with case reports [ 3 ]. Case reports may generate hypotheses for future clinical studies, prove useful in the evaluation of global convergences of systems-oriented approaches, and guide the individualization and personalization of treatments in clinical practice [ 4 , 5 ]. Furthermore, case reports offer a structure for case-based learning in healthcare education and may facilitate the comparison of healthcare education and delivery across cultures.

Case reports are common and account for a growing number of articles in medical journals [ 6 ]; however their quality is uneven [ 7 , 8 ]. For example, one study evaluated 1316 case reports from four peer-reviewed emergency-medicine journals and found that more than half failed to provide information related to the primary treatment that would have increased transparency and replication [ 9 ]. Written without the benefit of reporting guidelines, case reports often are insufficiently rigorous to be aggregated for data analysis, inform research design, or guide clinical practice [ 7 , 9 ].

Reporting guidelines exist for a variety of study designs including randomized controlled trials (Consolidated Standards of Reporting Trials, or CONSORT) [ 10 ], observational studies (Strengthening the Reporting of Observational studies in Epidemiology, or STROBE) [ 11 ], and systematic reviews and meta-analyses (Preferred Reporting Items for Systematic Reviews and Meta-Analyses, or PRISMA) [ 12 ]. Empirical evidence suggests that a journal’s adoption of the CONSORT statement as a guide to authors is associated with an increase in the completeness of published randomized trials [ 13 ]. Guidelines have been developed for adverse-event case reports [ 14 ]; however, general reporting guidelines for case reports do not exist. Our primary objective was to develop reporting guidelines for case reports through a consensus-based process.

Research design

We followed the Guidance for Developers of Health Research Reporting Guidelines [ 15 ] and developed a three phase consensus process [ 16 ]. This consisted of (1) a pre-meeting literature review followed by interviews to generate items for a case report checklist, (2) a face-to-face consensus meeting for drafting a reporting guideline, and (3) post-meeting feedback and pilot testing followed by finalization of the case report guidelines.

Participants

We contacted 28 individuals who fulfilled at least one of four criteria [ 17 – 19 ]: (1) publication of articles related to case reports; (2) publication of a manual, handbook, or method guidelines related to case reports; (3) publication of a systematic review of methods or reporting related to case reports; and (4) publication of other reporting guidelines for clinical research.

Consensus process

Phase 1: Four of the authors, the steering committee (JG, GK, DM, and DR), searched the literature for publications on the role of case reports, recommendations for their publication, and surveys on reporting quality. A letter was sent to 28 potential participants explaining the purpose of the meeting, details of the consensus technique, and requesting their participation in generating specific recommendations for case reporting. Twenty-seven people agreed to participate and were scheduled for a telephone interview and sent a selection of key articles on case reports. During the telephone interview, participants were asked (1) what information was required to be included in case-reporting guidelines, (2) the rationale for their suggestions, and (3) for references that supported their reasoning.

Three of the authors (JG, GK, and DR) grouped the recommendations from the literature search and interviews by theme together with their rationale, references, and operational definitions. No quantitative scoring was done.

Phase 2: The face-to-face consensus meeting at the University of Michigan in Ann Arbor (October 2012) included 18 participants from Phase 1, one research assistant and two student observers. The meeting began with a review of the blinded recommendations elicited during the Phase 1 interviews, in whole group and small group sessions. On the second day, open discussion of each potential item continued, during which clarifications, opinions, justifications, operational definitions, and new ideas were expressed. By the end of the second day, the group had agreed upon a set of preliminary reporting recommendations.

Phase 3: The draft checklist was refined by the steering committee and sent for two rounds of review to the complete group (Phase 1 and 2 participants). The finalized reporting guidelines incorporated the feedback from the entire CARE group.

The CAse REport (CARE) guidelines checklist is structured to correspond with key components of a case report and capture useful clinical information (including ‘meaningful use’ information mandated by some insurance plans).

The checklist begins with a statement that describes the narrative of a case report. The meeting CARE group felt that a case report should tell a story using prose that has a consistent style across all sections, including the rationale for any conclusions and take-away messages.

We recommend a timeline (item 7) in the form of a table or figure that gives the specific dates and times of important components of the case. This might include family and past medical history, genetic information, current symptoms, diagnostic test results, interventions, and events that occurred during follow-up. The timeline should show how the key events of the case unfolded.

We created separate checklist items for diagnostic assessments (item 8) and therapeutic interventions (item 9) with the recognition that both items will often be relevant in a case report.

The group discussed at length whether to include the patient’s perspective on his or her experience. In the end, we advocated for patient-reported outcomes and experiences whenever possible (item 12). There was also discussion about the need for guidelines for patient-reported outcomes of their care. In a similar vein, a recent extension of the CONSORT statement was published for patient-reported outcomes in randomized trials; CONSORT-PRO [ 20 ].

Finally, we included an item on informed consent (item 13). We believe that authors have an ethical duty to obtain informed consent from the patient to publish patient information in a case report. Consent becomes informed when the patient or a relative reads the case report and approves its contents. If the patient cannot give consent and attempts to find a relative to give proxy consent have failed, the authors should seek permission to publish from an institutional committee. There may be other circumstances where an ethics committee or Institutional Review Board (IRB) approval may be necessary. The CARE guidelines are shown in the following Table  1 .

This 13-item checklist provides a framework to satisfy the need for completeness and transparency for published case reports. We attempted to strike a balance between adequate detail and the concise writing that is one of the appealing characteristics of a case report. Our consensus process resulted in a set of essential items for authors to consider when submitting a case report for publication.

While case reports have long been an important source of new ideas and information in medicine [ 21 ], it appears that case reports are likely to begin to play a role in the discovery of what works and for whom. BioMed Central launched the Journal of Medical Case Reports in 2007 [ 22 ] and a Cases Database in 2012 with more than 11,000 published case reports from 50 medical journals. In 6 months, it has grown to more than 26,000 case reports from 212 medical journals [ 23 ]. The CARE guidelines checklist is part of a growing effort to improve the reporting of case reports.

There is substantial empirical evidence that reporting guidelines improve the completeness of published scientific reports eg, see references [ 13 , 24 , 25 ]. A recent Cochrane review examining the influence of journal endorsement of the CONSORT statement on reporting included 53 publications assessing 16,604 randomized controlled trials and found that CONSORT-endorsing journals consistently have better overall reporting [ 13 ]. However, the potential impact of the CONSORT statement and related reporting guidelines has not been fully realized. A study examining the instructions to peer reviewers of 116 health research journals found that only 41 (35%) provided online instructions to peer reviewers. Of those, only 19 (46%) mentioned or referred to reporting guidelines as a useful resource [ 26 ]. In response, the authors provide several recommendations for editors to improve the peer review of submitted manuscripts, suggesting that journals have a responsibility to support peer reviewers [ 26 ].

The developers of reporting guidelines have a responsibility to plan a dissemination and implementation strategy that supports guidelines utilization [ 15 ]. Our efforts have several components:

The CARE guidelines will be presented at international conferences and workshops including the Peer Review and Biomedical Publication Congress in Chicago on September 10, 2013.

This article will be published simultaneously in multiple medical journals and outreach to the 212 journals depositing case reports into the BioMed Central Case Report Database.

We will develop a more detailed explanation and elaboration article to outline the rationale for each item and include empirical evidence and examples of good reporting from published case reports.

The CARE guidelines are being pilot tested, and preliminary results support the guidelines as currently written (personal communication with Helmut Kiene, Erika Oberg, Bill Manahan). Guidelines extensions for specialties are being developed.

The CARE guidelines and related documents will be available on a dedicated website (www.CARE-statement.org), the EQUATOR Network website (www.equator-network.org), and translated into multiple languages.

Authors, journal editors, peer reviewers and the wider medical community are encouraged to use the CARE checklist and provide feedback that can be incorporated into regular updates of the CARE guidelines.

We will conduct and support research into the impact of the CARE guidelines on the reporting of case reports.

Limitations

The CARE guidelines and their development have several possible limitations. First, these guidelines were developed through a consensus method and thus represent the opinions of the participants. However, consensus was easily reached during our meeting, we referred to the empirical evidence where available, and we received feedback from a wide selection of individuals, beyond those involved in our consensus meeting. Second, we recognize that causality determinations are a challenge for case reports even when following reporting guidelines [ 27 , 28 ]. The CARE guidelines emphasize information quality independent of causality assessments. Different specialties, practitioners, and patients are likely to require extensions of the CARE guidelines with specialty specific information. We welcome discussions with groups interested in using the CARE guidelines as the basis for their specific reporting needs.

Though not mentioned in our guidelines, medical journals often require authors to address three issues: (a) potential competing interests, (b) de-identification of patient-related data, and (c) ethics committee or Institutional Review Board (IRB) approval if obtained or necessary.

Anticipating a long future for case reports, we have provided guidance in the form of reporting standards for use by healthcare stakeholders around the world. The growth of case reports in an era in which clinical trials and systematic reviews dominate the tables of content of medical journals indicates that case reports have value, particularly with the increasing importance of individualized care. Unlike randomized controlled trials, case reports are individual reports related to the care of individual patients where the sample size is one. When systematically collected and combined into larger datasets, they can be analyzed, enhancing the early discovery of effectiveness and harms.

We anticipate that the analysis of systematically aggregated information from patient encounters (now mandated by some insurance plans) will provide scalable, data-driven insights into what works for which patients in real time, facilitating comparisons across medical systems and cultures. Practitioners will soon be able to provide—and in some cases they are required to provide—patients with information from their encounters. This will transform how we think about “evidence” and revolutionize its creation, diffusion, and use—opening new opportunity landscapes. When it becomes clear how new data contributes to evidence, the stewardship needed to produce high-quality data will be more rewarding and our attitude toward “observation” will shift. The CARE guidelines provide a framework to satisfy the need for precision, completeness, and transparency.

Author contributions

JG, GK, DGA, DM, HS, and DR met the ICMJE criteria for authorship. JG and DR wrote the first draft of the article. DGA, JG, GK, DM, DR, and HS critically reviewed and edited drafts. The entire CARE group participated in parts or all of the guidelines development process and contributed to the editing and revision of the CARE guidelines and this article. All authors read and approved the final manuscript.

The CARE group

Alyshia Allaire, BA, Portland, OR, USA

Douglas G. Altman, DSc, Centre for Statistics in Medicine, University of Oxford, Oxford, UK

Jeffrey Aronson, MB, ChB, MA Dphil, FRCP, FB, PharmacolS, University of Oxford, Oxford, UK*

James Carpenter, MD, Department of Orthopaedic Surgery, University of Michigan, Ann Arbor, MI, USA

Joel Gagnier, ND, MSc, PhD, Departments of Orthopaedic Surgery and Epidemiology, University of Michigan, Ann Arbor, MI, USA

Patrick Hanaway, MD, Director of Medical Education, Institute for Functional Medicine, Asheville, NC, USA*

Carolyn Hayes, PhD, RN, NEA-BC, Dana-Farber Brigham and Women’s Cancer Center, Boston, MA, USA

David Jones, MD, President, Institute for Functional Medicine, Ashland, OR, USA

Marietta Kaszkin-Bettag, PhD, University of Frankfurt, Pharmalex GmbH, Mannheim, Germany

Michael Kidd, AM, MD, Editor-in-Chief Journal of Medical Case Reports , Faculty of Health Sciences, Flinders University, Adelaide, Australia*

Helmut Kiene, Dr med, Editor, Global Advances in Health and Medicine, Institute for Applied Epistemology and Research Methodology, University of Witten/Herdecke, Freiburg, Germany

Gunver Kienle, Dr med, Editor, Global Advances in Health and Medicine, Institute for Applied Epistemology and Research Methodology, University of Witten/Herdecke, Freiburg, Germany

Ben Kligler, MD, MPH, Co-Editor-in-Chief Explore , Beth Israel Medicine Center, New York, NY, USA*

Lori Knutson, RN, BSN, HN-BC, Integrative Healthcare Solutions, Minneapolis, MN, USA

Christian A. Koch, MD, PhD, FACP, FACE, Deputy Editor Journal of Medical Case Reports, University of Mississippi, Jackson, MS, USA*

Karen Milgate, MPP, Independent Health Policy Consultant, Washington, DC, USA*

Michele Mittelman, RN, MPH, Editor, Global Advances in Health and Medicine , Dover, MA, USA

David Moher, PhD, Ottawa Hospital Research Institute; Department of Epidemiology and Community Medicine, University of Ottawa, Ottawa, ON Canada*

Hanna Oltean, MPH, University of Michigan, Ann Arbor, MI, USA

Greg Plotnikoff, MD, MTS, FACP, Editor, Global Advances in Health and Medicine, Allina Center for Healthcare Innovations and the Penny George Institute for Health and Healing, Minneapolis, MN, USA

Richard Alan Rison, MD, FAANEM, Deputy Editor, Journal of Medical Case Reports, Section Editor, BMC Research Notes , PIH Health Hospital, Whittier, University of Southern California, Los Angeles, CA, USA*

David Riley MD, Editor-in-Chief, Global Advances in Health and Medicine , Portland, OR, USA

Anil Sethi, MS, Johns Hopkins School of Medicine - Information architecture and IT, Palo Alto, CA, USA*

Larissa Shamseer, MSc, Ottawa Hospital Research Institute, Ottawa, ON, Canada

Richard Smith, MB, ChB, MSc, United Healthcare Chronic Disease Initiative, London, UK

Harold Sox, MD, The Dartmouth Institute, Hannover, NH, USA

Peter Tugwell, MD, FRCP, University of Ottawa, Ottawa, ON, Canada

* Participated in the guidelines development process, the review and editing of the CARE guidelines and this article, but did not attend the face-to-face consensus meeting.

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Acknowledgments

Joel Gagnier, University of Michigan, and David Riley, Global Advances in Health and Medicine , organized this consensus-based guideline-development project. The Department of Orthopaedic Surgery, the Office of the Vice-President of Research at the University of Michigan, and Global Advances in Health and Medicine ® provided funding for this project. David Moher is funded through a University of Ottawa Research Chair. Funding support was used to reimburse the travel-related expenses of conference attendees. There were no honoraria. The volunteer steering committee consisted of Joel J. Gagnier, Gunver Kienle, David Moher, and David Riley. There are no conflicts of interest to report.

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Department of Orthopaedic Surgery, University of Michigan, Ann Arbor, MI, USA

Joel J Gagnier

Department of Epidemiology, School of Public Health, University of Michigan, Ann Arbor, MI, USA

Institute for Applied Epistemology and Medical Methodology, University of Witten/Herdecke, Freiburg, Germany

Gunver Kienle

Centre for Statistics in Medicine, University of Oxford, Oxford, UK

Douglas G Altman

Ottawa Hospital Research Institute, Ottawa, Canada

David Moher

Department of Epidemiology and Community Medicine, University of Ottawa, Ottawa, ON, Canada

The Dartmouth Institute and Geisel School of Medicine at Dartmouth, Hannover, NH, USA

Global Advances in Health and Medicine, Portland, OR, USA

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Gagnier, J.J., Kienle, G., Altman, D.G. et al. The CARE guidelines: consensus-based clinical case reporting guideline development. J Med Case Reports 7 , 223 (2013). https://doi.org/10.1186/1752-1947-7-223

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Received : 26 June 2013

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• Introduction
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Section A: Overview

• Section B: Planning and Researching
• Section C: Parts of a Case Study
• Section D: Reviewing and Presenting
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Case Study Report Prepared by University of Guelph

This section will provide you with an overview of case study reports and what components you should include when writing them.

What Will I Learn?

By successfully completing this section, you should be able to:

• describe what a case study report is and how it is used,
• identify the components of a case study and how they fit together, and
• explain why case studies are popular in business education.

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In general, a case study is a historical or fictional description of a business situation. Case studies are stories that contain a particular management problem or decision that needs to be made. They are usually very detailed and contain information about key stakeholders, organizational processes, products, markets, financials, and so on.

The case study method of teaching plays an important role in management education (e.g., Banning, 2003) and is commonly used in management education programs (e.g., Conger & Xin, 2000). Case studies present vivid and engaging examples of realistic business situations that allow students to apply theoretical concepts (Barkley, Cross, & Major, 2005).

A Case Study Is:

a partial, historical, clinical study of a situation which has confronted a practising administrator or managerial group. Presented in a narrative form to encourage student involvement, it provides data—substantive and process—essential to analysis of a specific situation, for the framing of alternative action programs, and for their implementation, recognising the complexity and ambiguity of the practical world.

(Barnes, Christensen, and Hansen, 1994, p. 44)

As Barnes et al. (1994) explain in the definition above, an engaging case study will provide a managerial dilemma that models the complexity of real world business decisions. Moreover, these decisions need to be made considering the analysis of data, assessment of viable alternatives, proposed recommendations, and associated implementation plan.

Components of A Case Study Report

What should a case study report include.

The components of a case study report will vary depending on the preferences of your institution and instructor. Be sure to refer to your assignment instructions to find out what will be required in your context.

Most case study reports will include the following major sections and components:

• Cover page including basic student and class information
• Table of contents showing where key parts of the report can be found
• Executive summary of the key recommendations and points of the report
• Introduction to the report and identification of the focal problem being faced
• Analysis of the problem and application of course/program content
• Decision criteria and possible alternatives for solving the problem
• Recommendation for solving the problem
• Implementation plan for executing the recommendation and ensuring its success
• Exhibits that help to elaborate upon the content included in the report
• Reference list of any sources that were used at any point in the case study project

There are many possible subsections within these components. The following information provides a more detailed explanation of each component as well as specific strategies to help with writing.

Case Study Report Template

What are the components of a case study presentation.

The components of a case study presentation will likely also vary depending on the preferences of your institution and instructor; however, most case study presentations will likely include an oral as well as a visual (e.g., PowerPoint) summary of the 10 major sections and components. The case study report template provided will give you with a method for presenting your case study project as well as specific strategies to help with presenting the various sections.

Case Study Report Outline Template

This outline sample of a Case Study Report should serve as a useful guide to help you get started.

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Business Courses and Case Studies

Why do business courses use case studies.

This short video introduces business case study reports by highlighting why case studies are popular in business education and what you can expect as a learner completing a case study report.

Business Case Studies

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Four awesome things about business case studies. Number one; case studies give you a chance to examine business problems you might actually encounter in real life. Cases are based on real situations or realistic scenarios simulating complex and ambiguous problems from the business world. Number two; case studies can help you strengthen your critical thinking and problem-solving skills. You'll get practice analyzing stakeholders, organizational processes, and financial constraints. And you'll learn how to make decisions and solve problems in a safe and transparent environment. Number three; case studies are not lectures [snoring]. Enough said. Number four; case study assignments combine writing, research and oral presentation sells. All stuff you want to get better, right?

Self Assessment

• Which of the following was part of the definition of a case study as presented in this section?
• Which of the following was not one of the major sections and components mentioned in this section?
• Case studies were first developed as:
• The components of a case study report will likely be exactly the same across institutions and instructors.

Key Takeaways and References

Key takeaways & references, key takeaways.

• Case studies are rich, vivid situational exercises that can be used to make decisions and solve problems in a safe and transparent environment.
• Most case study reports follow an established pattern of core components with some variations depending on the context of the report.
• Case study reports allow business students an opportunity to hone their critical thinking skills for the complex and ambiguous situations that they are likely to encounter at work.

Banning, K. (2003). The effect of the case method on tolerance for ambiguity . Journal of Management Education, 27, 556–568.

Barkley, E. F, Cross, K. P. & Major, C. H. (2005). Collaborative learning techniques: A handbook for college faculty . San-Francisco: Jossey-Bass.

Barnes, L. B., Christensen, C. R., & Hansen, A. B. (1994). Teaching and the case method (3rd ed.). Cambridge, MA: Harvard Business School Press.

Conger, J. A., & Xin, K. (2000). Executive education in the 21st century . Journal of Management Education, 24, 73–101.

Redpath, L. (2012). Confronting the bias against on-line learning in management education . Academy of Management Learning & Education, 11, 125–140.

University of Guelph. (2015). Four awesome things about business case studies [WriteOnline_GUELPHIntro.mp4]. Published with GoAnimate: http://goanimate.com.

University of Guelph. (2015). Case Study Report Outline Template . (PDF).

Young, S. (2006). Student views of effective online teaching in higher education . The American Journal of Distance Education, 20, 65–77.

Next Section Overview

In Section B: Planning and Researching, we will explore how to analyze your case study report assignment and create a writing plan.

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Well-Being at Work: US Research Report 2024

Human capital development lab, well-being at work us research report released (2024).

JHU researchers share new insights related to employee well-being in US Organizations. The study highlights the decline in the climate of workplace well-being since the COVID-19 pandemic through a comprehensive analysis of more than 1.5 survey respondents each year. The climate of Well-Being report outlines organizational factors that may affect employee well-being in the workplace. The research shows that successful organizations create a climate of well-being not by providing perks or benefits, rather they create a culture where people feel acknowledged, supported and connected.  The new insights highlight the impact of flexible work arrangements, stress levels, industry practices, and persistent disparities among groups of people in the workplace.  

Well-Being at Work

Fostering a Healthy Work Climate for All

The research shows that successful organizations create a climate of well-being not by providing perks or benefits, rather they create a culture where people feel acknowledged, supported and connected. The new insights highlight the impact of flexible work arrangements, stress levels, industry practices, and persistent disparities among groups of people in the workplace.

Employees report a post-pandemic decline in the climate of workplace well-being 

Washington, D.C.  — August 28, 2024 — How do employees experience the climate of their workplace when it comes to well-being? As it turns out, this varies by industry, demographic group, and organization, according to new research led by Johns Hopkins Carey Business School’s Human Capital Development Lab. 

The link between employee well-being and performance has prompted leaders with motivation to explore how maximizing these once-overlooked factors may be central to increasing organizational success. However, achieving high levels of employee well-being is a feat that’s easier said than done. 

The Well-Being at Work report uncovers the latest insights on organizational and individual factors that may influence employee well-being in the U.S. The study showcases the rise and decline of the climate of employee well-being across industries over the past five years, while considering influences like tenure, management level, confidence, and work arrangements, along with demographic differences based on race, gender, and age.

“Improving employee well-being can be complex – our research highlights a need for leaders to address organizational culture factors coupled with a more nuanced management approach to create a climate of well-being for all,” said Professor Rick Smith, faculty director at the Human Capital Development Lab and co-author of the study. 

The overall findings show what many employees experienced in the first year of the COVID-19 pandemic: organizational leaders addressing the impact of this crisis by taking extra care to meet employee needs. The report shows that employees experienced a spike in the positive climate of well-being at the early periods of the pandemic. However, as workplaces transitioned back to pre-pandemic norms and more employees return to physical office spaces, the overall climate of well-being often regressed to the pre-pandemic level.

Associate Professor Michelle Barton, co-author of the study, adds, “The Covid pandemic heightened employers’ awareness of the importance of well-being, and many of the best organizations worked to create a positive work climate. The challenge now, will be to integrate those practices into everyday work life, rather than simply as a crisis response.” 

The data from the report confirms that there is a link between remote work opportunities and a climate of well-being, suggesting a need for employers to address work-life balance challenges for the workforce. However, since managers typically encounter lower stress levels than their junior employees, some managers may not fully appreciate these needs. This research also highlights some important differences by gender and ethnic groups, showing that well-being in the workplace is still consistently lower for women and African Americans. 

Interestingly enough, researchers also completed a comparison analysis of the climate of well-being between the top 100 companies listed in the Fortune 100 Best Companies, as recognized by Great Place To Work® , and non-ranked companies in 2023. They found that ranked firms have significantly higher employee well-being scores, further strengthening the potential link between employee well-being and organizations recognized as great places to work. 

This research leverages data from Great Place To Work® , the world’s leader in identifying best workplaces. The flagship data was gathered using a proprietary employee survey, known as The Trust Index™ survey, which is administered to over 5000 organizations and over 4.5 million survey respondents each year around the world. To quantify a climate of well-being, researchers measured several key dimensions such as: mental and emotional support, sense of purpose, personal support, financial health, and meaningful connections. 

Authors of the study include Rick Smith, a professor of practice and faculty director of the Human Capital Development Lab at Johns Hopkins Carey Business School; Michelle Barton, an associate professor of practice and academic program director of the Flex MBA Program at Johns Hopkins Carey Business School; Christopher Myers, an associate professor of management and organization and faculty director of the Center for Innovative Leadership at Johns Hopkins Carey Business School; and Marcus Erb, vice president of data science and innovation for Great Place To Work. 

About Great Place To Work As the global authority on workplace culture, Great Place To Work brings 30 years of groundbreaking research and data to help every place become a great place to work for all. Its proprietary platform and For All™ Model help companies evaluate the experience of every employee, with exemplary workplaces becoming Great Place To Work Certified™ or receiving recognition on a coveted Best Workplaces™ list.

Follow Great Place To Work on  LinkedIn ,  X , and  Instagram  or visit  greatplacetowork.com  and  sign up for the newsletter  to learn more.

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Table of Contents

1. Introduction

2. understanding service design in family offices, 3. the great debate - insourcing vs outsourcing, 4. key components of effective family office service design, 5. technology and tools for service design, 6. future trends in family office service design, 7. next-generation services, 8. challenges and considerations, 9. case study: map your family office, 10. conclusion, family office service design report 2024.

Modern family offices must optimise their services, governance, and succession planning to stay competitive in a rapidly changing world. In this report, Simple introduces the basic components of service design and then deploys them in the context of family office operations, and explores effective and scalable approaches to service design for family offices of all configurations with research and input from our family office and service provider community.

Service design, published on simple august 27, 2024, by david struthers , francois botha, 0. evolution of family office needs and service solutions, 0. purpose and scope of the report, 0. design thinking principles, 0. integration of design thinking in family office services, 0. outsourcing and key outsourced services, 0. comparative analysis of insourcing vs outsourcing, 0. insourcing and outsourcing insights, 0. ideal customer profiles, 0. service points and touchpoints, 0. role of people in service delivery, 0. processes and workflow optimisation, 0. artificial intelligence and machine learning, 0. design thinking software, 0. customer journey mapping tools, 0. prototyping and testing tools, 0. data analytics tools, 0. emerging technologies, 0. digital transformation and automation, 0. importance of cybersecurity and data privacy, 0. sustainability and esg considerations, 0. insights into the future of service design in family offices, 0. unpacking new and emerging service categories, 0. hybrid model family offices, 0. travel and lifestyle management, 0. medical and healthcare services, 0. recruitment and talent management, 0. back office solutions and support services, 0. education and personal development, 0. identification of common challenges faced in implementing service design, 0. strategies to address diverse family needs and preferences, 0. balancing the integration of traditional values with modern innovations, 0. legal and regulatory considerations, 0. risk management and mitigation strategies, not sure where to start.

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“… although the future is not predictable in any detail, it is manageable as an aggregate phenomenon. –Herbert A. Simon, The Sciences of the Artificial

About the Authors

David Struthers

David Struthers is the research and technical report writer at Simple.

Francois Botha

Francois believes that the next generation of family leaders need new, simple tools and trusted experts with a fresh outlook.

Evolution of Family Office Needs and Service Solutions

Modern family offices must optimise their services, governance, and succession planning to stay competitive in a rapidly changing world. Firefighting crises is not the way forward. Service design is a method to re-center your family members, understand your needs, and optimise a balance of internal capabilities and external partners to fulfil the mission of your family office for continued success.

Purpose and Scope of the Report

This report introduces the basic components of service design and then deploys them in the context of family office operations, seeking to provide an effective and scalable approach to design services for family offices of all configurations.

• Service design methods re-centers your family’s needs to optimise family office services.
• Generational change and technological innovation give rise to new solutions through internal staff, fractional hires, and fully outsourced services.
• Balancing the role of people in service delivery and the latest technology can be achieved through process mapping and workflow optimisation. 
• Service design can help maintain cohesion between strategy and implementation.

Traditional family office services cater to the complex needs of families by providing a wide range of personalised financial and administrative services. Key services include investment planning, financial planning, philanthropic investing, strategic planning, estate and tax planning, concierge services, lifestyle management, and advisory services. These services are designed to offer a holistic approach to managing family wealth, ensuring long-term preservation and alignment with the family’s goals and values.

Design Thinking Principles

Design thinking emerged as a formal methodology in the 1960s. Notably, Nobel laureate Herbert Simon explored human problem solving as a form of design in The Sciences of the Artificial (1969). The concept continued to gain traction and Stanford established its d.school in the early 2000s, promoting a human-centred approach to innovation. IDEO , a global design firm, further popularised design thinking through its hands-on workshops and projects. Tim Brown’s book, “ Change by Design ” (2009), and Stanford d.school’s process guide have been pivotal in disseminating design thinking principles globally, influencing various industries.

The five stages of design thinking are:

• Empathise : research your users’ needs.
• Define: state your users’ needs and problems.
• Ideate: challenge assumptions and create ideas.
• Prototype : start to create solutions.

Test: try your solutions out.

Integration of Design Thinking in Family Office Services

Family offices offer an interesting case for applying design thinking principles. While the raison d’être of a small single family office or a large multi-family office is to meet the needs of families, needs change with generational transitions and from broader societal, technological, and economic shifts. Just because something worked well in the past, assuming that it did, does not make it future proof. Service design provides a structured framework to identify current needs and develop the services to meet these needs and solve problems. Rather than an audit of existing services and relationships, service design re-centers the user, the beneficial owners in our case, to start fresh by addressing current needs with today’s solutions.

Keeping essential services and functions in-house rather than outsourcing them to external providers potentially enhances control, confidentiality, and customization. Family offices need to retain the staff and other resources such as administrative and governance capacity to effectively manage internal operations. Increased capacity brings increased costs and operational complexity that leads most family offices to optimise a balance of internal services and external providers.

Slightly more than half of family offices report having internal professionals making a majority of their investment decisions, especially at the level of strategic asset allocation. This is the single most common service to keep in house. Another quarter split this key service between internal staff and external partners. Further, the majority of family offices employ ten or fewer staff members, remarkably lean operations for their responsibilities and assets.

Outsourcing and Key Outsourced Services

The desire to maintain lean operations and meet expansive needs leads nearly all family offices to outsource at least some of their services to trusted partners. Legal services are the most common service outsourced by family offices, reaching two-thirds globally. Technical expertise in areas such as cybersecurity are also commonly delegated externally as are more boutique services like lifestyle or concierge services.

Comparative Analysis of Insourcing vs Outsourcing

“Assess what is core and non-core, optimise for cost, and be agile in relinquishing control of non-core services.” –Peter Golovsky, Berkshire Global Advisors

The choice between insourcing and outsourcing services is crucial, impacting control, efficiency, cost, and service quality. Each approach must be evaluated based on the family office’s goals, resources, and preferences. It is also worth considering potential family strengths drawn from their business experiences and the origins of their wealth. A balanced approach, blending both strategies, is often the most effective solution, leveraging the strengths of each to comprehensively meet the family’s needs.

Key insourcing advantages are:

• Control and Customisation: Insourcing provides greater control over decision-making processes and service quality. Families can tailor strategies and services to their specific requirements and values, ensuring alignment with long-term goals. For instance, an in-house team can quickly adjust investment strategies in response to market changes without communications delays.
• Confidentiality and Security : Maintaining confidentiality is paramount for high-net-worth families. Insourcing done right may enhance security, reducing the risk of data breaches and maintaining privacy, which can be compromised when services are outsourced.
• Cohesive Strategy: An in-house team can develop a more cohesive strategy, fostering better coordination across various functions. This integration is crucial for aligning financial planning, estate planning, and philanthropic activities with the family’s vision and values.

Key insourcing challenges include higher costs related to hiring, training, and retaining a skilled team as managing a diverse set of services internally can be complex and resource-intensive. It also requires significant investment in technology and infrastructure.

Key outsourcing advantages are:

• Cost Efficiency: Outsourcing can reduce overhead costs associated with hiring and maintaining an in-house team. It provides access to specialised expertise and technology without the need for substantial upfront capital investment. Firms offer comprehensive services, leveraging their resources and expertise to efficiently deliver high-quality solutions.
• Access to Expertise: Outsourcing allows families to tap into a broad range of specialised skills and industry knowledge. External providers bring experience and best practices from working with multiple clients, enhancing the quality of services provided.
• Scalability and Flexibility: Outsourcing offers scalability, allowing families to adjust services based on their needs without the burden of staffing and infrastructure changes. This flexibility is particularly valuable for families with varying demands over time.

However, outsourcing can limit control and customisation, potentially leading to less personalised service. Confidentiality may also be at risk, as external firms handle sensitive information. Service design has the potential to help family offices optimise the most efficient and effective balance between internal and external services.

Insourcing and Outsourcing Insights

The growth and professionalisation of family offices in recent years is being pushed still further by the next generation of beneficial owners. New leadership with fresh ideas, different lifestyles, and a desire to create impactful change is pushing the evolution of family office services and how they are sourced. 

“Much like in the corporate sector, the increasing shift to hiring fractional roles (over permanent or one-off consultants) enables family offices to leverage the best of both worlds.” – India Wooldridge , Catalyst

By hiring externally, family offices broaden their perspectives and reduce the likelihood of “groupthink,” while benefiting from cross category expertise and a fresh influx of ideas that drives innovation. Importantly though, fractional roles ensure continuity and the benefits of insourcing such as embedding a team culture and synchronicity, all of which improve efficiencies and results. 

“For family offices, decisions to insource or outsource services come down to trust, privacy, and cost. However, one area which most FOs tend to ignore are the time and resources when considering whether something can be done in-house or outsourced.” – Hugh Stacey , Asset Owner Solutions

Effective service design helps tailor seamless and high-quality experiences within family offices optimised between in-house employees and outsourced providers. Here’s an exploration of some key components in a service design process.

Ideal Customer Profiles

Ideal Customer Profiles (ICPs) in the context of family offices are comprehensive descriptions of the families served, encompassing demographics, governance, financial goals, values, and specific needs.

• Demographics and Governance: Age, family structure, net worth, geographic location, and family governance. Understanding these factors helps craft best-in-class services.
• Financial Goals: Investment preferences, risk tolerance, legacy planning, and philanthropic interests. These goals guide the development of customised investment strategies and wealth management plans tuned to the interests and needs of families.
• Values and Lifestyle: Personal values, interests, and lifestyle choices. This includes considerations such as sustainability, social responsibility, and lifestyle preferences, which influence investment and philanthropic strategies. It also includes health, travel, and other lifestyle considerations.
• Pain Points: Specific challenges such as tax planning complexities, succession planning, privacy concerns, or managing intergenerational wealth transfer . Identifying pain points helps in designing services that directly address these issues.

Utilise data analytics and interviews to develop detailed ICPs for a family. Then use these profiles as the foundation for designing services that are aligned with their needs and preferences.

Service Points and Touchpoints

Service points and touchpoints are the various digital and personal interactions that staff and service providers have with a family office.

• Touchpoints: These include consultations, financial reviews, client meetings, digital platforms (websites, portals), and communication channels (emails, phone calls, video conferences). Each touchpoint should provide a consistent and high-quality experience.
• Service Points: Critical moments in the client journey, such as onboarding, investment decisions, financial planning sessions, and reporting periods. Ensuring these points are well-designed and family-centric is crucial for maintaining satisfaction and trust.

Map out the user journey to identify all touchpoints and service points for internal and external services. Use journey mapping techniques to enhance each interaction, ensuring a seamless and personalised experience at every stage for each of your family office’s needs. Focus on creating best-in-class service experiences that reinforce your family office’s value proposition.

Role of People in Service Delivery

The human element . The people involved in service delivery are central to a family office’s success, including internal staff, advisors, and beneficial owners in addition to external service providers.

• Advisors and Staff: Highly skilled professionals with expertise in areas like investment management, estate planning, tax advisory, and philanthropy. They should be well-trained, knowledgeable, and client-focused, equipped to provide bespoke advice and support.
• Service Provider Engagement: The involvement of external service providers in decision-making processes, regular feedback loops, and engagement in strategy discussions. This fosters a sense of partnership and ensures services are aligned with the family’s evolving needs.

Invest in continuous training and development for staff to maintain high standards of service and expertise. Implement regular feedback mechanisms for internal staff and external service providers to gather insights and enhance service delivery.

Processes and Workflow Optimisation

Streamlining processes and optimising workflows are critical for efficiency and service quality in family offices.

• Process Mapping : Detailed documentation of all workflows, from client onboarding and asset management to reporting and compliance. This helps identify inefficiencies and areas for improvement.
• Automation and Technology: Implementing automation tools for routine tasks such as portfolio rebalancing, compliance monitoring, and reporting. This reduces manual effort, minimises errors, and enhances operational efficiency.
• Continuous Improvement: Employ methodologies like Lean, Six Sigma , or Agile to continuously refine processes. Encourage a culture of innovation and feedback to ensure processes remain effective and responsive to client needs.

Conduct regular process audits and utilise technology solutions to automate and streamline workflows. Engage staff in process improvement initiatives and leverage best practices to enhance service delivery and operational efficiency.

Several technologies and tools are of great assistance to service design processes.

Artificial Intelligence and Machine Learning

Artificial Intelligence (AI) and Machine Learning (ML) are at the forefront of service design innovation . AI and ML enable service designers to analyse large data sets, uncovering patterns and insights that inform the design process. AI packages can also predict customer behaviour, personalise services, and automate customer interactions, making multi-family office services more efficient and tailored to the needs of individual families.

Simple Expert Toby Usnik proposes a different perspective—one of optimism, opportunity, and the potential for extraordinary growth - when using AI in the family office.

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Design Thinking Software

Design thinking remains a cornerstone of service design, and software like Miro and MURAL facilitates this process. These tools offer virtual whiteboards that support brainstorming, collaboration, and visualisation of service blueprints, allowing teams to work together seamlessly, even remotely.

Customer Journey Mapping Tools

Understanding the customer journey is crucial in service design for multi-family offices. Tools such as Smaply and UXPressia help service designers create detailed customer journey maps. These tools enable the visualisation of customer experiences across different touchpoints, identifying pain points and opportunities for improvement. By using these tools, designers can develop more user-centric services.

Prototyping and Testing Tools

Prototyping is essential in service design, and tools like InVision and Axure provide platforms for creating interactive service prototypes. These tools allow designers to test and iterate on service concepts quickly, ensuring that the final service meets user needs and expectations.

Data Analytics Tools

Data analytics tools like Tableau and Power BI are essential for service design, providing insights into user behaviour and service performance. These tools help designers track key performance indicators (KPIs) and make data-driven decisions to refine and optimise services.

The latest technologies and tools are revolutionising service design, making it more data-driven, collaborative, and user-centric. By leveraging AI, design thinking software, customer journey mapping tools, prototyping platforms, and data analytics, service designers can create innovative and effective service solutions that meet the evolving needs of families.

The landscape of family office services is evolving rapidly, driven by emerging trends, technological advancements, and changing client expectations. Taking a service design approach to determine how your family office adapts to these changes is a family-centric method that maximises efficiency.

Emerging Technologies

The family office sector is witnessing the integration of cutting-edge technologies and innovative practices that redefine internal operations in addition to external service delivery and client engagement at multi-family offices.

• Artificial Intelligence and Machine Learning: AI and ML are being leveraged for predictive analytics, personalised financial planning, and automated interactions. These technologies enhance decision-making, optimise investment strategies through insights and automation.
• Blockchain Technology: Blockchain offers secure, transparent, and efficient solutions for asset management, estate planning, and transaction processing. It enhances trust and security in transactions, reducing fraud and streamlining complex processes.
• Robotic Process Automation (RPA): RPA is automating repetitive tasks such as data entry, compliance checks, and reporting, increasing efficiency and accuracy while reducing operational costs.
• Big Data: Leveraging big data analytics, family offices can gain deeper insights into market trends and investment opportunities, enabling more informed decision-making and strategic planning.

Family offices should consider investing in technologies that enhance operational efficiency and service quality. Staying current with technological advancements and integrating them into service offerings will be crucial for maintaining a competitive edge.

Digital Transformation and Automation

Digital transformation and automation are reshaping how family offices operate, enhancing service delivery from external partners and MFO interactions with clients.

• Digital Platforms and Portals: The adoption of sophisticated digital platforms and client portals allows for seamless communication, real-time updates, and easy access to financial data and reports. These platforms enhance client engagement and streamline service processes.
• Workflow Automation: Automating workflows with tools like AI-driven chatbots, RPA, and integrated software solutions reduces manual workloads, minimises errors, and accelerates service delivery. Automation also enhances compliance and regulatory reporting, ensuring accuracy and timeliness.
• Cloud Computing: Cloud technology facilitates scalable, secure, and efficient data management and collaboration. It enables family offices to store and access vast amounts of data securely, enhancing data analytics and decision-making capabilities.

Family offices should prioritise digital transformation initiatives, investing in automation technologies and cloud solutions to enhance operational efficiency, improve service, and ensure data security.

Importance of Cybersecurity and Data Privacy

With the increasing digitization of services, cybersecurity, and data privacy have become paramount in family office service design.

• Enhanced Cybersecurity Measures: Implementing advanced cybersecurity protocols, including encryption, multi-factor authentication, and intrusion detection systems, is essential to protect sensitive data and counter threats.
• Compliance with Regulations: Adhering to global data protection regulations such as GDPR, CCPA, and others ensures compliance and builds trust. Family offices must implement robust data privacy policies and practices to safeguard data.
• Risk Management Strategies : Developing comprehensive cybersecurity and data privacy strategies, including regular audits, risk assessments, and employee training, helps mitigate potential threats and ensures the integrity and confidentiality of client data.

Family offices should adopt state-of-the-art cybersecurity technologies, enforce strict data privacy policies, and conduct ongoing training and assessments to protect data and maintain compliance with regulatory standards.

In this field, service providers such as Presage Global provide  intelligence-powered risk management, while UMBRA International offers bespoke protective and proactive security solutions.

Simple Expert Kate Bright, the Founder and CEO of UMBRA, introduces the four-pillar approach to address the security needs of modern family office clients.

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Sustainability and ESG Considerations

Sustainability and Environmental, Social, and Governance (ESG) considerations are increasingly influencing family office service design and investment strategies.

• Integration of ESG Criteria: Incorporating ESG factors into investment decision-making processes is essential for aligning with clients’ values and promoting sustainable growth. This includes expanding services to evaluate investment opportunities based on their environmental impact, social responsibility, and governance practices.
• Impact Investing : Emphasising impact investing, which seeks to generate measurable social and environmental impacts alongside financial returns, is gaining traction. Family offices are increasingly supporting projects and initiatives that contribute to sustainability and social welfare. This can be done internally or externally sourced. 
• Reporting and Transparency: Developing transparent reporting frameworks that highlight ESG performance and impact metrics is crucial. This helps families understand the sustainability and social responsibility of their investments, enhancing their confidence and engagement.

Family offices may choose to integrate ESG considerations into their investment strategies, adopt sustainable practices, and enhance reporting mechanisms to demonstrate their commitment to sustainability and social responsibility.

“When developing reporting frameworks, family offices are recommended to start with the end result, i.e. with identifying what could be both meaningful and understandable for the end reader. Ideally, this consists of a mix of narratives and diagrams or graphs at the overall portfolio level using metrics that are either straightforward to understand or easy to explain, complemented with concrete case studies or examples. Following that, it’s important to assess what data is needed for this (focussing on various aspects such as on data availability, credibility, and reliability) and what tooling is needed to efficiently generate appealing, meaningful reporting.” – Tall Ullman , Sustainable Investment Consultant

Insights into the Future of Service Design in Family Offices

Family offices have the opportunity to leverage service design methods to re-center their family members while innovating their operations and governance.

• Personalised Experiences: Leveraging AI, data analytics, and advanced CRM systems will enable family offices to offer highly personalised services, tailored to individual needs, preferences, and life goals.
• Increased Focus on Technology and Innovation: Family offices will continue to adopt emerging technologies, enhancing service delivery through automation, blockchain, and advanced analytics, ensuring efficiency, security, and satisfaction. 
• Greater Emphasis on Sustainability and Social Responsibility: As families increasingly prioritise sustainability and social impact, family offices will enhance their focus on ESG investing and sustainable practices, aligning their operations with their values.

Family offices should stay informed about emerging trends, invest in innovative technologies, and adopt sustainable practices to future-proof their services, ensuring they meet evolving expectations and contribute positively to society.

The evolution of family office services is driven by the changing needs and expectations of families. Here’s an exploration of the next-generation service categories that are reshaping family offices.

Unpacking New and Emerging Service Categories

As families seek more comprehensive and integrated solutions, family offices are expanding their service offerings to include new and emerging categories that address diverse needs.

• Wealth Management Technologies: The integration of AI, blockchain, and big data analytics is revolutionising investment strategies, offering real-time insights, and enhancing portfolio management.
• Holistic Wellbeing Services: Beyond traditional wealth management, services now include mental health, wellness, and lifestyle coaching, promoting a balanced and fulfilling life.
• Sustainable and Impact Investing: Families are increasingly interested in investments that align with their values, pushing family offices to develop expertise in ESG investing and impact ventures.

Family offices should continually assess market trends and client needs to innovate and incorporate these emerging services, ensuring they offer a holistic and forward-looking approach to wealth management.

Hybrid Model Family Offices

The hybrid model combines the benefits of single-family offices with those of multi-family offices, offering scalability and personalised services.

• Shared Resources and Costs: By pooling resources with other families, hybrid models reduce operational costs while maintaining bespoke services. This model is particularly attractive for families seeking personalised attention without the full expense of a traditional single family office.
• Flexible Service Offerings: Hybrid offices can tailor their services to the specific needs of each family, providing a blend of comprehensive management and specialised services. This flexibility enhances satisfaction and operational efficiency.

Family offices should explore partnerships and networks to create hybrid models, leveraging shared resources to enhance service offerings while maintaining high standards of personalization and efficiency.

Travel and Lifestyle Management

“​​Understanding the geo-cultural aspect behind the family office is crucial to creating a successful partnership.” – Anton Kjaergaard , 80 days

Travel and lifestyle management services are becoming increasingly sophisticated, catering to the unique preferences and demands of families.

• Bespoke Travel Planning: Customised travel experiences, including exclusive access to private jets, luxury yachts, and bespoke itineraries, are in high demand. These services ensure seamless and memorable travel experiences.
• Concierge Services: Comprehensive lifestyle management, from securing reservations at top restaurants and exclusive events to managing personal staff and home services, enhances the family’s quality of life and convenience.

Family offices may choose to partner with high-end travel and concierge service providers, offering tailored solutions that meet the unique lifestyle and travel preferences of their clients. Service providers such as Maison Benjamin provide membership-based luxury travel and lifestyle management services that enable clients to organize travel, manage lifestyle needs, and curate experiences.

“We believe that customisation is crucial: Family offices often have highly specific and unique needs, driven by the family’s wealth management goals, values, and long-term objectives. Tailoring services to meet these individual requirements is essential. Off-the-shelf solutions rarely meet the complex demands of family offices” – Ben Vaschetti , Maison Benjamin

Medical and Healthcare Services

“When looking to integrate medical services in a family office, the understanding and management of expectations is key. Family members may be hesitant to openly share their concerns (especially when it comes to mental health, addiction, or sexual wellbeing) and interests with those that manage their legal or financial concerns, for good reasons. Full transparency towards the medical family office is key and therefore direct contact with the family members is often non-negotiable to achieve a high quality of service and satisfaction.” – Kevin Bürchler , SIP

Medical and healthcare services are expanding to include a broad spectrum of personalised and preventative care that includes comprehensive health management, mental health, and wellness. 

• Private Medical : Comprehensive concierge medical care with their global network of doctors giving members direct access to their physicians in emergencies and through education and proactive care. Private medical builds medical plans to meet your needs.
• Private Health Navigation : A concierge service on call to help patients navigate their health care journey through private and national systems with medical experts.
• Medical Family Office : A slightly different configuration than above, a medical family office combines a network of vetted and highly qualified medical professionals with private medical insurance, medical records management, preventative medicine, and patient guardianship. 
• Veltracon Medical advises clients on selecting the best private clinic for their treatment(s) at over 50 private clinics and accredited medical professionals throughout Switzerland 
• Mental Health and Wellness: Integrating mental health support and wellness programs into family office services is gaining traction, addressing stress, mental health issues, and overall well being through coaching, therapy, and wellness retreats.

“Traditional MFOs and SFOs often don’t have the know-how, network, and experience in the healthcare sector to give top-level advice to their clients. Some family offices have started to dedicate their own resources to health, some partner with specialised medical family offices.” – Kevin Bürchler, SIP Medical Family Office

Family offices may consider establishing relationships with leading healthcare providers and wellness experts that offer clients a seamless and integrated approach to healthcare and wellbeing.

“Several key considerations must be considered when deciding between insourcing and outsourcing medical services in family offices. Cost, quality of care, and privacy are paramount, with insourcing offering greater control and continuity but higher expenses and administrative burdens. At the same time, outsourcing provides flexibility and access to specialised care at potentially lower costs but with challenges in maintaining privacy and integration. Ultimately, the decision hinges on balancing these factors based on the unique needs and circumstances of the family office.” – Brian Dooreck , MD, Executive Health Navigation

Recruitment and Talent Management

Recruitment and talent management services are critical for ensuring that family offices have the right personnel to manage and grow their wealth effectively.

• Executive Search and Staffing: Specialised recruitment services focus on hiring top-tier talent for family offices, including investment managers, estate planners, and personal assistants. These services ensure that families have access to the best professionals in the industry.
• Talent Development and Retention: Programs for ongoing training, development, and succession planning are essential for retaining top talent and ensuring continuity and expertise within the family office.

Family offices may consider partnering with recruitment agencies and professional development firms to build robust talent management strategies, enhancing the capabilities and stability of their teams.

In this comprehensive guide, we explore recruitment for family offices with data from the Simple community and insight from industry experts.

guides Recruitment

A simple guide to family office recruitment.

This guide provides a deep dive into the unique aspects of recruiting for family offices. Drawing on insights from Simple’s experts and online...

Back Office Solutions and Support Services

Efficient back-office operations are fundamental to the smooth functioning of family offices.

• Financial and Administrative Support: Outsourcing services such as accounting, tax planning, compliance, and reporting to specialised firms can enhance efficiency and accuracy. Advanced software solutions streamline these processes, reducing manual workload and improving data management.
• Technology Integration: Implementing integrated software solutions for finance, operations, and client management ensures seamless workflow and data consistency across the family office.

Family offices should adopt state-of-the-art back-office technologies and consider outsourcing non-core functions to specialised service providers, enhancing operational efficiency and compliance.

In this area, service providers such as Panchee Advisory provides curated solutions to the day-to-day tasks and more bespoke lifestyle management needs of HNW families – such as cash flow forecasting and bill payment, and beyond. Providers such as Trove,  similarly, offer highly specialised, bespoke financial and personalised wealth administration services.

Veracy Family Wealth Partners is a boutique multi-family office that serves as the outsourced CFO for HNW/UHNW families.  Veracy’s financial management and oversight empowers clients and their advisors with financial clarity to better manage, safeguard, and optimize wealth.

Education and Personal Development

Education and personal development services are becoming a cornerstone of family office offerings, focusing on lifelong learning and growth.

• Financial Literacy and Investment Education: Providing tailored education programs on financial literacy, investment strategies, and wealth management ensures that family members are well-equipped to manage their wealth and make informed decisions.
• Leadership and Personal Development: Programs focusing on leadership training, philanthropy, and personal development help family members build skills, enhance their knowledge, and prepare for future roles within the family office.

Family offices should design and implement comprehensive education and development programs, partnering with educational institutions, coaches, and experts to support the personal and professional growth of family members.

By embracing these next-generation service categories, family offices can enhance their value proposition, ensuring they meet the evolving needs and aspirations of their clients while maintaining the highest standards of service and innovation.

Designing and implementing effective service strategies for family offices involves navigating a series of challenges and considerations.

Identification of Common Challenges Faced in Implementing Service Design

Family offices face numerous challenges when designing and implementing service strategies. Understanding these hurdles is crucial for developing effective solutions.

• Complex Family Dynamics: Managing relationships and expectations among diverse family members can be challenging, particularly in multi-generational settings. Conflicts of interest, varying values, and communication barriers often complicate decision-making. Aligning vision and values is crucial.
• Customization and Scalability: Balancing bespoke services tailored to individual family needs with scalable solutions that can grow with the family is a significant challenge. Families expect highly personalised services, but scaling these offerings without losing quality or consistency is difficult.
• Technological Integration: Implementing and integrating new technologies while maintaining legacy systems can be complex. Family offices must ensure that new tools enhance efficiency and service quality without disrupting existing operations.

Family offices should conduct thorough assessments through a service design process to identify specific challenges and develop targeted strategies to address them, leveraging expert consultations and technology solutions.

Strategies to Address Diverse Family Needs and Preferences

Service design is a process that can address the varied needs and preferences of family members.

• Personalised Service Models: Developing service models that cater to different generations and individual preferences is crucial. This includes creating tailored financial planning, investment strategies, and lifestyle services that align with each family member’s goals.
• Regular Communication and Engagement: Establishing regular communication channels and engagement strategies ensures that all family members feel heard and involved. This can include family meetings, surveys, and one-on-one consultations with advisors.
• Education and Empowerment: Providing educational programs and resources to enhance financial literacy and decision-making skills among family members fosters greater involvement and informed decision-making.

Family offices should implement flexible service frameworks and maintain open lines of communication, using technology to facilitate seamless interactions and personalised support.

Simple Expert Kyle Macdonald outlines how service design makes for an ideal bedfellow for family offices looking to move beyond 'palace politics' and re-engineer their family office structure.

insights Operations

How service design can transform the family office structure.

Ralph Waldo Emerson once said, “Every great institution is the lengthened shadow of a single man (or woman)." Within the private wealth space, this...

Balancing the Integration of Traditional Values with Modern Innovations

Striking the right balance between preserving traditional values and embracing modern innovations is essential for family offices.

• Legacy: Respecting and incorporating the family’s legacy through service design helps maintain continuity and heritage. This includes supporting philanthropic goals, family traditions, and long-term vision.
• Adopting Technological Innovations: While maintaining traditional values, integrating modern technologies such as AI, blockchain, and advanced data analytics can enhance service delivery, improve efficiency, and offer innovative solutions.
• Creating a Vision for the Future: Developing a shared vision that aligns traditional values with future goals ensures that the family office evolves while staying true to its core principles.

Family offices should engage in strategic planning sessions with key stakeholders to align traditional values with innovative practices, ensuring a cohesive and forward-looking approach.

Legal and Regulatory Considerations

The service design process should include legal and regulatory considerations from the start.

• Compliance with Regulations: Ensuring compliance with local, national, and international regulations, including tax laws, privacy regulations, and financial reporting requirements, is essential.
• Estate and Succession Planning : Developing robust estate and succession plans that comply with legal requirements and address family governance issues is crucial for preserving wealth across generations.
• Data Privacy and Security: Implementing stringent data privacy and cybersecurity measures to protect sensitive information and comply with regulations such as GDPR and CCPA is vital.

Family offices should work closely with legal and compliance experts to develop comprehensive policies and practices that ensure full regulatory compliance and mitigate legal risks.

Risk Management and Mitigation Strategies

Effective risk management is fundamental to safeguarding the family’s wealth and ensuring the sustainability of the family office.

• Comprehensive Risk Assessment: Conducting thorough risk assessments to identify potential threats, including financial, operational, and reputational risks, is essential. This includes evaluating market risks, cybersecurity threats, and operational vulnerabilities.
• Diversification and Hedging Strategies: Implementing diversified investment portfolios and hedging strategies to mitigate market risks and protect assets is a key component of risk management.
• Developing Contingency Plans: Establishing robust contingency and crisis management plans ensures that the family office can respond effectively to unforeseen events, such as economic downturns, cyber-attacks, or family disputes.

Family offices should establish a dedicated risk management framework, incorporating regular reviews, scenario planning, and the development of contingency plans to address potential risks proactively.

Mapping each service in your family office is an essential part of the service design process. Here is an example of a family office investment infrastructure map that opens the door to examining workflows and processes in conversation with family needs.

“I work to understand the family needs while involving them throughout the technology design process. This includes interviews, surveys, and observation, to gain insights into their behaviours, motivations, and pain points on an individual and family level. This user centric approach allows me to create intuitive and aesthetically pleasing interfaces that enhance their experience with the technology used.” – Ethan Bonar , CFO Family Reporting

Modern family offices must optimise services, governance, and succession planning. Service design re-centers family needs, balancing internal capabilities with external partners for continued success. This report introduces service design concepts and applies them to family offices. Design thinking applies user-centred principles to problem-solving, relevant to evolving family office needs. Balancing insourcing and outsourcing is crucial; insourcing offers control and customization, while outsourcing provides cost efficiency and expertise. Service design helps optimise this balance, enhancing family office effectiveness.

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• Open access
• Published: 29 August 2024

Modified Harris Hawks optimization for the 3E feasibility assessment of a hybrid renewable energy system

• Asmita Ajay Rathod 1 &
• Balaji S 1  

Scientific Reports volume  14 , Article number:  20127 ( 2024 ) Cite this article

Metrics details

• Energy science and technology
• Engineering
• Environmental sciences
• Mathematics and computing

The off-grid Hybrid Renewable Energy Systems (HRES) demonstrate great potential to be sustainable and economically feasible options to meet the growing energy needs and counter the depletion of conventional energy sources. Therefore, it is crucial to optimize the size of HRES components to assess system cost and dependability. This paper presents the optimal sizing of HRES to provide a very cost-effective and efficient solution for supplying power to a rural region. This study develops a PV-Wind-Battery-DG system with an objective of 3E analysis which includes Energy, Economic, and Environmental CO 2 emissions. Indispensable parameters like technical parameters (Loss of Power Supply Probability, Renewable factor, PV fraction, and Wind fraction) and social factor (Human Developing Index) are evaluated to show the proposed modified Harris Hawks Optimization (mHHO) algorithm’s merits over the existing algorithms. To achieve the objectives, the proposed mHHO algorithm uses nine distinct operators to obtain simultaneous optimization. Furthermore, the performance of mHHO is evaluated by using the CEC 2019 test suite and the most optimal mHHO is chosen for sizing and 3E analysis of HRES. The findings demonstrate that the mHHO has achieved optimized values for Cost of Energy (COE), Net Present Cost (NPC), and Annualized System Cost (ASC) with the lowest values being 0.14130 $/kWh, 1,649,900$, and 1,16,090$/year respectively. The reduction in COE value using the proposed mHHO approach is 0.49% in comparison with most of the other MH-algorithms. Additionally, the system primarily relies on renewable sources, with diesel usage accounting for only 0.03% of power generation. Overall, this study effectively addresses the challenge of performing a 3E analysis with mHHO algorithm which exhibits excellent convergence and is capable of producing high-quality outcomes in the design of HRES. The mHHO algorithm attains optimal economic efficiency while simultaneously minimizing the impact on the environment and maintaining a high human development index.

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Introduction.

Electricity does not exclusively indicate energy. Energy is a crucial foundation of the economy as well as a feasible means of promoting sustainable growth. In order to achieve continuous economic and social progress, it is essential to have sufficient and continuous access to electricity 1 . However, approximately 1.2 billion individuals constituting 17% of the global population have no access to electricity which is primarily in rural areas 2 . Rural regions are typically situated at a considerable distance from the national power grid and are often situated in challenging terrain such as mountainous regions or dense forests. The extension of transmission lines can be prohibitively expensive or impractical in these remote areas. The economic growth of the country is significantly influenced by electricity. Expanding economies such as India require a greater energy supply than what is currently available to adequately address their rising energy demands. The burgeoning energy demands are primarily due to the technology advancements and other enhancements in each stage of mankind. In other words, the countries have an energy shortage and they need cost-effective methods to address it. The issue of energy in the global context remains a challenge due to the need for diversification regardless of the advancements made in the exploitation of sustainable energy resources.

At present there is a growing global inclination towards the advancement of Renewable Energy Sources (RESs). Consequently, there has been an expanding imperative to cultivate sustainable and eco-friendly energy sources commonly referred to as RESs. Solar, wind, small hydro, cogeneration bagasse, and biomass, are just a few of the sources of renewable energy that have great potential to be used to power developing economies. For example on March 31, 2021, it was predicted that India has a total renewable power generating capacity of 14,90,727 MW 3  and the full overview of the contributions provided by different RES in India is shown in Fig.  1 .

Different RES contributions in India.

Each specific RES exhibits a unique set of advantages and disadvantages. Solar and wind energy as sources of renewable energy have become known for their cleanliness, affordability, and environmental sustainability. It is important to note that their effectiveness is contingent upon various factors such as weather conditions, climatic patterns, and specific geographical regions. Despite the intermittent and unpredictable nature of solar and wind sources, which can be attributed to abrupt changes in solar radiation as well as the speed of the wind, they can serve as viable substitutes for fossil fuels in power generation 4 . Due to their unpredictable nature, RESs that rely on a single source, like solar and wind power, are unable to provide the year-round need of electricity. However, the hybridization of solar Photovoltaic (PV) and Wind Turbine (WT) technologies have the potential to fulfill demand for electricity under the condition of adequate solar irradiation and wind speeds. As said already, the solar and wind sources are intermittent, thus there exists a requirement for an Energy Storage System (ESS). Numerous technologies for storing energy have been implemented in various applications, encompassing batteries, hydrogen, compressed air, flywheels, pumped hydro storage, and gravity energy. Batteries are extensively utilized as a short-term storage medium owing to their affordability, ease of upkeep or maintenance, and consistent operational capabilities. Green hydrogen possesses several notable benefits including its ability to store energy over extended periods, and its capacity to mitigate local pollutants in an environmentally friendly manner. Also, the specialty of Green Hydrogen is the complete absence of CO 2 emissions. However, it is important to acknowledge that green hydrogen is accompanied by a comparatively higher cost. At present, the water electrolysis process stands as the most ecologically sustainable method for hydrogen production with a drawback of substantial electricity consumption 5 . The utilization of hydrogen fuel cells facilitates the conversion of the energy stored within hydrogen into electrical energy.

It has become increasingly clear that a Hybrid Energy System (HES) that incorporates mixed generation and suitable storage is necessary to meet the requirements for a consistent, sustainable, and dependable power supply. As a result, determining the optimal sizing for these systems has become a highly desired research topic worldwide. By implementing appropriate component sizing techniques and adopting an effective power management strategy or energy dispatch strategy, it is possible to establish a Hybrid Renewable Energy System (HRES) that offers a sustainable, economically viable, and dependable solution for fulfilling the energy requirements of developing nations. A key consideration in the design of HRES is the sizing of its components. Solar and Wind energy sources exhibit discontinuity, dependence on specific locations, and significant variability 6 . Consequently, the economic viability of stand-alone energy systems is compromised due to the inability to properly match power generation with energy demand fluctuations 7 . HRES which utilize solar PV, wind technologies, ESSs, and Diesel Generators (DGs) have the potential to serve as viable energy sources 8 .

The optimization and efficient operation of HRES will contribute to the enhanced dependability, reliability, and control, along with the efficiency of the power network. Efficient management of these components is crucial for enhancing the HRES operation or performance. The implementation strategy of HRES is determined by technical, economic, and environmental indicators within the network 9 . In recent times, there has been a significant focus on the identification of the most suitable HRES configuration and capacity. The HRES is established purely by taking into consideration the presence of RESs and annual power demands specific to a given location. The determination of a suitable size for the HRES through the application of techno-economic evaluation has been a prominent area of research for the past quarter-century or over 25 years.

Literature explores the optimum size of off-grid systems to reduce the Net Present Cost (NPC), Cost of Energy (COE) or Levelized Cost of Energy (LCOE), and Loss of Power Supply Probability (LPSP) while maximizing the renewable factor (RF) 10 . SK.A. Shezan et al. performed a practical evaluation of an independent WT/PV/DG/battery HES designed for rural areas. The HOMER software tool was employed to model and enhance the efficiency of the PV/WT/DG hybrid energy system using real-time field data of solar radiation as well as wind speed pertaining to the given area. The simulations using HOMER software usually confirms that the framework is feasible in relation to NPC analysis and the idea of decreasing CO 2 emissions 11 . The various metrics including NPV (Net Present Value), energy expenditure, energy production, ASC, EE (Energy Efficiency) created, and pollution produced can be computed using HOMER. The analysis demonstrated that the combination of PV/DG sets results in the lowest NPC and COE 12 . Laura Tribioli and Raffaello Cozzolino performed a Techno-economic assessment of an autonomous microgrid (MG) for a commercial building in eight different temperature zones. A comparative study is performed to assess the technical, economic, and environmental implications using Simulink and HOMER for the grid 13 . A study was conducted by Ashkan Toopshekan et al. on the integration of PV, WT, DG, and BES systems for residential areas. The study was focused on developing a new dispatch method that resulted in improved COE and reliability factors 14 . As reported by many researchers if RES penetration rises in a given region, pollutant gas emissions are minimized 15 .

Anis Afzal, Mohibullah Mohibullah, and Virendra Kumar Sharma performed comparative research on optimal HRES to provide energy security and their work focused on the sizing, generator operating hours, and sensitivity analysis 16 . Rahman Tito et al. carried out an investigation on optimizing the size of wind-photovoltaic hybrid energy systems to more effectively manage transient load conditions 17 . Ramin Hosseinalizadeh et al. developed an optimization-simulation model to economically determine the size of an HRES consisting of PV, WT, and fuel cell (FC) technologies. The system is designed for stand-alone applications 18 . Om Krishan and Sathans Suhag presented a techno-economic study and optimal design of an HRES. It was designed to fulfill the electricity needs of a community in Yamunanagar district, Haryana, India, which currently lacks access to sufficient energy for residential and agricultural purposes 19 . Shafiqur Rehman et al. conducted a techno-economic study that included optimizing the size and implementing Model Predictive Control of Standalone HRES components. The goal was to fulfill the residential load demand of a specified region 20 . Sanjay et al. conducted a techno-commercial evaluation of HES for agriculture farms utilizing HOMER Software 21 . Shen Yuong Wong and Chunze Li conducted a techno-economic study of the most efficient HRES for an MG on a campus 22 . The study by Joshi Sukhdev Nirbheram, Aeidapu Mahesh, and Ambati Bhimaraju examined the best HRES size based on source degradation. Additionally, the number of BESS to be included in HRES to fulfill the given restrictions and their influence on energy costs was analyzed 23 .

Also, Elkadeem et al. proposed a design and control structure for large-scale PV/WTG hybrid systems with and without the integration of BES. Based on the proposed eight cases by Elkadeem et al., it is found that the grid-connected WT/PV/converter system case was the most cost-effective and ecological one. Control enhances renewable power monitoring as well as reliability. It provides a framework for large-scale renewable energy initiatives 24 . Mersad Shoaei, Ahmad Hajinezhad, and Seyed Farhan Moosavian developed an innovative hybrid power system that integrates gas, steam, and organic Rankine cycles with RES sources such as geothermal and solar. The system's performance was analyzed, and appropriate fluids for the organic cycles were identified. These fluids enhance the efficiency, power production, and lower the emissions in comparison to a conventional system 25 . Dawoud et al. explored the impact of implementing demand-side management (DSM) techniques on MGs located in distant places, with a focus on optimizing energy consumption. They presented a new approach to construct MGs that taken into account technological, environmental, and economic considerations. The findings demonstrated that DSM has the capacity to mitigate peak energy demand, minimize expenses, and diminish greenhouse gas emissions, hence enhancing the sustainability and adaptability of MGs 26 . Rahimi-Esbo et al., examined innovative approaches to develop off-grid HRES for telecommunications towers. The design proposed by them includes solar panels, hydrogen technology, as well as an organic Rankine cycle to enhance energy efficiency, recover waste heat, and minimize expenses. The analysis of the design determined optimal configurations for these elements, resulting in superior effectiveness, minimal expenses, and less ecological footprint 27 . Andrey Nikitin et al., examined a multi-generation system that utilizes solar and wind power to provide electricity for near-zero energy buildings. The multi-generation system simulation modeled the year-round performance of four Russian towns, considering various factors such as energy consumption, efficiency, cost, and environmental effects. The system offers cooling, heating, and electric power generation, along with freshwater production, demonstrating exceptional efficiency and a substantial decrease in CO 2 emissions when compared to conventional systems 28 . Various techniques have been reported in the literature to analyze and enhance the performance of HRES. Table 1 provides a summary of the prior optimization works in the optimal design of HRES components.

The application of Meta-heuristic (MH) algorithms have been observed in addressing the challenge of sizing and performing techno-economic analysis for grid-connected or off-grid HRES 41 . Over the past two decades, several MH optimization algorithms have been developed and inspired by various natural phenomena. The Artificial Bee Colony (ABC) algorithm draws inspiration from the remarkable behavior of honey bee swarms 42 and the Grey Wolf Optimizer (GWO) motivated by the grey wolves 43 . Likewise, the Dolphin Echolocation (DE) optimization algorithm was inspired by the hunting strategies utilized by dolphins 44 and the Elephant Search Algorithm (ESA) is modeled on the behavioral traits of the elephant herd 45 . One of the conventional algorithms like Whale Optimization Algorithm (WOA) is inspired by the adoption of bubble nets with humpback whales as a hunting technique 46 . Other algorithms of interest like the Spotted Hyena Optimizer (SHO) encouraged by spotted hyenas' behavior 47 , and the Red Fox Optimization algorithm (RFO) is motivated by the concept of tracking and managing the population of a well-known species the red fox 48 , and so on. However, it is essential to note that these algorithms demonstrate the inherent capabilities to address the challenges dependent on the complexity involved. According to the No Free Lunch (NFL) theorem not all MH algorithms can handle all types of optimization problems 49 . Hence problem-based improvements or modifications are required to enhance their performance. Each MH algorithm has advantages and disadvantages of its own.

Moreover, it is essential to note that these MH algorithms exhibit various degrees of accuracy as well as effectiveness while solving a specific challenge. In recent years, various types of new and highly efficient MH algorithms have been developed and extensively utilized to solve complex and non-linear optimization challenges. Further, sizing and techno-economic analysis for HRES challenges transformed into an optimization challenge. MH optimization can solve these challenges such as minimizing Net Present Cost (NPC), Annualized System Cost (ASC), Cost of Energy (COE), Loss of Power Supply Probability (LPSP), improved Greenhouse Gas Emission (GHGE) savings, Human Development Index (HDI) and maximum reliability of the system. The Harris Hawks Optimization (HHO) algorithm proposed by Ali Asghar Heidari et al. 50 has attracted attention in the field of optimization challenges.

According to the literature, the HHO algorithm is applied to the sizing, optimization, and design of autonomous MG, and various applications have been proposed recently 51 . Further renewable energy-based DG unit sizing and planning for the IEEE bus system are also analyzed 52 . Gauri Sahoo et al. presented an approach including the utilization of Modified HHO to develop a Fractional-Order Fuzzy Proportional-Integral-Derivative (PID) controller. The controller was aimed to regulate the frequency of a multi-MG system 53 . Mohammed Kharrich et al. developed an equilibrium optimized for the techno-economic analysis of MGs and the results are compared with the HHO algorithm 54 . Ch Srivardhan Kumar et al. provided a control approach that offers a reduced level of complexity for voltage compensation to boost power quality inside the distribution systems. The control technique proposed by them utilized a customized power device known as the Dynamic Voltage Restorer (DVR), which was implemented with various inverter topologies with the application of the HHO algorithm 55 . Zhang et al. proposed a method for phase partitioning using HHO with a hard sequential constraint. It was proposed to find the optimal phase partitioning results within a specific target phase number in the inner loop. Additionally, it automatically finds the optimal phase number in the outer loop by balancing the trade-off between modeling complexity as well as partition execution 56 .

The fundamental concept of this HHO technique relies on the hunting strategy employed by the Harries Hawk in capturing its prey. The HHO algorithm is a relatively new and highly promising optimization methodology for several reasons. The HHO theory is based on a population approach and does not rely on the computation of costly partial derivatives. As a result, it is classified as a gradient or derivative-free optimization method 57 . The aforementioned benefit enables the utilization of HHO in the optimization of any problem, provided that the problem is well formulated. It is recognized as a global optimization algorithm due to its incorporation of both exploitation as well as exploration phases. However, the optimal convergence curve as well as local minima are two challenges reported in the literature. To mitigate this challenge a modified version of the HHO (m-HHO) algorithm is proposed in this work.

The research proposed in this work utilizes a mHHO method to identify the optimal size of the HRES system. This is the first and innovative approach where HHO is modified with nine different operators using inertia weight strategies. The effectiveness of these improved algorithms has been tested by utilizing CEC 2019 test functions 58 . In addition, the statistical importance of this algorithm is determined by using a statistical test known as the Friedman rank (f-rank) test 59 . This statistical test is non-parametric in nature. The f-rank test involves assigning a distinct rank to each algorithm being compared based on its performance. The total f-rank is then determined by considering the results across all test functions. Box plots and statistical test studies have also been performed to check the accuracy as well as the robustness of the proposed algorithm. From the acquired results best mHHO is selected for HRES design and the results of the design are compared with some well-known MH-algorithms such as Differential Evolution (DE) algorithm 60 , Enhanced Whale Optimization Algorithm (EWOA) 61 , Particle Swarm Optimization (PSO) 62 , jDE100 63 , Novel Bat Algorithm (NBA) 64 and Sin Cosine Algorithm (SCA) 65 . Also, the f-rank test and Wilcoxon test (p-rank) are carried out to verify the effectiveness and robustness of the mHHO algorithm for picking the optimal mHHO to design the hybrid system.

From the literature, it is noted that the environmental, economic, and ecological (3E) assessment along with social and technological elements on optimal sizing of HES has not been reported in recent studies. Also, it is found that the use of a combination of COE-LPSP-HDI to establish the optimal size of HRES is not often seen in the current literature. Therefore, this study specifically focuses on several objectives to perform 3E evolution and a comparative study of the proposed HES system using MATLAB simulation. Here the sizing and 3E analysis of the HRES system is presented as an objective function defined as the minimization of COE, NPC, ASC, CO 2 emission, and LPSP thereby improving PVF, WTF, RF, and HDI. Also case study of the HRES system consists of PV-WTG-BESS-DG configuration. The contributions of the work are summarized as follows:

A modified version of HHO known as the Modified HHO (mHHO) algorithm is presented in this paper and this is the first such attempt in the HRES design utilizing mHHO for rural electrification.

The proposed mHHO algorithm with 9 different operators is evaluated on the CEC 2019 benchmark dataset. A statistical test, specifically the Wilcoxon's rank-sum (p-rank) and Friedman tests (f-rank), are employed to compare the modified algorithms against each other and to choose the most efficient among them.

Developing a Hybrid Renewable Energy System (HRES) by combining PV-WT-BES- DG which provides a very cost-effective and efficient solution for supplying power to a rural region.

To determine the most cost-effective and feasible HRES configuration, the sizing of HRES components with a comprehensive 3E analysis (Energy, Economic [COE, NPC, and Annual cost] and Ecological [CO 2 emission]) is conducted by considering technical (LPSP, RF, PV fraction, and Wind fraction) and social (HDI) factors.

The performance and effectiveness of the proposed mHHO for the HRES system are verified by comparing it to other MH algorithms such as LCA, NBA, MPO, AOA, EDO, and SCA.

The subsequent sections of the document are organized in the following manner: “ Mathematical modeling ” of the paper outlines a mathematical model of the various components of an HRES. “ Case study ” emphasizes the details of the selected location for a case study. “ Methodology ” describes the methodology which includes a power management strategy and the formulation of an optimization problem, which further consists of two components: objective functions and system constraints. “ Proposed optimization technique ” demonstrates the basic HHO algorithm and proposed optimization technique mHHO algorithm. “ RESULT AND DISCUSSION ” is divided into two subsections where the first section analyzes and discusses the simulation outcomes of the mHHO algorithm and the second section addresses the simulation results of HRES using mHHO. Finally, “ Conclusion ” offers few conclusive findings or remarks. Figure  2 illustrates the detailed structure of the proposed work.

Graphical organization of the paper.

Mathematical modeling

Hybrid Power Systems (HPS) integrate a minimum of one RES (such as wind, solar, or hydropower) with one or more traditional sources of energy, such as DGs. Due to its reliance on atmospheric conditions as already pointed out, the production of electricity from an RES is unpredictable. Therefore, combining this with conventional power sources and/or battery storage would provide reliable and constant electrical power and in this work such a system is considered as HRES. A HRES is typically made up of generation, distribution, and demand subsystems, which may all change significantly based on a number of factors. Some of the factors are the accessibility of renewable resources, the intended services to be offered, and the demand subsystem. The aforementioned parameters exert a significant influence on the decision-making process, and consequently on both the cost as well as dependability of the system 66 .

The design of HRES includes several elements, including a solar PV power generation system, WT power generation system, Power Converters (PC), Battery Storage System (BSS), and DG system which are depicted in Fig.  3 . Distributed generation is typically utilized as a final option and is exclusively started when other energy sources are incapable of satisfying the load demand at a specific moment. RESs are expected to offer a consistent supply of electrical power throughout some interval which depends on various factors and optimization of those factors is of utmost interest in this work. The management of distributed energy sources and loads within the HRES network is facilitated through the operation of Local Controllers (LC) which are typically implemented as power electronic converters. Since the operation is controlled by electronic devices, the overall operation of the system is controlled by the Energy Dispatch Controller (EDC) or Micro-grid Controller (MGC) which sends command signals to every of the Local Controllers (LCs). The following subsections describe the mathematical modeling of each component of the proposed system to scrutinize its performance.

Proposed layout of hybrid energy system.

The apparoch proposed in this work takes into account two significant parameters, namely solar irradiance as well as ambient temperature, which could potentially affect the power output of solar PV at a certain period of time. The amount of electricity produced by the panels is calculated as a function of solar radiation 67 and the corresponding equation is given as follows 68 :

where P pv is the output power (Watt) of the solar PV, P pv_r refers to the rated power (Watt) of a PV system under Standard Test Conditions (STC), G T denotes the hourly sun irradiance (W/m 2 ) that a solar PV panel surface receives. G T_STC refers to the solar irradiance at STC, which is equivalent to 1000 W/m 2 , \(\psi_{T}\) denotes the coefficient of the temperature of solar PV (− 3.7 × 10 −3  °C −1 ), T amb symbolizes the ambient temperature (°C), T STC signifies the temperature of the PV cell at STC, which is typically 25 °C.

Wind energy is a renewable and readily available resource that can be utilized to generate electricity. Electricity is generated by Wind Turbines (WTs) through the utilization of the kinetic energy of the wind 69 . The speed of the wind is the primary factor that governs the energy output of a WT. In order to obtain wind speed measurements at a specific hub height, it is necessary to convert the recorded wind speed at a different altitude. This is due to the fact that wind speed is not constant across different altitudes. The conversion process involves utilizing the power law equation of the wind profile, which is expressed in the following Eq. ( 2 ) 70 .

The equation presented involves the variables V h (t) and V ref (t), which respectively represent the wind speed (measured in m/s) at the hub height H h (measured in m) of a wind turbine and the reference wind speed (measured in m/s) at the anemometer height H ref (measured in m). The symbol α indicates the friction coefficient, which is also known as the Hellmann exponent wind gradient, or power-law exponent. The variable \(\alpha\) is subject to various parameters like as wind speed, temperature, the curvature of the terrain, and altitude above the earth's surface. The standard value of \(\alpha\) is 1/7 for the areas with moderate roughness and good exposure 71 . The value of \(\alpha\) can be calculated using the following Eq. ( 3 ) 72 .

The output power P WTG (kW/m 2 ) from Wind Turbine Generators (WTGs) for a given wind speed V h (m/s) can be determined by using Eq. ( 4 ) 73 .

where P WTG_R is the rated power of WTG, and V h denotes the wind speed measured at the hub height of a WT. V R (m/s), V CI , and V CO symbolizes the rated wind speed, cut-in wind speed, and cut-out wind speed of the WT respectively.

Diesel generator

DGs have been identified as a dependable and cost-effective solution for mitigating energy storage requirements, particularly in rural industries as well as remote regions. DGs consist of compression ignition engines and an alternator that employs non-renewable resources specifically oil to generate electrical power. The utilization of the DG may vary depending on the system, as it can serve as either the primary or supplementary source. DG also serves as a backup source of energy in case of battery depletion during a period of high demand 74 . The quantity of fuel necessary for electricity production is dependent upon variables such as the generator's fuel heat rate efficiency as well as the fuel's heat content. The efficiency of the generator is a function of the load present during operation.

When developing a hybrid system, it is important to take into account the diesel generator's efficiency and fuel consumption per hour. The assessment of fuel consumption in a DG is based on the size of the DG (generator's power output) and the magnitude of the load it encounters. The majority of DGs function lies within the range of 80% to 100% of their designated power output. The fuel consumption (F DG (litre/kWh)) of a DG is computed by utilizing Eq. ( 5 ) 75 .

where \(P_{gen}\) denotes operational or generated power output at time t and P R represents DG power rating of DG in kW respectively. The gradient and intercept coefficient of the fuel curve are both expressed in terms of litre/kWh and denoted by \(\alpha_{1}\) and \(\,\alpha_{2} {\kern 1pt}\) . The values of \(\alpha_{1}\) and \(\,\alpha_{2} {\kern 1pt}\) have been determined to be 0.246 and 0.0842 respectively for the DG that is used in the design 76 .

DC/AC and AC/DC power converters are essential for systems that utilize both alternating current (AC) and direct current (DC) elements. The solar PV panels and BES, deliver a DC output, however the load being considered demands an AC. The choice of the converter size is determined by the greatest demand for load (P PLD ). The equation for determining the inverter rating (P inv ) is as follows 77 :

where η inv represents the efficiency of the inverter.

Battery energy storage system

Batteries serve the purpose of storing electrical energy for utilization during instances of power surges and the unavailability of alternative resources. Battery Energy Storage System (BESS) is commonly employed as a means of backup for hybrid stand-alone energy systems with the aim of enhancing their availability and facilitating load leveling for temporary fluctuations. Lead-acid batteries are frequently utilized as a viable alternative for HRESs due to their cost-effectiveness, low Depth of Discharge (DOD), elevated safety standards, recyclability, and rechargeable nature 78 . The capacity of the battery bank is dependent upon two factors such as the need for the electrical load and the projected duration of time at which the BESS is anticipated to provide power to the load. The BESS is expected to provide power to the load only when the RES output is inadequate to satisfy the energy demand. This duration of time is commonly referred to as the Days of Autonomy (DOA). The system's battery capacity C Bat in kW is determined based on the required demand and desired number of DOA, as specified by the following Eq. ( 7 ) 79 .

where \(P_{L}\) denotes the load demand (in kilowatts) that needs to be fulfilled by the BESS. \(D_{a}\) represents the number of autonomy days, which is typically within the range of 3–5 days. DOD signifies the depth of discharge, which is set at 80%. Furthermore, \(\eta_{inv}\) and \(\eta_{Bat} \,\) corresponds to the inverter and battery efficiencies, which are 95% and 85%, respectively.

The process of charging as well as draining of a Battery Storage System (BSS) which primarily uses lead acid batteries occurs in a sequential manner. Consequently, the present state of charge of P BES (t) is reliant upon the prior state of charge of P BES (t−1). During the charging period, the updated state of BSS energy may be determined using Eq. ( 8 ) 80 .

where the symbol δ represents the self-discharge rate, η inv represents the inverter efficiency, and η BES represents the charge efficiency of the battery. When the output power of a RES is insufficient to meet the load demand, the BSS switches into a discharge mode. The updated status of BSS energy for the discharge phase can be determined by ( 9 ) 81 .

The approach implemented in this study can be used to create a compact independent PV-wind-battery-DG hybrid system which is shown in Fig.  3 . This compact design is assumed to fulfill the energy needs of a small community located in a village and can serve as a potential case study location. The selected case study location for this research is Alleri village, situated in close proximity to Vellore city in the Tamil Nadu region of India. The geographical coordinates of the village are around 12.8095 latitude and 78.9913 longitudes. The solar irradiation, temperature, and wind speed data for the site location were collected from the database of NASA Power Data Access viewer website database for the year 2021. The average value of solar irradiation and temperature during the said period are 5.17 (kW-h/m 2 /day) and 24.76 °C respectively. Also, the wind speed range is 5.06 m/s. Figure  4 depicts the hourly solar radiation, temperature, and Clearness Index data of the selected location and this is one of the data sets which is used to model the proposed HRES in this work. The main reason behind selecting the data set is that it has large variance over the period and it is useful to achieve realistic HRES design. This data is obtained from the NASA Power Data Access Viewer website 105 . The hourly wind speed statistic for the selected case study location is shown in Fig.  5 .

Solar energy data.

Wind Energy data.

Load profile

The load experienced by individuals is influenced by a variety of factors, including geographical conditions, economic circumstances, standard of living, as well as climatic conditions. In the context of usual household consumers, it is common for various electrical appliances to be utilized. These appliances include water pumps, electric irons, ceiling fans, LED lights, pedestal fans, televisions, refrigerators, etc. When assessing the energy consumption of these appliances, it is important to consider the average daily running hours for each appliance, as this provides a more accurate representation of their usage patterns within a household. The analysis of the load profile reveals that the load exhibits continuous variations over the course of the day. To enhance the authenticity or realistic nature of community load, a randomization factor of 10% can be added to the maximum value. The calculation of the total hourly as well as yearly load in kilowatt-hours (kWh) is dependent on the number of residential or domestic devices utilized along with their respective ratings. This calculation is performed using Eq. ( 10 ) 82 .

where \(E_{demand}\) denotes the energy or electricity demand (kWh), \(n_{user}\) represents the number of loads or equipment and T refers to the time of use. The examination of the load profile of a given area is of greatest significance when it comes to the development of a dependable and effective system customized to that specific region. The determination of battery size and modeling is dependent upon the load profile. Additionally, it is important to note that the reliability of the system is influenced by peak times and consumer behavior. These factors also play a significant role in determining the appropriate sizing of system components and the COE.

The appropriate sizing of the HRES is mostly dependent upon the load requirements, and it signifies the energy consumption over one year. The data related to the electrical consumption of households of the selected case study on an hourly basis over a period of a year is obtained from the HOMER software. Figure  6 shows the daily load profile of the entire village. Figure  7 presents the annual hourly load curve. The daily rate of change in load is taken as 10%, whereas the hourly rate of change in load is considered as 20%.

Daily load profile of the entire village.

Yearly load profile of the entire village.

Methodology

Power management strategies.

The integration of the Power Management Strategy (PMS) is a crucial aspect of hybrid energy systems. Its primary function is to ensure that a balance is maintained between the power generated by RES and the power required to meet the load demand. This is particularly important in situations where weather conditions are variable and there is a high degree of uncertainty associated with RES. As a result of the restricted amount of power that may be generated by renewable sources, the capacity of the DGs cannot rapidly be raised to satisfy the growing demand. In cases at which the power generated surpasses the demand, it becomes necessary to utilize a dump load which is also known as a diversion load or dummy load to dissipate the surplus energy and protect the storage devices like battery banks from overcharging. The term "dump loads" is most commonly used to refer to deferrable loads, such as electric water heaters and hot air heaters used in residential environments, water pumps, and power resistances. Thus, it is essential to incorporate PMS in the design of such systems. In order to apply an EMS, it is necessary to conduct simulations that take into account the following conditions or approaches.

State I: Battery charging approach: In case, at which overall energy output from RES surpasses the load demand within a specific time frame and the State of Charge (SOC) of the battery has not yet reached its maximum predefined capacity, the battery energy storage system is utilized to consume the excess energy for battery charging. Alternatively, if the aforementioned conditions are not met, approach 2 is initiated.

State II: Energy dumping approach: Analogous to the first approach, in cases at which the overall energy output of RESs exceeds the instantaneous load requirement and the SOC of the battery bank is at its maximum. Thus, in this scenario, the excess power is utilized in dump loads. The implementation of this particular strategy serves to mitigate the risk of battery bank damage resulting from overcharging.

State III: Battery discharging approach: RESs are unable to meet the load demand due to insufficient energy production. In this scenario, the foremost concern is to utilize the energy stored in the battery banks, instead of relying on the functioning of the DG. In this instance, the deficit in the production of electrical energy is compensated for using a battery.

State IV: DG supply approach: In the case that the energy produced by the combined RESs and the energy that has been accumulated in the battery fails to satisfy the energy requirements, the DG is activated in order to compensate for the energy deficit or to provide power to the load and to facilitate the recharging of the battery banks. The proposed dispatch strategies are represented in a simplified flowchart, as shown in Fig.  8 .

Flowchart of power management system of HRES.

Formulation of optimization problems

In order to develop a cost-effective and optimal performance of HRES, it is essential to prioritize the sizing of the various system components. The primary determinants are the ideal sizing of PV systems, WTGs, BESS, and DGs. The utilization of various generation sources along with the incorporation of superior quality components significantly impacts the lifespan of the system, leading to reduced electricity costs for end-users residing in remote regions. The subsequent sub-sections provide details pertaining to the objective function and constraints of the system.

Objective function

The lifespan of a system can be significantly impacted by the integration of RESs and the utilization of components of superior quality. This in turn can lead to a reduction in the COE for end-users residing in remote regions.

Economic or cost assessment

Conducting an economic analysis is a significant consideration for any executing agency before the establishment of a renewable energy project. Prior to initiating a project, it is essential to conduct a comprehensive evaluation of its viability across various aspects including its economic feasibility. The economic feasibility of an HRES can be assessed through the evaluation of three parameters namely ASC, NPC, and COE.

The Annualized System Cost (ASC) concept is used for economic evaluation. The solution with the lowest ASC is regarded as the most optimal provided it meets all other requirements and characteristics. The ASC can be described by the following Eq. ( 11 ) 70 .

C PV is the cost of a solar PV panel per kilowatt, C WT is the cost of a wind turbine per kilowatt, C BES is the cost of a battery per unit, and C INV is the cost of an inverter per kilowatt. C INV represents the cost of the inverter, whereas P INV indicates the rating of the inverter. Each component's cost includes capital, replacement, operation and maintenance, fuel, and salvage expenses.

Furthermore, this research aims to decrease the total Net Present Cost (NPC) of the proposed HES in order to minimize the COE while maintaining optimal energy flow. The total NPC is a component that plays a significant role in the development of energy, and COE is the metric that is used for examining hybrid systems. The Total Net Present Cost (NPC) is a financial measure that can be employed to evaluate the economic feasibility of an investment project. The total net present cost (TNPC) can be determined based on the assessment of HRES 71 . The cumulative discounted cash flows throughout the year of the project's lifecycle are added together to determine the total NPC 79 . The total NPC may be determined using Eq. ( 12 ) 77 .

As pointed out earlier, the primary aim of this optimization problem is to minimize the COE by identifying the most cost-effective optimal size of the HRES component that can efficiently fulfill the energy demands. The present study incorporates the cost associated with the operation of HES, which involves the costs of PV array, WT, inverter, and DG. It is referred to as the cost per unit of electric power or the constant price per unit of energy. It is determined by employing the following Eq. ( 13 ) 83 .

where the variable P load is utilized to indicate the hourly consumption of electricity or the aggregate load that has been served. The calculation of the NPC involves determining the present value of the total capital investment as well as operational costs incurred over the entire lifespan of the project. The parameter CRF is an abbreviation that stands for Capital Recovery Factor, which is a ratio employed to measure various components in relation to the current interest rate during a specific period which is given in Eq. ( 14 ) 33 .

where the variables \(\gamma\) and τ represent the actual or real discount rate and the number of years. \(\gamma ^{\prime}\) represents the nominal interest rate and \(f\) denotes the annual inflation rate respectively.

Reliability assessment

The assessment of system reliability is of greatest significance as unpredictable weather can significantly affect the performance of power generation equipment. An effective power supply system necessitates minimal or ideally zero loss of load. The Loss of Power Supply Probability (LPSP) is a statistical metric that determines the possibility of power supply failure. This failure can be attributed to either insufficient renewable resources or technical issues that prevent meeting the demand for power. LPSP serves as an indicator of the reliability of the hybrid systems in fulfilling the power demand. It can be defined as follows 84 .

where \(t_{f}\) represents the final time or operating period which is typically 8760 h for one year, P Load indicates total or overall electric energy demand and DPS is the deficiency of power supply. Chronological simulation and probabilistic approaches are the two ways to compute LPSP. The first method makes utilization of time-series data over a certain period, while the second relies on the energy accumulative impact of an energy storage device. LPSP has values ranging from 0 to 1. When the power generated equals the load demand, the load is fully supplied by the generated power and the LPSP value is 0. The LPSP value of 1 indicates that the load is fully unsatisfied i.e. load demand is not met by the generated power.

System constraints

This study introduces the concept of the Renewable Factor (RF) as a means of evaluating and comparing the energy output derived from renewable sources with respect to the energy produced by DGs. Similarly PV fraction, WT fraction also measures the respective energy output aganist energy produced by DGs. The ideal system is one that only uses renewable resources which is demonstrated by the variable RF and in this case the value is 100%. Although, the RF = 0% demonstrates that the energy produced by a DG is equal to the energy produced by renewable resources. RF, PV fraction (PVF) as well as WT fraction (WTF) are determined by employing Eqs. ( 17 ), ( 18 ) and ( 19 ) 85 .

where, \(N_{PV}^{\max }\) , \(N_{PV}^{\min }\) , \(N_{WTG}^{\min }\) , \(N_{WTG}^{\max }\) are the number of maximum and minimum of PV and WTG respectively.

Social parameter assessment

The Human Development Index (HDI y,z ) is commonly utilized as a statistical tool for assessing a country's overall growth in its economic as well as social indicators. The HDI is determined by combining the values of the elements "y" along with the control approach "z" using a specific Eq. ( 22 ) 86 . The HDI is a numerical metric used to assess the level of continuous advancement in a country or region. It relates to the overall well-being of persons which includes the services, physical infrastructure, and resources available to them. This research incorporates the HDI into the objective function to provide a design solution that considers the well-being of society. Excess or wasted energy may improve the overall quality of life in society. The HDI is calculated in the following manner 87 .

where F max_DP represents the percentage of the greatest energy that is dissipated. F max_load is the limiting factor for the extra load that the available power can handle, while ℇ pop indicates the number of persons benefiting from the hybrid system.

Proposed optimization technique

The optimization of hybrid systems through the implementation of an EMS can be classified into four main categories. These categories include load supply optimization, which is a simple optimization method dependent on load as well as power. Technical optimization is another category that aims to improve the operation and durability of the hybrid system. Economic optimization on the other hand focuses on reducing maintenance costs through an optimization algorithm based on cost reduction function. Lastly, techno-economic optimization is a more complex category that employs an optimization algorithm depending on the objective function. As already said, this research employs a 3E analysis to evaluate the energy, ecological, and economic aspects with social, and technical factors assessment of HRES. To address these issues, intelligent methods like MH algorithms are the best way to find a solution. Figure  9 illustrates the problem-solving methodology adopted in this work using the mHHO optimization technique. The flow chart (Fig.  9 ) depicts the usage of real-time input datasets to evaluate objective functions, namely technical, economic, environmental, and social factors. The primary purpose is to achieve output segments that include the least COE, NPC, and ASC, minimum LPSP, and maximum reliability of the system while maximizing the HDI.

Process or Flow diagram of HRES optimization problem.

Harris Hawk optimization algorithm (HHO)

The HHO algorithm takes inspiration from the hunting as well as capturing strategies used by hawks. The objective of this method is to initiate an assault on a target, often a rabbit, by the coordinated efforts of many hawks approaching from various angles, with the intention of catching the prey unaware and unprepared. The typical HHO method may be subdivided into two fundamental stages, namely exploration and exploitation. The exploitation stage consists of two distinct stages, namely the hard passage and the soft passage 50 .

Exploration

Exploration is often regarded as a global search mechanism within the context of optimization algorithms. During this stage, the algorithm systematically investigates the search space in order to identify and evaluate potential solutions that exhibit desirable qualities. In the context of HHO, the Harris hawks exhibit a behavior of perching in different places without a specific pattern, using two distinct approaches to identify potential prey or rabbit. Consider that q is a probability for both the exploration in randomly placed tall trees as well as the exploration based on the location of the rabbit and other hawks as indicated in the following Eq. ( 23 ) 88 .

where t represents the number of iterations. \(X(t)\) denotes the current location of the Hawk, while \(X(t + 1)\) representing the position of the Hawk in the subsequent iteration. Additionally, \(X_{prey}\) signifies the current position of the rabbit. The variable \(X_{rand} (t)\) represents a stochastic location for the hawk. The variable \(X_{m} (t)\) represents the average location of the hawk's current location, which is determined using Eq. ( 24 ). The lower and upper limits of variables are denoted as LB and UB. The factors \(r_{1}\) , \(r_{2}\) , \(r_{3}\) , \(r_{4}\) and q are assigned random values. The haw's position is given by the following equation

where \(X_{i} (t)\) specifies each hawk's position in iteration t, and N stands for the overall number of hawks. The transition from exploration to exploitation is dependent upon the escaping energy of prey. In order to represent the process of transitioning from exploration to exploitation, the energy level of prey is conceptualized and represented in a mathematical model as follows.

where E represents the prey's escaping energy, E 1 denotes the linearly decreasing factor with a range between 2 to 0, T denotes the maximum number of iterations, and E 0 signifies the beginning state of the prey's energy. Exploration occurs when \(\left| E \right| \ge 1\) but exploitation takes place in subsequent stages when \(\left| E \right| < 1\) .

Exploitation

Exploitation is often seen as a localized search in comparison to the exploration stage. The algorithm attempts to minimize big jumps inside the search space while simultaneously refining the outcome during this particular phase. There are four internal phases to the exploitation phase, which are based on the level of escaping energy (E) and the probability (r) associated with the successful escape of the prey (r).

Soft besiege

During this particular stage, when \(\left| E \right| \ge 0.5\) and \(r \ge 0.5\) the prey has sufficient energy and attempts to escape by unpredictable and deceptive movements. However, ultimately it is unable to successfully escape. During these efforts, the Harris' hawks perform a strategic movement of circling the rabbit softly in a gradual manner, aiming at causing exhaustion before executing an unexpected attack. This behavior is represented by using the following Eq. ( 27 ).

where \(\Delta X(t)\) represents the difference among the position vector of the prey and its current position at iteration t. Additionally, \(r_{5}\) denotes a randomly generated value that falls within the interval (0,1). The variable J denotes the random jumps made by the prey all over the process of escape.

Hard besiege

During this particular stage, the prey's energy is reduced to a point where it is unable to escape, denoted by \(\left| E \right| < 0.5,\,\,r > 0.5\) . Consequently, the hawk employs a strategy including hard circles in order to capture the prey, as shown in Eq. ( 30 ).

Soft besiege with progressive rapid dives

The prey has sufficient energy to effectively escape when \(\left| E \right| \ge 0.5\) but \(r < 0.5\) , and a mild besiege is still built before the surprise attack. In comparison to the prior situation, this technique is more sensible. Observing hawk behaviors, it is hypothesized that they may choose the optimal dive to grab prey in competitive scenarios. Thus, to softly besiege, it is assumed that the hawks could assess (decide) their next step using the following Eq. ( 31 )

However, as a result of the deceptive and unpredictable movement pattern shown by the prey, the Hawk adjusts its present location to position (Z) by following Eq. ( 32 ).

where D denotes the dimension of the problem, the random vector is represented as S with dimensions \((1 \times D)\) , and the levy flight function is denoted as LF as stated by the following Eq. ( 33 ).

where u and v represent random variables that are uniformly distributed between 0 and 1. The constant β is assigned a default value of 1.5. Therefore, the ultimate approach of updating the locations of hawks during the soft besiege phase may be executed using the following Eq. ( 35 ).

Hard besiege with progressive rapid dives

During this phase, the prey may have a limited chance of escape due to a significant fall in its energy, denoted as \(\left| E \right| < 0.5\) , and r < 0.5. Consequently, an effective besiege is established prior to executing a sudden attack in order to capture as well as kill the prey. The hawk reduces the circle of its hunting area and adjusts its locations by (35). The locations denoted as (Z) and (Y) are defined by using Eqs. ( 32 ) and ( 36 ), respectively.

With respect to the described methodology above, there exist several factors that require optimization in order to enhance performance. In the modified method which is described in the next section, the escaping energy of the prey is optimized with 9 different operators which are called as inertial weights. The detailed description of energy change with respect to nine different operators is described below.

Modified Harris Hawk optimization algorithm (mHHO)

The present work introduces a new approach, namely the Modified Harris Hawk Optimization Algorithm (mHHO), to address the sizing as well as the techno-economic assessment of HRES. The mHHO algorithm is capable of transitioning from a phase of exploration to an exploitation phase, and thereafter adapting its exploitative behaviors dependent on the energy level of the prey's attempts to escape or the prey's escaping energy. In the context of the HHO algorithm, the concept of energy is often linked to the fitness or objective function which undergoes optimization. The search process may experience a decreasing exploration–exploitation balance as the energy component decreases. According to Gauri Sahoo et al. 89 , the transition from the exploration to the exploitation phase is in the context of the prey's escape energy value inside the HHO algorithm. Excessive exploration of the search region might bring a degree of unpredictability or randomness and could lead to being stuck in local minima. In addition, excessive exploitation may lead to reduced levels of unpredictability and could prevent the achievement of optimal outcomes. Hence, an appropriate balance needs to be conserved between the exploration and exploitation phases during the search process 50 . In order to achieve the balance in the current work, various operators are being primarily used for updating the position. In order to symbolize the decreasing energy factor in the HHO system and to optimize the escaping energy one can make use of these operators to generate mHHO algorithms. In this work, the HHO algorithm is modified using 9 different operators as shown in Table 2 . The mathematical model or the formula of the operators is provided to further know its behaviors in optimizing the escaping energy. Incorporating the formulae given for various operators in Table 2 on Eq. ( 24 ), the new escaping energy of the prey can be evaluated. Once the expected energy change is obtained using the respective operators, the performance of the algorithm is evaluated effectively.

When incorporating these different operators on HHO, the transition from exploration to exploitation phase in the HHO algorithm is achieved. This further helps to achieve optimal solutions. The optimal solution and functioning of the modified HHO (mHHO) using these 9 different operators are tested on 10 different problems proposed by CEC 2019 to demonstrate or show its effectiveness. Moreover, from the implementation of the 9 operators on CEC 2019, one can select the best operators for sizing and techno-economic analysis of HRES.

Results and discussion

This section presents a detailed examination of the efficacy of the proposed mHHO algorithm and the performance assessment of the HRES system employing mHHO and other MH algorithms. This section is divided into two parts. The first subsection focuses on the proposed Modified Harris Hawks Optimization (mHHO) algorithms. It performs a comparative study among nine different versions of the algorithm using CEC 2019 benchmark functions. This analysis helps identify the optimal mHHO version. Subsequently, this optimal mHHO is compared against various other MH algorithms. The second subsection then evaluates the effectiveness and robustness of the chosen mHHO algorithm. Here, the algorithm is applied to a Hybrid Renewable Energy System (HRES) optimization problem and its performance is compared with other MH algorithms such as Chinese Pangolin Optimizer (CPO) 99 , Arithmetic Optimization Algorithm (AOA) 100 , Exponential distribution optimizer (EDO) 101 , Liver Cancer Algorithm (LCA) 102 , Novel Bat Algorithm (NBA) 103 , and HHO 50 . The parameter settings for every approach are obtained from the standard sources and are shown in Table 3 for ease of analysis and reference. All the simulations are performed by using MATLAB: 2021a on VivoBook_Asus having an Intel core i5 processor (Intel(R) Core(TM) i5-1035G1), 8 GB RAM, and Windows 11 ultimate operating system.

mHHO performance analysis

In order to evaluate the effectiveness of the proposed algorithm, the mHHO has been implemented on a total of 9 distinct benchmark test functions 104 . To substantiate the performance, the statistical tests namely Friedman's rank test (f-rank test) and convergence profiles, are used to demonstrate the improved performance of the proposed algorithm. It is important to note that the calculations have been derived from a total of 51 runs, ensuring a robust and reliable assessment of the algorithms' characteristics . For fare comparison, maximum iteration and population size of all these algorithms are set to 500 and 50 respectively. The f-rank test includes assigning a distinct rank to each algorithm being compared based on its performance. The results of the f-rank for each benchmark function are presented in Table 4 for each function separately. The overall total f-rank has been determined by considering the performance across all test functions and is also shown in Table 4 . Also, all mHHO are compared in terms of mean and standard deviation values.

After observing the results in Table 4 , the performance of HHO_NatExpo is superior on all benchmark functions, since it achieved the highest overall ranking among all the tested algorithms. According to the results presented in Table 4 , HHO-LogDec produces superior performance compared to other cases when applied to functions F1, F4, as well as F9. For function F3, HHO-Oscilla inertia weight shows better results as compared with the other algorithms. HHO-SigDec shows superior results as compared to the other operators' results for the function F5. For functions F6 and F8, the HHO-Chaotic operator performs better as compared to others. In the context of function F7, it has been observed that the utilization of HHO-LinDec produces superior performance in comparison to other approaches. HHO-ChaoRand outperforms competitors for functions F10. The results are also validated for each case using an f-rank statistical test.

From the overall f-rank value and average f-rank, it is evident that HHO-NatExpo is showing remarkable superiority over the other approaches and achieves the 1st rank followed by HHO-ChaoRand. In addition to the obtained simulation results, the convergence profiles of the mHHO algorithm using all operators are shown for a total of 500 iterations. The convergence characteristics for all benchmark functions (F1–F10) are also shown in Fig.  10 . Interestingly it has been observed that the convergence profile of the HHO-ChaoRand and HHO-NatExpo approach is superior on all benchmark functions compared to other modified algorithms. Additionally, Fig.  11 displays a box plot analysis to further prove the performance of the algorithms on the benchmark functions. Based on the analysis of box plots, it is clear that the mHHO algorithm utilizing the Natural Exponent Operator (HHO-NatExpo) exhibits a lower median value and also a smaller interquartile range.

Convergence profile of mHHO with each operator for all benchmark functions (F1–F10).

Box plots of mHHO with each operator for all benchmark functions (F1–F10).

Also, from Table 4 it is clearly observed that the HHO_NatExpo secured the First rank. This result necessitates the selection of the HHO_NatExpo algorithm for comparison with the other MH algorithms for further designing of HRES. The outcomes presented in Table 5 show that the HHO_NatExpo can outperform other algorithms for functions F1, F2, F3, F4, F8, F9, and F10. In the sixth function, the EWOA algorithm gives the best possible outcomes in terms of mean and standard deviation values. For functions F5 and F7, the PSO algorithm shows a superior result as compared to the other algorithms. As a result, the HHO_NatExpo algorithm is shown to be successful for seven out of a total of ten numerical test functions, while the EWOA algorithm is effective for one function, and the PSO algorithm is effective for three functions. Overall, it has been determined that the HHO_NatExpo algorithm is the most successful algorithm for the CEC 2019 benchmark function.

Statistical testing

Two non-parametric tests Wilcoxon's rank-sum (p-rank) and Friedman rank (f-rank) test are performed to confirm the superior performance of the HHO_NatExpo algorithm. For analyzing the outcomes, wins (w), losses (l), and ties (t) are the first step in calculating the p-rank. The algorithm that wins against the HHO_NatExpo is assigned with a “ + ” sign to show its superior performance. Similarly, if the algorithms show worse outcomes as compared to the HHO_NatExpo algorithm, then assigned with the “−” sign. Finally “ = ” sign is assigned when there is no statistical difference between the compared algorithms. The HHO_NatExpo algorithm outperforms other MH algorithms in most of the functions and one can observe easily the result in the W/L/T row in Table 5 . Additionally, the f-rank test assigns a distinct f-rank to every algorithm being evaluated and it is tabulated in the fourth row of every function in Table 5 . The average f-rank is calculated for each algorithm and it is found that the proposed HHO_NatExpo algorithm achieved the Ist rank followed by the PSO and SCA algorithms.

Results and discussion of HRES

The effectiveness and robustness of the proposed mHHO (HHO_NatExpo) algorithm on HRES is illustrated in this section since it is found to be optimal and the best one for designing reliable systems in comparison with other mHHO and MH algorithms. The simulation is performed with the population size set to 30 and the maximum iteration considered as 250. Furthermore, the technical and economic specifications for the simulation of HRES for components like Solar PV, Battery, DG, and others are presented in Table 6 . The project's duration is taken as 20 years, while the interest rate is fixed at 3.5%.

The MATLAB 2021a program is used to simulate the experimental data. The simulation time step and duration considered are 1 h and 1 year respectively. The maximum ratings for solar PV panels, WTs, and number of batteries have been set at 300, 300, and 170 respectively for the purpose of comparing results. The optimum results includes the maximum rating of solar PV panels, WTs, the total quantity of batteries, and the highest possible rating for the DG. The viable and optimum solution is evaluated based on ASC, NPC, and COE. Table 7 displays the entire set of optimized results achieved for the case study using the proposed mHHO along with other MH algorithms such as basic HHO, LCA, MPO, AOA, EDO, NBA, and SCA algorithms. The findings proved that the mHHO algorithm yielded the lowest NPC and ASC, resulting in the least COE. The mHHO algorithm estimates the setup of a 299 kW solar PV system, 299 kW wind turbines, 169 batteries, and a 94 kW DG with an Annual System Cost (ASC) of $ 1,16,090 resulting in a COE of 0.1413$/kWh. From Table 7 , it is observed that mHHO produces an 89% decrease in the value of COE against LCA, and also with basic HHO it offers 0.07%. Also, in comparison with other MH algorithms such as MPO, AOA, EDO, NBA, SCA, the proposed mHHO achieves around 0.49% decrease in the value of COE. This proved to be one of the most economical designs considering the ground realities present at the site location. The COE obtained using mHHO indicates that the proposed system can provide electricity to off-grid locations at a reasonable cost. Furthermore, Fig.  12 displays the monthly fluctuations in load demand along with the different components of power production of the HRES system over the course of a year. It can be seen from Fig.  12 that RES generates significant power during June and July making the period as one of the high-power production months. On the other hand, October is the least productive month in terms of power generation leading to increased utilization of battery power and DG.

Output Power of all components and load demand.

Table 8 displays a comprehensive annualized cost evaluation of the hybrid system. The annualized costs of the system are determined using Capital Recovery Factor (CRF). Table 8 provides a thorough analysis of the cost of individual components and the annualized cost for the most efficient hybrid system. Yearly expenses are calculated using the CRF. Figure  13 demonstrates a comparative comparison of the cost of different components of HRES using various techniques. The results in Table 8 and Fig.  13 illustrates a significant decrease in the cost of several components when using mHHO leading to a reduction in the total annualized cost.

Cost of different components of HRES system using various algorithm.

Figure  14 shows an overview of the convergence characteristics of all algorithms. From an enhanced view of Fig.  14 , it is observed that both the HHO and mHHO algorithm performs better compared to other MH algorithms but after the 165th iteration mHHO algorithm is giving better results than the basic HHO. Compared to the mHHO method, other algorithms required a longer time to simulate the proposed system. The ASC, cost of individual components, convergence curves, and sizing make the mHHO an imperative optimal algorithm for further HRES design.

Comparison of different algorithm’s convergence rate.

It is observed that the proposed approach meets the whole energy requirement using solely solar, wind, and batteries except a infinitesimal duration using DGs. Figure  15 illustrates the monthly average energy balance and usage during a period of one year. It should be highlighted that the amount of energy produced by solar and wind has matched or is equal to the available resources (solar and wind). In October, when wind turbines are producing less power, a DG is used to meet the electricity need. Moreover it is revealed that during a given month, DG will be in operation whenever the cummulative energy produced by solar, wind and battery fails to satisfy the load demand. Throughout the remaining months in a year, a significant quantity of wind energy is produced because of the greater accessibility of natural resources. Except summer season, the utilization of battery banks is increased which means the power extracted from batteries is greater. It can be also seen from Fig.  15 that only in 3 months (June, July, and August), where more excess energy is available compared to other months of the year. Notably, wind energy makes up a significant portion of the contribution. Table 9 provides a concise comparison of the energy generated by every element of the designs derived from HHO, mHHO, LCA, EDO, MPO, NBA, and SCA. The total extra energy for the whole year utilizing mHHO is 209,100 kWh/year as shown in Table 9 , which is lower than the results obtained using other techniques.

Assessment of monthly energy usage for the proposed case study.

To better comprehend the power exchange among all the different elements of the system in a better way, a total of 2 weeks have been chosen. One week is taken in February when the load is lower whereas the second week is in October when the demand is greater. DG is used at these hours to supply electrical power to the system. Figure  16 displays a power exchange during 1 week in October. During this week DG is used when there is insufficient power from solar, and wind sources and also the battery's SOC is at or below the minimum threshold of 20% as outlined in the PMS. One can easily observe from Fig.  16 that, out of 168 h, the DG work for only 7 h in a week using mHHO. This has translated to 96% working of renewable sources with batteries by reducing the CO 2 emissions to a bare minimum value.

Energy balance with SOC for the 3rd week of October.

Similarly, Fig.  17 illustrates the energy management during the last week of February. The data in Fig.  17 indicates that sufficient solar power and wind power are produced as a result of the abundant availability of both renewable sources. DG power is not required since the complete load requirement is satisfied only by batteries, solar, as well as wind energy sources. In addition to energy analysis, the total energy production and load characteristics for the complete year are displayed in Fig.  18 . From Fig.  18 , it is observed that the total output power (kW) surpasses the load (kW) showing that the total output power is enough to meet the load requirements.

Energy balance and SOC of battery for the 1st week of February.

Total energy output and load.

Battery SOC evaluation is a crucial concern in systems that use batteries for storage. Figure  19 a,b displays the fluctuations in the battery bank's SOC along with the input and output energy over the course of a year. The starting SOC and the lowest acceptable SOC are set at 100% and 20% respectively. Figure  19 a shows that the battery SOC consistently stays within a predetermined limit. To understand better, it is considered that on January 1st, at 0000 h, the initial SOC of the battery banks is 100%. One can observe clearly from Fig.  19 a that the SOC dropped to a minimum of 20% for only a short time during the whole year. Figure  19 a demonstrates that the battery SOC is generally optimal with some exceptions during periods of limited natural resources. For example, during the month of January and high load demand in October–November, the SOC drops from its maximum value to a certain limit. This corroborates the result of minimal DG operation which is reported also in Fig.  16 . If there is excess energy available above the charging rate and if SOC is also 100%, the excess energy may either be stored as a delayed load or dumped load. If the energy discharge exceeds the battery discharge rates, a DG will be used as the power generation source.

( a ) State of charge of battery (%). ( b ) Total energy input and output of the battery during the period of 1 year.

Table 10 presents a comparative assessment of technical, social factors, and environmental factors such as LPSP, HDI, RF, WTF, PVF, and CO 2 emissions using different MH algorithms for the proposed design. Based on the results, it is observed that mHHO outperforms other MH algorithms. Further, the comparative pictorial representation of these factors are displayed in Figs.  20 and 21 . The CO 2 emissions of the proposed HRES system have been reduced from 6165 kg/year using LCA to 322.7402 kg/year as reported by the mHHO method. The CO 2 reduction is 94% which is a remarkable reduction. Also, in comparison with the basic HHO algorithm, the mHHO shows better results with a 0.9476% reduction in CO 2 emission. The proposed mHHO also shows prominent results in HDI. It produces the HDI of 0.6550 which is almost advocated by WHO standards. From the above analysis and results, it is clearly proved that the mHHO is one the strong algorithm for implementation of HRES.

Comparison of different parameters.

Comparison of LPSP and HDI for different algorithms.

This work presented a new approach known as mHHO optimization algorithm for the 3E analysis of HRES. Primarily the paper is focussed on Energy assessment, Economic evolution (COE, NPC, and ASC), and Environmental analysis (PVF, WTF, RF, CO 2 emission). In addition, the technical and social factors such as LPSP and HDI for HRES (PV-Wind-Battery-DG) are also evaluated. To obtain a practical HRES, mHHO optimization algorithm is utilized to achieve the optimal system design and to determine the appropriate sizes of HRES components. The proposed mHHO algorithm is modified using 9 different operators and tested on CEC 2019 benchmark test functions. The comparative analysis is carried out based on statistical tests such as the f-rank test with convergence and box plot studies. Then, the algorithm that has yielded a higher rank i.e. mHHO (HHO-NatExpo) which has good performance and a good convergence profile compared to others is selected for the HRES problem solving in the chosen case study location. The proposed mHHO algorithm demonstrated superior performance by achieving the lowest COE of 0.14130$/kWh, ASC of 116,090$/year, and NPC of 1,649,900$. Furthermore, mHHO has exceptional efficacy in reducing the environmental pollutant CO 2 emission of which is accounted to a mere 322.7402 kg/year while maintaining HDI at the prescribed level. From an optimization perspective, it has been demonstrated that the mHHO algorithm has superior outcomes in 3E assessments compared to basic HHO and other MH-algorithms (LCA, MPO, AOA, EDO, NBA, and SCA algorithm). The results of the simulation indicated that using renewable resource might potentially serve as high reliability for optimizing hybrid energy systems. The incorporation of RES into the hybrid system has been seen to provide the advantage of meeting the entire energy demand by reaching 100% fulfillment in the near future. On the other hand, one of the crucial problems to address is the examination of the mHHO algorithm's behavior throughout the exploration and exploitation phases. Due to the algorithm's stochastic nature, there is a significant probability that it can diverge from the global optimal point and get stuck in local optima thereby reducing its reliability for different optimization challenges. In addition to said limitations, further the incorporation of adaptive parameters does not consistently provide a well-balanced functioning and may sometimes lead to premature convergence.

Based on the findings and implementation challenges, the following recommendations are suggested for future work enhancement and development. A laboratory-scale experimental setup can be developed to facilitate deeper research into the performance of HRES in harsh environments. The simulation model may also be created to understand the HES's power flow regulation process. Consequently, this work helps to raise potential awareness about the installation of RESs in different parts of the rural areas intending to facilitate an economically sustainable energy supply.

Data availability

The datasets used and/or analysed during the current study available from the corresponding author on reasonable request.

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Tips for writing a case report for the novice author

A case report is a description of important scientific observations that are missed or undetectable in clinical trials. This includes a rare or unusual clinical condition, a previously unreported or unrecognized disease, unusual side effects to therapy or response to treatment, and unique use of imaging modalities or diagnostic tests to assist diagnosis of a disease. Generally, a case report should be short and focussed, with its main components being the abstract, introduction, case description, and discussion. This article discusses the essential components of a case report, with the aim of providing guidelines and tips to novice authors to improve their writing skills.

Introduction

For many doctors and other healthcare professionals, writing a case report represents the first effort at getting articles published in medical journals and it is considered a useful exercise in learning how to write scientifically due to similarity of the basic methodology. 1 Case reports aim to convey a clinical message. 2 , 3 Despite different types of case reports, they all aim to enhance the reader's knowledge on the clinical manifestations, the diagnostic approach (with a focus on imaging modalities for case reports published in medical imaging/radiology journals), or the therapeutic alternatives of a disease. 2 – 4 Thus, a case report worthy of reading should contain both useful practical messages and educational purpose. 2 – 5

Although case reports are regarded by some as the lowest (some even do not list the case reports at all) in the hierarchy of evidence in the medical literature, publishing case reports allow for anecdotal sharing of individual experiences, providing essential sources of information for the optimum care of patients. In the hierarchy of evidence-based medicine, randomized controlled trials are placed at the top, superseded by systematic reviews and meta-analyses, followed by prospective experimental trials, then observational studies, case–control studies, and case series at the bottom. 1 , 6 – 8 Most authors are now aware of the impact factor of journals to which they submit their studies. Case reports are infrequently cited, and therefore, publishing case reports is likely to decrease the journal's impact factor. 9 This has led many editors to remove case report sections from their journals. 10

On the other hand, it has been pointed out by others that case reports that are carefully prepared and interpreted with appropriate caution play a valuable role in both the advancement of medical knowledge and the pursuit of education. 11 – 16 Vandenbroucke 17 listed five roles of potential contribution to defend the publication of case reports:

• Recognition and description of a new disease
• Recognition of rare manifestations of a known disease
• Elucidation of the mechanisms of a disease
• Detection of adverse or beneficial side effects of drugs (and other treatments)
• Medical education and audit

Two main roles are recognized for case reports published in medical imaging and radiology journals: as sources of new knowledge and as important means for education and learning. The case report as a source of new knowledge refers to visualization of a new manifestation or finding, or clearer demonstration of a known feature of a disease, using a new imaging technology or an imaging method. 18 , 19 Figure 1 is an example showing 3D virtual endoscopy and the unique intraluminal views of the coronary lumen provided by this new visualization tool. 18 The case report as a means for teaching and learning can be manifested as publication of characteristic and instructive cases for educational features. An example is that British Journal of Radiology (BJR) used to publish six to seven case reports in its monthly issue; however, it has changed the format to publishing “Case of the Month” since May 2012. Educational value instead of extreme rarity is the main virtue of a case report worthy of publication. 2 , 3

Multiplanar reformatted image showing the left coronary artery with coronary stent implanted (arrows) at the ostium of left main stem (A). Virtual endoscopy views of the proximal segment of left coronary artery (B), left anterior descending (C), and left circumflex (D). The internal wall of these coronary branches looks smooth on virtual endoscopy images with no sign of intraluminal irregularity. (Reprint with permission from Reference. 18 )

Writing a case report can be educational for the author as well as for potential readers. 13 Whether in the context of reporting something potentially new or presenting an instructive example of something well known, the author's first and most important task is to search and read extensively on the topic. 20 This article aims to provide guidance on the novice author for writing case reports. Although it is recognized that these guidelines and tips for writing case reports are insufficient for making a successful author, they do help inexperienced authors to exercise and develop basic skills needed in medical writing.

The structure of the case report

Case reports are shorter than most other types of articles. Case reports should encompass the following five sections: an abstract, an introduction with a literature review, a description of the case report, a discussion that includes a detailed explanation of the literature review, and a brief summary of the case and a conclusion. 21 , 22 Tables, figures, graphs, and illustrations comprise the supplementary parts and will enhance the case report's flow and clarity. Unlike original articles, case reports do not follow the usual IMRAD (introduction, methods, results, and discussion) format of manuscript organization. As the format for case reports varies greatly among different journals, it is important for authors to read carefully and follow the target journal's instructions to authors.

The title is the first component of a case report that will be read by readers. Therefore, it should be concise, informative, and relevant to the subject. The ideal title should attract the reader's attention and state the focus on a particular issue, without being too cumbersome or artificial. 23 Redundant words such as “case reports” or “review of the literature” should be omitted, and ostentatious words such as “unique case” or “first report of” should be avoided. 1 , 5 Table 1 lists the titles of case reports that were published in BJR ( British Journal of Radiology ) and JMIRO ( Journal of Medical Imaging and Radiation Oncology ) between 2012 and 2013.

A list of case reports published in BJR and JMIRO between 2012 and 2013

IVC, inferior vena cava; CPD, continuing professional development.

The abstract

Like other types of articles, it is necessary to include a short summary that gives an overall idea about the content of the case report. The abstract is usually quite brief and generally shorter than that for other types of articles, and it typically has a word limit of 100 words or less. The abstract should be unstructured, pose the clinical question or diagnostic problem, and provide essential information which allows for easier retrieval from electronic database and helps researchers determine their levels of interest in the case report. 5

The introduction

The introduction should be concise and immediately attract the attention and interest of the reader. The introduction should provide background information on why the case is worth reading and publishing, and provides an explanation of the focus of the case report, for example: “We present/report a case of ….” Merit of the case report needs to be explained in light of the previous literature, thus, a focussed comprehensive literature review is required to corroborate the author's claim in this section. The author should bear in mind that a more detailed literature review belongs to the discussion, although critical evaluation of the literature is still required. 5 For some journals, such as BJR (case of the month), there is no Introduction section and the body of the case reports starts immediately with a description of the case.

The case description/summary

The case description or summary is the focus of the case report. The case is best presented in chronological order and in enough detail for the reader to establish his or her own conclusions about the case's validity. 5 , 21 The current medical condition and medical history, including relevant family history, should be clearly described in chronological order, typically comprising clinical history, physical examination findings, investigative results, including imaging and laboratory results, differential diagnosis, management, follow-up, and final diagnosis. 1 , 24 The following paragraph is an example of describing the patient's history:

A 34-year-old female was admitted to the outpatient department due to an increasing lump on the right thigh, which she stated as having been present for 5 years. A painful feeling sometimes occurred in the right upper leg. There was no complaint of lower limb weakness, no history of trauma and the patient was otherwise in good health. On physical examination, a deep seated round mass was detected and located on the right thigh with a size of 25 × 25 × 15 cm, showing hard consistency and non-mobile features ( Fig. 2 A). 25 Open in a separate window Figure 2 (A) Photograph showing a huge lump in the anterior part of the right thigh. (B) Radiographs revealed a bulged soft tissue mass in anterior compartment of right lower thigh showing predominantly radiolucent density with multiple chondroid matrix of calcification. Bone structure is still intact. (Reprint with permission from Reference. 25 )

All important negative findings should also be provided. The author's own interpretation or inferences should be avoided in the body of a case report. Tables/figures should be used to reveal chronological findings or to compare observations using different methods. The following paragraph is another example on the detailed description of using different methods both imaging and diagnostic:

Radiographs showed a bulge soft tissue mass in the right lower thigh having predominantly radiolucent density with multiple chondroid matrix of calcification ( Fig. 2 B), but the bone cortex is still intact. An MRI was obtained to further define the extent and nature of the lesion, confirming heterogeneous soft tissue mass in the anterior compartment of the muscle of the right lower thigh which mostly consisted of fat tissue, thick septation and some nodular non-adipose components. T2-weighted images through the tumour demonstrated high signal intensity comparable with the signal intensity of fat. Fat-suppressed T2-weighted images through the distal part of the tumour showed suppression of the signal through the central fatty components and lobular high signal intensity component at the peripheral rim. 25

In particular, figures need a brief but clear description. In the case of surgery and pathology specimens, the author is advised to provide a comprehensive summary of the surgical procedure and detailed pathologist's report. 5 , 25 The following paragraph is an excerpt from the case report published in the Australasian Medical Journal (AMJ):

The patient was admitted to the surgical ward with preparation for open surgery. The abdomen was opened through the site of the previous incision, and an abscess was observed and drained. A hole was detected in the peritoneal fascia. The anterior duodenum was oedematous and thickened with coverage of fibrin. A small perforated duodenal ulcer was seen. Graham patch procedure was performed to repair the perforated duodenal ulcer with two drains put in place and then the abdomen was closed. The patient was managed with intravenous fluids, as well as analgesics and antibiotics. 26

It is worth noting that patient confidentiality must be preserved. Patient demographics such as age and gender, and occasionally, race and occupation are referred to in the first sentence. In order to reduce the possibility of identifying the patient, the patient's initials, date of birth, and other identifiers such as hospital number must not be used.

The discussion

The discussion is the most important section of the case report. The discussion serves to summarize and interpret the key findings of the case report, to contrast the case report with what is already known in the literature and justify its uniqueness, to derive new knowledge and applicability to practice, and to draw clinically useful conclusions. 2 , 21 In comparing the new case with prior knowledge, the author should briefly summarize the published literature and show in what aspect the present case differs from those previously published, and thus deserves to be read and published. The discussion section of a case report is not designed to provide a comprehensive literature review and citation of all references; therefore, all the references cited should be critically evaluated.

Any limitations of the case should be stated and the significance of each limitation described. The value that the case adds to the current literature should be highlighted, so should the lessons that may be learnt from the case presented, especially if new recommendations for patient diagnosis (with use of an imaging modality) or management, could be put forward. 2 , 5 , 21 The following paragraph is an excerpt from a case report with regard to the concluding statement in the discussion:

This case report highlights the importance of using CT in making accurate diagnosis in patients with abdominal pain due to suspected GI tract perforation. In particular, appropriate selection of CT scanning protocol, such as with oral contrast administration is necessary to ensure timely diagnosis and improve patient management. 26

In the last paragraph, the author should provide the main conclusion of the case report based on the evidence reviewed in the discussion section. A concise statement of the lesson to be learnt from the case could be stated with justifiable evidence-based recommendations. This section should be concise and not exceed one paragraph. 14 , 21

The references

The references listed at the end of the case report should be carefully chosen by virtue of their relevance. References should provide additional information for readers interested in more detail than can be found in the case report, and they should support any specific points highlighted. 14 Some journals restrict the number of references to no more than 15 for a case report.

A case report will not have as much potential impact on the clinical practice of healthcare as randomized controlled trials or other research articles. However, case reports provide valuable sources of new and unusual information for clinicians to share their anecdotal experiences with individual cases, make others aware of unusual presentations or complications, and deliver the educational and teaching message. Well-written and appropriately structured case reports with meticulous attention to the very minute details will contribute to the medical literature and can still enrich our knowledge in today's evidence-based medical world. Table 2 provides the suggested checklist for reporting case reports. Guidelines and tips for writing case reports are not enough for becoming a successful author; however, they are considered helpful for inexperienced or novice authors to exercise and improve their skills needed in medical writing.

Checklist for writing case reports (based on advice in existing literature). 27

Conflict of Interest

None declared.