critical analysis case study

33 Critical Analysis Examples

Chris Drew (PhD)

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

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Critical analysis refers to the ability to examine something in detail in preparation to make an evaluation or judgment.

It will involve exploring underlying assumptions, theories, arguments, evidence, logic, biases, contextual factors, and so forth, that could help shed more light on the topic.

In essay writing, a critical analysis essay will involve using a range of analytical skills to explore a topic, such as:

• Evaluating sources
• Exploring strengths and weaknesses
• Exploring pros and cons
• Questioning and challenging ideas
• Comparing and contrasting ideas

If you’re writing an essay, you could also watch my guide on how to write a critical analysis essay below, and don’t forget to grab your worksheets and critical analysis essay plan to save yourself a ton of time:

Grab your Critical Analysis Worksheets and Essay Plan Here

Critical Analysis Examples

1. exploring strengths and weaknesses.

Perhaps the first and most straightforward method of critical analysis is to create a simple strengths-vs-weaknesses comparison.

Most things have both strengths and weaknesses – you could even do this for yourself! What are your strengths? Maybe you’re kind or good at sports or good with children. What are your weaknesses? Maybe you struggle with essay writing or concentration.

If you can analyze your own strengths and weaknesses, then you understand the concept. What might be the strengths and weaknesses of the idea you’re hoping to critically analyze?

Strengths and weaknesses could include:

• Does it seem highly ethical (strength) or could it be more ethical (weakness)?
• Is it clearly explained (strength) or complex and lacking logical structure (weakness)?
• Does it seem balanced (strength) or biased (weakness)?

You may consider using a SWOT analysis for this step. I’ve provided a SWOT analysis guide here .

2. Evaluating Sources

Evaluation of sources refers to looking at whether a source is reliable or unreliable.

This is a fundamental media literacy skill .

Steps involved in evaluating sources include asking questions like:

• Who is the author and are they trustworthy?
• Is this written by an expert?
• Is this sufficiently reviewed by an expert?
• Is this published in a trustworthy publication?
• Are the arguments sound or common sense?

For more on this topic, I’d recommend my detailed guide on digital literacy .

3. Identifying Similarities

Identifying similarities encompasses the act of drawing parallels between elements, concepts, or issues.

In critical analysis, it’s common to compare a given article, idea, or theory to another one. In this way, you can identify areas in which they are alike.

Determining similarities can be a challenge, but it’s an intellectual exercise that fosters a greater understanding of the aspects you’re studying. This step often calls for a careful reading and note-taking to highlight matching information, points of view, arguments or even suggested solutions.

Similarities might be found in:

• The key themes or topics discussed
• The theories or principles used
• The demographic the work is written for or about
• The solutions or recommendations proposed

Remember, the intention of identifying similarities is not to prove one right or wrong. Rather, it sets the foundation for understanding the larger context of your analysis, anchoring your arguments in a broader spectrum of ideas.

Your critical analysis strengthens when you can see the patterns and connections across different works or topics. It fosters a more comprehensive, insightful perspective. And importantly, it is a stepping stone in your analysis journey towards evaluating differences, which is equally imperative and insightful in any analysis.

4. Identifying Differences

Identifying differences involves pinpointing the unique aspects, viewpoints or solutions introduced by the text you’re analyzing. How does it stand out as different from other texts?

To do this, you’ll need to compare this text to another text.

Differences can be revealed in:

• The potential applications of each idea
• The time, context, or place in which the elements were conceived or implemented
• The available evidence each element uses to support its ideas
• The perspectives of authors
• The conclusions reached

Identifying differences helps to reveal the multiplicity of perspectives and approaches on a given topic. Doing so provides a more in-depth, nuanced understanding of the field or issue you’re exploring.

This deeper understanding can greatly enhance your overall critique of the text you’re looking at. As such, learning to identify both similarities and differences is an essential skill for effective critical analysis.

My favorite tool for identifying similarities and differences is a Venn Diagram:

To use a venn diagram, title each circle for two different texts. Then, place similarities in the overlapping area of the circles, while unique characteristics (differences) of each text in the non-overlapping parts.

6. Identifying Oversights

Identifying oversights entails pointing out what the author missed, overlooked, or neglected in their work.

Almost every written work, no matter the expertise or meticulousness of the author, contains oversights. These omissions can be absent-minded mistakes or gaps in the argument, stemming from a lack of knowledge, foresight, or attentiveness.

Such gaps can be found in:

• Missed opportunities to counter or address opposing views
• Failure to consider certain relevant aspects or perspectives
• Incomplete or insufficient data that leaves the argument weak
• Failing to address potential criticism or counter-arguments

By shining a light on these weaknesses, you increase the depth and breadth of your critical analysis. It helps you to estimate the full worth of the text, understand its limitations, and contextualize it within the broader landscape of related work. Ultimately, noticing these oversights helps to make your analysis more balanced and considerate of the full complexity of the topic at hand.

You may notice here that identifying oversights requires you to already have a broad understanding and knowledge of the topic in the first place – so, study up!

7. Fact Checking

Fact-checking refers to the process of meticulously verifying the truth and accuracy of the data, statements, or claims put forward in a text.

Fact-checking serves as the bulwark against misinformation, bias, and unsubstantiated claims. It demands thorough research, resourcefulness, and a keen eye for detail.

Fact-checking goes beyond surface-level assertions:

• Examining the validity of the data given
• Cross-referencing information with other reliable sources
• Scrutinizing references, citations, and sources utilized in the article
• Distinguishing between opinion and objectively verifiable truths
• Checking for outdated, biased, or unbalanced information

If you identify factual errors, it’s vital to highlight them when critically analyzing the text. But remember, you could also (after careful scrutiny) also highlight that the text appears to be factually correct – that, too, is critical analysis.

8. Exploring Counterexamples

Exploring counterexamples involves searching and presenting instances or cases which contradict the arguments or conclusions presented in a text.

Counterexamples are an effective way to challenge the generalizations, assumptions or conclusions made in an article or theory. They can reveal weaknesses or oversights in the logic or validity of the author’s perspective.

Considerations in counterexample analysis are:

• Identifying generalizations made in the text
• Seeking examples in academic literature or real-world instances that contradict these generalizations
• Assessing the impact of these counterexamples on the validity of the text’s argument or conclusion

Exploring counterexamples enriches your critical analysis by injecting an extra layer of scrutiny, and even doubt, in the text.

By presenting counterexamples, you not only test the resilience and validity of the text but also open up new avenues of discussion and investigation that can further your understanding of the topic.

See Also: Counterargument Examples

9. Assessing Methodologies

Assessing methodologies entails examining the techniques, tools, or procedures employed by the author to collect, analyze and present their information.

The accuracy and validity of a text’s conclusions often depend on the credibility and appropriateness of the methodologies used.

Aspects to inspect include:

• The appropriateness of the research method for the research question
• The adequacy of the sample size
• The validity and reliability of data collection instruments
• The application of statistical tests and evaluations
• The implementation of controls to prevent bias or mitigate its impact

One strategy you could implement here is to consider a range of other methodologies the author could have used. If the author conducted interviews, consider questioning why they didn’t use broad surveys that could have presented more quantitative findings. If they only interviewed people with one perspective, consider questioning why they didn’t interview a wider variety of people, etc.

See Also: A List of Research Methodologies

10. Exploring Alternative Explanations

Exploring alternative explanations refers to the practice of proposing differing or opposing ideas to those put forward in the text.

An underlying assumption in any analysis is that there may be multiple valid perspectives on a single topic. The text you’re analyzing might provide one perspective, but your job is to bring into the light other reasonable explanations or interpretations.

Cultivating alternative explanations often involves:

• Formulating hypotheses or theories that differ from those presented in the text
• Referring to other established ideas or models that offer a differing viewpoint
• Suggesting a new or unique angle to interpret the data or phenomenon discussed in the text

Searching for alternative explanations challenges the authority of a singular narrative or perspective, fostering an environment ripe for intellectual discourse and critical thinking . It nudges you to examine the topic from multiple angles, enhancing your understanding and appreciation of the complexity inherent in the field.

A Full List of Critical Analysis Skills

• Exploring Strengths and Weaknesses
• Evaluating Sources
• Identifying Similarities
• Identifying Differences
• Identifying Biases
• Hypothesis Testing
• Fact-Checking
• Exploring Counterexamples
• Assessing Methodologies
• Exploring Alternative Explanations
• Pointing Out Contradictions
• Challenging the Significance
• Cause-And-Effect Analysis
• Assessing Generalizability
• Highlighting Inconsistencies
• Reductio ad Absurdum
• Comparing to Expert Testimony
• Comparing to Precedent
• Reframing the Argument
• Pointing Out Fallacies
• Questioning the Ethics
• Clarifying Definitions
• Challenging Assumptions
• Exposing Oversimplifications
• Highlighting Missing Information
• Demonstrating Irrelevance
• Assessing Effectiveness
• Assessing Trustworthiness
• Recognizing Patterns
• Differentiating Facts from Opinions
• Analyzing Perspectives
• Prioritization
• Making Predictions
• Conducting a SWOT Analysis
• PESTLE Analysis
• Asking the Five Whys
• Correlating Data Points
• Finding Anomalies Or Outliers
• Comparing to Expert Literature
• Drawing Inferences
• Assessing Validity & Reliability

Analysis and Bloom’s Taxonomy

Benjamin Bloom placed analysis as the third-highest form of thinking on his ladder of cognitive skills called Bloom’s Taxonomy .

This taxonomy starts with the lowest levels of thinking – remembering and understanding. The further we go up the ladder, the more we reach higher-order thinking skills that demonstrate depth of understanding and knowledge, as outlined below:

Here’s a full outline of the taxonomy in a table format:

• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 10 Reasons you’re Perpetually Single
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 20 Montessori Toddler Bedrooms (Design Inspiration)
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 21 Montessori Homeschool Setups
• Chris Drew (PhD) https://helpfulprofessor.com/author/chris-drew-phd-2/ 101 Hidden Talents Examples

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THANK YOU, THANK YOU, THANK YOU! – I cannot even being to explain how hard it has been to find a simple but in-depth understanding of what ‘Critical Analysis’ is. I have looked at over 10 different pages and went down so many rabbit holes but this is brilliant! I only skimmed through the article but it was already promising, I then went back and read it more in-depth, it just all clicked into place. So thank you again!

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Main Tips On How To Write Case Study Analysis

Table of contents

• 1 What is a Case Study Analysis?
• 2 Difference Between Research Paper and Case Study
• 3 Types of Case Studies
• 4 Writing a Case Study Draft
• 5 How to Write a Case Study Outline
• 6 How to Write a Case Study
• 7 How to Analyze a Case Study
• 8.1 Tips for a Successful Case Analysis
• 9 How to Format a Case Study
• 10 How to Create a Title Page and Cite a Case Study

Many students struggle with how to do a case study analysis. Writing such an assignment is always daunting, as it requires you to analyze something and form conclusions based on your research.

It usually focuses on phenomena you can’t study in a typical way. Therefore, when writing such a text, you have to prepare thoughtfully. In the  PapersOwl article, you will find out what this academic writing is and how to write a case analysis.

What is a Case Study Analysis?

A case study analysis is a form of writing that analyzes a specific situation, event, object, person, or even place. The said analysis should be written and structured to lead to a conclusion. Typically, you cannot analyze the subject of this essay via quantitative methods.

Note that such studies can be used in various fields and require the use of many theories that can give you a unique approach to the matter. For example, you can write a paper like this about social sciences, business, medicine, and many other fields. Each of these will require a particular approach.

Difference Between Research Paper and Case Study

Both research papers and case studies share common features, yet they also differ in several key aspects. Hence, knowing these parallels and distinctions, you will be able to learn how to write a case study assignment correctly.

A case study introduction can present the topic but does not require a citation of other similar works or the writer’s opinion. In contrast, a research paper requires citations right from the introduction, as it builds on the research of others.

Furthermore, authors of case studies should share their insights and perspectives on the case they study. A major difference is that  research papers  concentrate on a specific issue and use solid evidence. In contrast, case studies examine a subject in depth, offer detailed information, and help develop critical thinking skills.

Types of Case Studies

When it comes to writing case study analysis, there are five types you must learn to differentiate. That is important because whether you get such an assignment, you will have to understand the task first and then start with the writing.

Here are the types of case studies which you will encounter most often:

• Problem-oriented – this type focuses on real-life situations or theoretical issues and aims to solve them. For example, “World Hunger.”
• The second type is critical , also known as innate . The goal is to investigate a specific case, particularly its effects and what causes them – “Why Toys Remain Gender Stereotyped.”

Historical case studies focus on events from our past. The text should contain information about a specific historical period of this type. Your goal will be to provide different perspectives of an event and parallel them to current-day issues. An example of such a topic is “Racism During Ancient Times – Roman Empire.”

• The illustrative or Instrumental type focuses on describing a particular event. Here you have to explain the event’s outcome and what you have learned from it. A sample of such a topic is “The Effects of Dance Therapy in Depressed Adolescents.”
• Collective case studies are the fifth type. They include a collection of data about a specific case you will use to compare. E.g., “The Management Leadership at Work.”
• Exploratory Case Studies . This type often applies in new fields of study or in cases where little data exists. An example of this type is “Initial Insights into Behavioral Trends in Cryptocurrency Trading.”

Writing a Case Study Draft

Creating a rough draft is the foremost step to take while writing such a paper. It is an essential step you must take, no matter how experienced you are. By doing it, you will be able to get more creative. In addition, you can explore options and decide on what to focus on more precisely, which will eventually result in a higher grade for your work.

So, sit down in a quiet place, bring an old-fashioned pen and paper, and start drafting ideas. Read them briefly while sipping on your tea and edit. After you have decided where your focus will lay, you have to develop these ideas and thoughts a bit more, then pick the best one.

How to Write a Case Study Outline

Creating a case study outline is an essential step in the writing process using the case study research method. Here’s how you can structure this preparation effectively:

• Conduct Research: Begin by using academic search engines like Google Scholar, or refer to books and published materials to gather relevant data. This research will help clarify the structure of your case study and determine the main points that need addressing.
• Formulate Your Thesis Statement: Develop a clear thesis statement that will guide the narrative of your case study. This statement should be based on the specific topic you have chosen.
• Outline Preparation
• Review Case Details: Thoroughly review the case you are analyzing to ensure a deep understanding of the subject.
• Note-taking and Question Formulation: Write down important notes and questions that arise during your review. Highlight relevant facts and critical data points that will support your analysis.
• Identify Problems and Causes: Identify the main problems and consider what their causes might be. This includes figuring out who is responsible and how these problems impact the company.
• Preliminary Research: Perform initial research to discover if similar problems have occurred previously and how they were resolved. This can offer insights into possible solutions and strategies for your case study.

The outline for your case study paper is essential to your writing process. It lets your professor assess your understanding of the topic, the correctness of your format, and the structure of your paper. They can spot any potential problems with your work. Having an outline serves as a guide for both you and your professor, making it easier to plan and write your paper . With the help of a well-crafted outline, your professor can navigate your paper more easily and spot any issues before they arise. Writing a case study can be challenging, but having a strong outline makes the process simpler.

A case study outline will most likely consist of the following sections and information:

• Case study title;
• Student’s name;
• Educational instructor’s name;
• Course name.

Introduction/Summary

• It briefly overviews your case study, thesis statement, and essential findings.

Main Body Paragraphs – usually three to five

• Literature Review/Background Information;
• Method/Findings;
• Discussion/Solutions/Recommendations.
• Repeat a paraphrased version of your thesis;
• Summarize your case study key points;
• Finish with a statement that can recommend the audience to read further by giving them thoughts to contemplate and develop new ideas.

Reference List or Bibliography

• List all the sources of evidence used to create your case study in your educational organization’s required citation style (APA, MLA, Chicago, Harvard, Turabian, etc.).

How to Write a Case Study

The way to write a case study is by strictly following the main idea of your thesis. You already know that a study’s main body consists of an introduction, literature review, method, discussion, and conclusion sections. Thus, all that is left is to focus on these parts and understand how to make them perfect.

• The Introduction/Summary: The introduction of a case study should start with a solid first sentence that will hook the reader. Afterward, you must explain the question you will be answering and why you are doing it. You should include some of the topic’s relevant history and details here. Also, you should explain how your case study will enrich the available information. Also, briefly summarize your literature review, which your findings will use as a base. Try to finish positively and make the reader see the benefits of reading your work.

• Background Information/Literature Review: ‍Structure and present the data from your academic sources . This section will show the reader how vital your work is and the basis for it.
• Method/Findings: This part aims to explain the case you selected, how it connects to the issue, and why you chose them. You can also add what methods you use. Here you must note that the data collection methods are qualitative, not quantitative, for case studies. That means the data is not random but well-structured and chronically taken from interviews, focus groups, and other sources.
• Discussion/Solutions: Restate your thesis but rephrase it, then draw your conclusions from what you have discovered via your research and link to your statement. Inform the audience of your main findings and define why the results are relevant to the field. Think about the following questions:

Were the results unexpected? Why/Why not?

How do your findings compare to previous similar case studies in your literature review?

Do your findings correlate to previous results, or do they contradict them?

Are your findings helpful in deepening the current understanding of the topic?

Next, explore possible alternative explanations or interpretations of your findings. Be subjective and explain your paper’s limitations. End with some suggestions for further exploration based on the limits of your work. ‍

• Conclusion: Inform the reader precisely why your case study and findings are relevant, and restate your thesis and main results. Give a summary of previous studies you reviewed and how you contributed to expanding current knowledge. The final should explain how your work can be helpful and implemented in future research.

Your instructor should have an excellent example they can show you, so feel free to ask. They will surely want to help you learn how to write a case study!

How to Analyze a Case Study

Analyzing a case study involves a structured approach that simulates real-life scenarios and is key to developing actionable insights. Here is a step-by-step guide adapted from Ellet, W. (2007) to help you effectively analyze a case study:

• Identify the Type of Case Study

Begin by determining the type of case study you are examining. This could be:

• Problems: Where something significant has occurred, and the cause is unknown.
• Decisions : Where a clear decision needs making, requiring options, criteria, and relevant evidence.
• Evaluations : Where you assess the effectiveness of a performance or outcome.
• Rules : These involve using quantitative methods to analyze a business area.
• Develop a Hypothesis

From the perspective of the protagonist, formulate a hypothesis to address the dilemma. Consider what you need to know about the situation:

• For problems: Understand the aspects, significance, and responsible parties.
• For decisions: Identify the options available, the stakes involved, and the decision-making criteria.
• For evaluations: Determine who or what is evaluated, the stakes, and the key evaluation criteria.
• Evidence and Alternatives

Evaluate your hypothesis by considering:

• The evidence supporting your hypothesis and any additional evidence needed.
• The weaknesses of your hypothesis and possible alternatives.

Writing a Case Analysis

Writing a case analysis involves a structured approach that enables you to communicate your understanding and analytical skills effectively. Here’s how you can craft your analysis to be insightful and comprehensive:

• Start with a Clear Definition or Position Statement

Begin your case analysis by stating your main conclusion, which serves as the answer to “What?” This initial statement should clearly outline what you have concluded from your analysis of the case.

• Build a Strong Argument with Evidence

Support your position statement with solid evidence, which answers “Why?” This evidence can be quantitative (numerical data) or qualitative (observations and interviews). The purpose here is to provide a foundation for your conclusions, showing how you arrived at them through logical reasoning.

• Outline a Chronological Action Plan

Detail the steps necessary to solve the problem, implement a decision, or enhance performance. This section answers “How?” and should include specific, realistic steps that address any major risks associated with your plan.

Tips for a Successful Case Analysis

• Aim to deliver concise and clear results of your analytical process rather than a simple summary or a complete transcript of your thoughts.
• Ensure your reader understands and is persuaded by your analysis by linking your conclusions directly to credible evidence.
• Discuss the advantages and also acknowledge any disadvantages of your conclusions to provide a balanced view.

How to Format a Case Study

Knowing how a case study analysis format should look is crucial. Therefore, you must know what the text structure should look like. The standard one contains about eight sections:

• Introduction/The Executive Summary: As the first part here, you have to hook the reader’s attention, so the introduction of the case study is the most important part of the writing.  Then present them with a brief overview of your case study analyses and their findings. Make sure to form a good thesis statement , as this is the pivotal point of your work.
• Literary Review/Background information: Similarly to other papers, in this part, you have to write your most important facts or findings while identifying the case issue.
• Method/Findings/Discussion: This section can be written separately based on how your text flows. Here you will have to explore more about the case and its findings. Allow yourself to go into more detail instead of just briefly covering them.
• Solutions/Recommendations/Implementation Part: You have to discuss the answers you came up with. Basically, you say why they are fit to solve the case and how you think they can be used in practice. Note that you must write only realistic and practical solutions for the problem. It’s possible to write testable evidence that can support your recommendations.
• Conclusion: Here, you are supposed to cover your whole paper briefly and even repeat the thesis (rephrased). Make sure to highlight the critical points of your case study.
• References or Bibliography: This section must include the sources from which you collected data or whom you consulted. Usually, this part is on a separate page, and the listing should be according to your academic institution’s requirements.
• Appendices (include only if applicable): It is usual for some parts of your materials to be too lengthy or unfit for the other sections of the case study. Therefore, you have to include them here. That can be pictures, raw data of statistics, graphs, notes, etc. The appendix section is strictly for subsidiary materials, do not put the most relevant ones here.
• Author Note: Remember that all educational institutions have their requirement for a case study format. The abovementioned is an example; thus, you may see a section or another is missing, or there are additional ones.

How to Create a Title Page and Cite a Case Study

A case study in APA format for students can differ from one institution to another. So, knowing your college or school requirements is crucial before you start writing. Nonetheless, the general one should look like this:

• Title – A header no longer than nine words has “Case Study” and reflects the content and the idea behind it yet is engaging to read;
• Write your full name;
• The name of your course/class;
• Next is your professor or instructor name;
• The university/school name;
• The date of submission.

When citing in your paper, you must ensure it is done accurately and in your academic style. If you are unsure how to do it, research the requirements and google “How to do a case study analysis in Harvard”, for example. Note that short citations can be in your text, but longer ones should be in the bibliography section.

Hruby, A. (2018). Hruby, A., & Hu, F. B. (2015). The epidemiology of obesity: a big picture. Pharmacoeconomics, 33(7), 673-689. www.sciepub.com. http://www.sciepub.com/reference/254744

Case studies strive to analyze an event, location, case, or person. They can be similar to research papers, so you must pay close attention to the structure and what your professor has requested from you.

Finally, the process of writing can be overwhelming due to the many sections. However, if you take the process step by step and do your preparations properly, you will have an easy time writing the paper. You can also look for assistance online – many services offer to order case study online help . With the right kind of assistance, you can be sure that your paper is of high quality and is due on time!

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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

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

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

How to Approach Writing a Case Study Research Paper

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

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

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

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

Structure and Writing Style

The purpose of a paper in the social sciences designed around a case study is to thoroughly investigate a subject of analysis in order to reveal a new understanding about the research problem and, in so doing, contributing new knowledge to what is already known from previous studies. In applied social sciences disciplines [e.g., education, social work, public administration, etc.], case studies may also be used to reveal best practices, highlight key programs, or investigate interesting aspects of professional work.

In general, the structure of a case study research paper is not all that different from a standard college-level research paper. However, there are subtle differences you should be aware of. Here are the key elements to organizing and writing a case study research paper.

I.  Introduction

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

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

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

II.  Literature Review

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

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

III.  Method

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

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

If your subject of analysis is a person. Explain why you selected this particular individual to be studied and describe what experiences they have had that provide an opportunity to advance new understandings about the research problem. Mention any background about this person which might help the reader understand the significance of their experiences that make them worthy of study. This includes describing the relationships this person has had with other people, institutions, and/or events that support using them as the subject for a case study research paper. It is particularly important to differentiate the person as the subject of analysis from others and to succinctly explain how the person relates to examining the research problem [e.g., why is one politician in a particular local election used to show an increase in voter turnout from any other candidate running in the election]. Note that these issues apply to a specific group of people used as a case study unit of analysis [e.g., a classroom of students].

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

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

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

IV.  Discussion

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

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

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

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

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

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

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

V.  Conclusion

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

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

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

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

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

Problems to Avoid

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

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

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

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

Writing Tip

At Least Five Misconceptions about Case Study Research

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

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

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

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

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Writing a Critical Analysis

What is in this guide, definitions, putting it together, tips and examples of critques.

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This guide is meant to help you understand the basics of writing a critical analysis. A critical analysis is an argument about a particular piece of media. There are typically two parts: (1) identify and explain the argument the author is making, and (2), provide your own argument about that argument. Your instructor may have very specific requirements on how you are to write your critical analysis, so make sure you read your assignment carefully.

Critical Analysis

A deep approach to your understanding of a piece of media by relating new knowledge to what you already know.

Part 1: Introduction

• Identify the work being criticized.
• Present thesis - argument about the work.
• Preview your argument - what are the steps you will take to prove your argument.

Part 2: Summarize

• Provide a short summary of the work.
• Present only what is needed to know to understand your argument.

Part 3: Your Argument

• This is the bulk of your paper.
• Provide "sub-arguments" to prove your main argument.
• Use scholarly articles to back up your argument(s).

Part 4: Conclusion

• Reflect on  how  you have proven your argument.
• Point out the  importance  of your argument.
• Comment on the potential for further research or analysis.
• Cornell University Library Tips for writing a critical appraisal and analysis of a scholarly article.
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• University of Illinois, Springfield An example of a summary and an evaluation of a research article. This extended example shows the different ways a student can critique and write about an article
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How to Write a Case Study Analysis

Step-By-Step Instructions

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When writing a business case study analysis , you must first have a good understanding of the case study . Before you begin the steps below, read the business case carefully, taking notes all the while. It may be necessary to read the case several times to get all of the details and fully grasp the issues facing the group, company, or industry.

As you are reading, do your best to identify key issues, key players, and the most pertinent facts. After you are comfortable with the information, use the following step-by-step instructions (geared toward a single-company analysis) to write your report. To write about an industry, just adapt the steps listed here to discuss the segment as a whole.

Step 1: Investigate the Company’s History and Growth

A company’s past can greatly affect the present and future state of the organization. To begin, investigate the company’s founding, critical incidents, structure, and growth. Create a timeline of events, issues, and achievements. This timeline will come in handy for the next step. 

Step 2: Identify Strengths and Weaknesses

Using the information you gathered in step one, continue by examining and making a list of the value creation functions of the company. For example, the company may be weak in product development but strong in marketing. Make a list of problems that have occurred and note the effects they have had on the company. You should also list areas where the company has excelled. Note the effects of these incidents as well.

You're essentially conducting a partial SWOT analysis to get a better understanding of the company's strengths and weaknesses. A SWOT analysis involves documenting things like internal strengths (S) and weaknesses (W) and external opportunities (O) and threats (T). 

Step 3: Examine the External Environment

The third step involves identifying opportunities and threats within the company’s external environment. This is where the second part of the SWOT analysis (the O and the T) comes into play. Special items to note include competition within the industry, bargaining powers, and the threat of substitute products. Some examples of opportunities include expansion into new markets or new technology. Some examples of threats include increasing competition and higher interest rates.

Step 4: Analyze Your Findings

Using the information in steps 2 and 3, create an evaluation for this portion of your case study analysis. Compare the strengths and weaknesses within the company to the external threats and opportunities. Determine if the company is in a strong competitive position, and decide if it can continue at its current pace successfully.

Step 5: Identify Corporate-Level Strategy

To identify a company’s corporate-level strategy, identify and evaluate the company’s mission , goals, and actions toward those goals. Analyze the company’s line of business and its subsidiaries and acquisitions. You also want to debate the pros and cons of the company strategy to determine whether or not a change might benefit the company in the short or long term.​

Step 6: Identify Business-Level Strategy

Thus far, your case study analysis has identified the company’s corporate-level strategy. To perform a complete analysis, you will need to identify the company’s business-level strategy. (Note: If it is a single business, without multiple companies under one umbrella, and not an industry-wide review, the corporate strategy and the business-level strategy are the same.) For this part, you should identify and analyze each company’s competitive strategy, marketing strategy, costs, and general focus.

Step 7: Analyze Implementations

This portion requires that you identify and analyze the structure and control systems that the company is using to implement its business strategies. Evaluate organizational change, levels of hierarchy, employee rewards, conflicts, and other issues that are important to the company you are analyzing.

Step 8: Make Recommendations

The final part of your case study analysis should include your recommendations for the company. Every recommendation you make should be based on and supported by the context of your analysis. Never share hunches or make a baseless recommendation.

You also want to make sure that your suggested solutions are actually realistic. If the solutions cannot be implemented due to some sort of restraint, they are not realistic enough to make the final cut.

Finally, consider some of the alternative solutions that you considered and rejected. Write down the reasons why these solutions were rejected. 

Step 9: Review

Look over your analysis when you have finished writing. Critique your work to make sure every step has been covered. Look for grammatical errors , poor sentence structure, or other things that can be improved. It should be clear, accurate, and professional.

Business Case Study Analysis Tips

Keep these strategic tips in mind:

• Know the case study ​backward and forward before you begin your case study analysis.
• Give yourself enough time to write the case study analysis. You don't want to rush through it.
• Be honest in your evaluations. Don't let personal issues and opinions cloud your judgment.
• Be analytical, not descriptive.
• Proofread your work, and even let a test reader give it a once-over for dropped words or typos that you no longer can see.
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Writing Academically

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How to write a successful critical analysis

• How to write a strong literature review
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• Substantiate your claims
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For further queries or assistance in writing a critical analysis email Bill Wrigley .

What do you critically analyse?

In a critical analysis you do not express your own opinion or views on the topic. You need to develop your thesis, position or stance on the topic from the views and research of others . In academic writing you critically analyse other researchers’:

• concepts, terms
• viewpoints, arguments, positions
• methodologies, approaches
• research results and conclusions

This means weighing up the strength of the arguments or research support on the topic, and deciding who or what has the more or stronger weight of evidence or support.

Therefore, your thesis argues, with evidence, why a particular theory, concept, viewpoint, methodology, or research result(s) is/are stronger, more sound, or more advantageous than others.

What does ‘analysis’ mean?

A critical analysis means analysing or breaking down the parts of the literature and grouping these into themes, patterns or trends.

In an analysis you need to:

1. Identify and separate out the parts of the topic by grouping the various key theories, main concepts, the main arguments or ideas, and the key research results and conclusions on the topic into themes, patterns or trends of agreement , dispute and omission .

2. Discuss each of these parts by explaining:

i. the areas of agreement/consensus, or similarity

ii. the issues or controversies: in dispute or debate, areas of difference

ii. the omissions, gaps, or areas that are under-researched

3. Discuss the relationship between these parts

4. Examine how each contributes to the whole topic

5. Make conclusions about their significance or importance in the topic

What does ‘critical’ mean?

A critical analysis does not mean writing angry, rude or disrespectful comments, or  expressing your views in judgmental terms of black and white, good and bad, or right and wrong.

To be critical, or to critique, means to evaluate . Therefore, to write critically in an academic analysis means to:

• judge the quality, significance or worth of the theories, concepts, viewpoints, methodologies, and research results
• evaluate in a fair and balanced manner
• avoid extreme or emotional language

• strengths, advantages, benefits, gains, or improvements
• disadvantages, weaknesses, shortcomings, limitations, or drawbacks

How to critically analyse a theory, model or framework

The evaluative words used most often to refer to theory, model or framework are a sound theory or a strong theory.

The table below summarizes the criteria for judging the strengths and weaknesses of a theory:

• comprehensive
• empirically supported
• parsimonious

Evaluating a Theory, Model or Framework

The table below lists the criteria for the strengths and their corresponding weaknesses that are usually considered in a theory.

Critical analysis examples of theories

The following sentences are examples of the phrases used to explain strengths and weaknesses.

Smith’s (2005) theory appears up to date, practical and applicable across many divergent settings.

Brown’s (2010) theory, although parsimonious and logical, lacks a sufficient body of evidence to support its propositions and predictions

Little scientific evidence has been presented to support the premises of this theory.

One of the limitations with this theory is that it does not explain why…

A significant strength of this model is that it takes into account …

The propositions of this model appear unambiguous and logical.

A key problem with this framework is the conceptual inconsistency between ….

How to critically analyse a concept

The table below summarizes the criteria for judging the strengths and weaknesses of a concept:

• key variables identified
• clear and well-defined

Evaluating Concepts

Critical analysis examples of concepts

Many researchers have used the concept of control in different ways.

There is little consensus about what constitutes automaticity.

Putting forth a very general definition of motivation means that it is possible that any behaviour could be included.

The concept of global education lacks clarity, is imprecisely defined and is overly complex.

Some have questioned the usefulness of resilience as a concept because it has been used so often and in so many contexts.

Research suggests that the concept of preoperative fasting is an outdated clinical approach.

How to critically analyse arguments, viewpoints or ideas

The table below summarizes the criteria for judging the strengths and weaknesses of an argument, viewpoint or idea:

• reasons support the argument
• argument is substantiated by evidence
• evidence for the argument is relevant
• evidence for the argument is unbiased, sufficient and important
• evidence is reputable

Evaluating Arguments, Views or Ideas

Critical analysis examples of arguments, viewpoints or ideas

The validity of this argument is questionable as there is insufficient evidence to support it.

Many writers have challenged Jones’ claim on the grounds that …….

This argument fails to draw on the evidence of others in the field.

This explanation is incomplete because it does not explain why…

The key problem with this explanation is that ……


The existing accounts fail to resolve the contradiction between …

However, there is an inconsistency with this argument. The inconsistency lies in…

Although this argument has been proposed by some, it lacks justification.

However, the body of evidence showing that… contradicts this argument.

How to critically analyse a methodology

The table below provides the criteria for judging the strengths and weaknesses of methodology.

An evaluation of a methodology usually involves a critical analysis of its main sections:

design; sampling (participants); measurement tools and materials; procedure

• design tests the hypotheses or research questions
• method valid and reliable
• potential bias or measurement error, and confounding variables addressed
• method allows results to be generalized
• representative sampling of cohort and phenomena; sufficient response rate
• valid and reliable measurement tools
• valid and reliable procedure
• method clear and detailed to allow replication

Evaluating a Methodology

Critical analysis examples of a methodology

The unrepresentativeness of the sample makes these results misleading.

The presence of unmeasured variables in this study limits the interpretation of the results.

Other, unmeasured confounding variables may be influencing this association.

The interpretation of the data requires caution because the effect of confounding variables was not taken into account.

The insufficient control of several response biases in this study means the results are likely to be unreliable.

Although this correlational study shows association between the variables, it does not establish a causal relationship.

Taken together, the methodological shortcomings of this study suggest the need for serious caution in the meaningful interpretation of the study’s results.

How to critically analyse research results and conclusions

The table below provides the criteria for judging the strengths and weaknesses of research results and conclusions:

• appropriate choice and use of statistics
• correct interpretation of results
• all results explained
• alternative explanations considered
• significance of all results discussed
• consistency of results with previous research discussed
• results add to existing understanding or knowledge
• limitations discussed
• results clearly explained
• conclusions consistent with results

Evaluating the Results and Conclusions

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Case Study Analysis: Examples + How-to Guide & Writing Tips

A case study analysis is a typical assignment in business management courses. The task aims to show high school and college students how to analyze a current situation, determine what problems exist, and develop the best possible strategy to achieve the desired outcome.

Many students feel anxious about writing case analyses because being told to analyze a case study and provide a solution can seem like a big task. That is especially so when working with real-life scenarios. However, you can rest assured writing a case analysis paper is easier than you think. Just keep reading this article and you will find case study examples for students and the advice provided by Custom-writing experts!

• 👣 Main Steps
• 🕵 Preparing the Case

🔬 Analyzing the Case

• 📑 Format & Structure
• 🙅 Things to Avoid
• 🏁 Conclusion

🔗 References

👣 writing a case study analysis: main steps.

Business management is built on case analysis. Every single economic result shows that the methods and instruments employed were either well-timed and expedient, in the event of success, or not, in case of failure. These two options indicate whether the strategy is efficient (and should be followed) or requires corrections (or complete change). Such an approach to the case study will make your writing piece more proficient and valuable for the reader. The following steps will direct your plan for writing a case study analysis.

Step 1: Preliminary work

• Make notes and highlight the numbers and ideas that could be quoted.
• Single out as many problems as you can, and briefly mark their underlying issues. Then make a note of those responsible. In the report, you will use two to five of the problems, so you will have a selection to choose from.
• Outline a possible solution to each of the problems you found. Course readings and outside research shall be used here. Highlight your best and worst solution for further reference.

Step 2: Drafting the Case

• Provide a general description of the situation and its history.
• Name all the problems you are going to discuss.
• Specify the theory used for the analysis.
• Present the assumptions that emerged during the analysis, if any.
• Describe the detected problems in more detail.
• Indicate their link to, and effect on, the general situation.
• Explain why the problems emerged and persist.
• List realistic and feasible solutions to the problems you outlined, in the order of importance.
• Specify your predicted results of such changes.
• Support your choice with reliable evidence (i.e., textbook readings, the experience of famous companies, and other external research).
• Define the strategies required to fulfill your proposed solution.
• Indicate the responsible people and the realistic terms for its implementation.
• Recommend the issues for further analysis and supervision.

Step 3: Finalizing the Case

Like any other piece of writing, a case analysis requires post-editing. Carefully read it through, looking for inconsistencies and gaps in meaning. Your purpose is to make it look complete, precise, and convincing.

🕵 Preparing a Case for Analysis

Your professor might give you various case study examples from which to choose, or they may just assign you a particular case study. To conduct a thorough data analysis, you must first read the case study. This might appear to be obvious. However, you’d be surprised at how many students don’t take adequate time to complete this part.

Read the case study very thoroughly, preferably several times. Highlight, underline, flag key information, and make notes to refer to later when you are writing your analysis report.

If you don’t have a complete knowledge of the case study your professor has assigned, you won’t conduct a proper analysis of it. Even if you make use of a business case study template or refer to a sample analysis, it won’t help if you aren’t intimately familiar with your case study.

You will also have to conduct research. When it comes to research, you will need to do the following:

• Gather hard, quantitative data (e.g. 67% of the staff participated in the meeting).
• Design research tools , such as questionnaires and surveys (this will aid in gathering data).
• Determine and suggest the best specific, workable solutions.

It would be best if you also learned how to analyze a case study. Once you have read through the case study, you need to determine the focus of your analysis. You can do this by doing the following:

Compare your chosen solutions to the solutions offered by the experts who analyzed the case study you were given or to online assignments for students who were dealing with a similar task. The experts’ solutions will probably be more advanced than yours simply because these people are more experienced. However, don’t let this discourage you; the whole point of doing this analysis is to learn. Use the opportunity to learn from others’ valuable experience, and your results will be better next time.

If you are still in doubt, the University of South Carolina offers a great guide on forming a case study analysis.

📑 Case Analysis Format & Structure

When you are learning how to write a case study analysis, it is important to get the format of your analysis right. Understanding the case study format is vital for both the professor and the student. The person planning and handing out such an assignment should ensure that the student doesn’t have to use any external sources .

In turn, students have to remember that a well-written case analysis provides all the data, making it unnecessary for the reader to go elsewhere for information.

Regardless of whether you use a case study template, you will need to follow a clear and concise format when writing your analysis report. There are some possible case study frameworks available. Still, a case study should contain eight sections laid out in the following format:

• Describe the purpose of the current case study;
• Provide a summary of the company;
• Briefly introduce the problems and issues found in the case study
• Discuss the theory you will be using in the analysis;
• Present the key points of the study and present any assumptions made during the analysis.
• Present each problem you have singled out;
• Justify your inclusion of each problem by providing supporting evidence from the case study and by discussing relevant theory and what you have learned from your course content;
• Divide the section (and following sections) into subsections, one for each of your selected problems.
• Present a summary of each problem you have identified;
• Present plausible solutions for each of the problems, keeping in mind that each problem will likely have more than one possible solution;
• Provide the pros and cons of each solution in a way that is practical.
• Conclusion . This is a summary of your findings and discussion.
• Decide which solution best fits each of the issues you identified;
• Explain why you chose this solution and how it will effectively solve the problem;
• Be persuasive when you write this section so that you can drive your point home;
• Be sure to bring together theory and what you have learned throughout your course to support your recommendations.
• Provide an explanation of what must be done, who should take action, and when the solution should be carried out;
• Where relevant, you should provide an estimate of the cost in implementing the solution, including both the financial investment and the cost in terms of time.
• References. While you generally do not need to refer to many external sources when writing a case study analysis, you might use a few. When you do, you will need to properly reference these sources, which is most often done in one of the main citation styles, including APA, MLA, or Harvard. There is plenty of help when citing references, and you can follow these APA guidelines , these MLA guidelines , or these Harvard guidelines .
• Appendices. This is the section you include after your case study analysis if you used any original data in the report. These data, presented as charts, graphs, and tables, are included here because to present them in the main body of the analysis would be disruptive to the reader. The University of Southern California provides a great description of appendices and when to make use of them.

When you’ve finished your first draft, be sure to proofread it. Look not only for potential grammar and spelling errors but also for discrepancies or holes in your argument.

You should also know what you need to avoid when writing your analysis.

🙅 Things to Avoid in Case Analysis

Whenever you deal with a case study, remember that there are some pitfalls to avoid! Beware of the following mistakes:

• Excessive use of colloquial language . Even though it is a study of an actual case, it should sound formal.
• Lack of statistical data . Give all the important data, both in percentages and in numbers.
• Excessive details. State only the most significant facts, rather than drowning the reader in every fact you find.
• Inconsistency in the methods you have used . In a case study, theory plays a relatively small part, so you must develop a specific case study research methodology.
• Trivial means of research . It is critical that you design your own case study research method in whatever form best suits your analysis, such as questionnaires and surveys.

It is useful to see a few examples of case analysis papers. After all, a sample case study report can provide you with some context so you can see how to approach each aspect of your paper.

👀 Case Study Examples for Students

It might be easier to understand how a case study analysis works if you have an example to look at. Fortunately, examples of case studies are easy to come by. Take a look at this video for a sample case study analysis for the Coca-Cola Company.

If you want another example, then take a look at the one below!

Business Case Analysis: Example

CRM’s primary focus is customers and customer perception of the brand or the company. The focus may shift depending on customers’ needs. The main points that Center Parcs should consider are an increase in customer satisfaction and its market share. Both of these points will enhance customer perception of the product as a product of value. Increased customer satisfaction will indicate that the company provides quality services, and increased market share can reduce the number of switching (or leaving) customers, thus fostering customer loyalty.

Case Study Topics

• Equifax case study: the importance of cybersecurity measures. 
• Study a case illustrating ethical issues of medical research.
• Examine the case describing the complications connected with nursing and residential care.
• Analyze the competitive strategy of Delta Airlines .
• Present a case study of an ethical dilemma showing the conflict between the spirit and the letter of the law.  
• Explore the aspects of Starbucks’ marketing strategyin a case study.  
• Research a case of community-based clinic organization and development.
• Customer service of United Airlines: a case study .
• Analyze a specific schizophrenia case and provide your recommendations.
• Provide a case study of a patient with hyperglycemia.
• Examine the growth strategy of United Healthcare.
• Present a case study demonstrating ethical issues in business.
• Study a case of the 5% shareholding rule application and its impact on the company.
• Case study of post-traumatic stress disorder .
• Analyze a case examining the issues of cross-cultural management .
• Write a case study exploring the ethical issues the finance manager of a long-term care facility can face and the possible reaction to them.
• Write a case study analyzing the aspects of a new president of a firm election.
• Discuss the specifics of supply chain management in the case of Tehindo company.
• Study a case of a life crisis in a family and the ways to cope with it.
• Case study of Tea Leaves and More: supply chain issues.   
• Explore the case of ketogenic diet implementation among sportspeople.  
• Analyze the case of Webster Jewelry shop and suggest some changes.  
• Examine the unique aspects of Tea and More brand management.  
• Adidas case study: an ethical dilemma .
• Research the challenges of Brazos Valley Food Bank and suggest possible solutions.  
• Describe the case of dark web monitoring for business.  
• Study a case of permissive parenting style .
• Case study of Starbucks employees.
• Analyze a case of workplace discrimination and suggest a strategy to avoid it.
• Examine a case of the consumer decision-making process and define the factors that influence it.
• Present a case study of Netflix illustrating the crucial role of management innovation for company development.  
• Discuss a case describing a workplace ethical issue and propose ways to resolve it.
• Case study of the 2008 financial crisis: Graham’s value investing principles in the modern economic climate.
• Write a case study analyzing the harmful consequences of communication issues in a virtual team.
• Analyze a case that highlights the importance of a proper functional currency choice. 
• Examine the case of Hitachi Power Systems management.  
• Present a case study of medication research in a healthcare facility.
• Study the case of Fiji Water and the challenges the brand faces.  
• Research a social problem case and suggest a solution.
• Analyze a case that reveals the connection between alcohol use and borderline personality disorder.
• Transglobal Airline case study: break-even analysis.
• Examine the case of Chiquita Brands International from the moral and business ethics points of view.
• Present a case study of applying for Social Security benefits. 
• Study the case of a mass hacker attack on Microsoft clients and suggest possible ways to prevent future attacks.
• Case study of leadership effectiveness. 
• Analyze a case presenting a clinical moral dilemma and propose ways to resolve it. 
• Describe the case of Cowbell Brewing Company and discuss the strategy that made them successful.
• Write a case study of WeWork company and analyze the strengths and weaknesses of its strategy.
• Case study of medical ethical decision-making.
• Study the case of The Georges hotel and suggest ways to overcome its managerial issues.

🏁 Concluding Remarks

Writing a case study analysis can seem incredibly overwhelming, especially if you have never done it before. Just remember, you can do it provided you follow a plan, keep to the format described here, and study at least one case analysis example.

If you still need help analyzing a case study, your professor is always available to answer your questions and point you in the right direction. You can also get help with any aspect of the project from a custom writing company. Just tackle the research and hand over the writing, write a rough draft and have it checked by a professional, or completely hand the project off to an expert writer.

Regardless of the path you choose, you will turn in something of which you can be proud!

✏️ Case Study Analysis FAQ

Students (especially those who study business) often need to write a case study analysis. It is a kind of report that describes a business case. It includes multiple aspects, for example, the problems that exist, possible solutions, forecasts, etc.

There should be 3 main points covered in a case study analysis:

• The challenge(s) description,
• Possible solutions,
• Outcomes (real and/or foreseen).

Firstly, study some examples available online and in the library. Case study analysis should be a well-structured paper with all the integral components in place. Thus, you might want to use a template and/or an outline to start correctly.

A case study analysis is a popular task for business students. They typically hand it in the format of a paper with several integral components:

• Description of the problem
• Possible ways out
• Results and/or forecasts

Students sometimes tell about the outcome of their research within an oral presentation.

• Case Study: Academia
• Windows of vulnerability: a case study analysis (IEEE)
• A (Very) Brief Refresher on the Case Study Method: SAGE
• The case study approach: Medical Research Methodology
• Strengths and Limitations of Case Studies: Stanford University
• A Sample APA Paper: Radford University
• How to Write a Case Study APA Style: Seattle PI
• The Case Analysis: GVSU
• How to Outline: Purdue OWL
• Incorporating Interview Data: UW-Madison Writing Center
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it was very helpful. I have an assessment to write where in I need to mention different effective components that are needed to compile a high quality case study assessment.

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This article was very helpful, even though I’ll have a clearer mind only after I do the case study myself but I felt very much motivated after reading this, as now I can at least have a plan of what to do compared to the clueless me I was before I read it. I hope if I have any questions or doubts about doing a case study I can clear it out here.

The Ultimate Guide on Writing an A+ Case Study Analysis + 15 Examples

Struggle with writing a case study analysis? You are in the right place! Below, we will show you nuts and bolts of this type of paper, how to write it, and share 15 distinct essay examples. Plus, you will find the case study checklist to keep your writing on track.

What is a Case Study Analysis?

Case study analysis topics.

• Important Aspects

You might ask, what is a case study analysis ? With this type of work, you take an actual situation from a specific discipline, such as business or education. The goal is to find a solution, analyze the outcomes of the situation, or evaluate it.

Case study analysis does not target one specific theory or piece of knowledge. It requires a universal application of several theories and methods for research and review. Hence, it can be helpful for many disciplines at once. If you need to look at some examples, head over to our essay database .

There are several steps you need to take for a successful analysis depending on the type of your case study. Here are the most critical universal points:

• Analyze the problem from different perspectives. Use the theories and methods you have learned about in the classroom.
• Devise a series of solutions or outcomes. You need to analyze their advantages and weaknesses.
• Provide the best solution according to your analysis. You must present solid arguments for why you have suggested it.
• Demonstrate well-grounded research in your case study analysis You should not make claims without proof.
• Provide credible references for any theory that you mention in your analysis. You do not want your work to be discarded because of plagiarism.

If you want to start the business in the future, case study analysis is essential for your education. It can give you a taste of what your career is might include.

Are you panicking because you have never written anything like this before? Don’t worry! After going through the guidelines in this article, you will get a better sense of what is required from you. It will not seem as scary anymore. 😊

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15 Case Study Analysis Examples

We have prepared 15 examples of case study analysis, so you can get an idea of how they should look. The disciplines are broad and there is something here for everyone. Check out the table below!

Let’s concentrate on the format for case study analysis!

Case Study Analysis: Format

In this section, we will get you acquainted with different types of case studies. We will focus on the difference between multiple and single case study analysis. Additionally, we will show you how to organize all of your ideas into an outline. Hence, your work will be understandable and complete.

• Types of Case Studies

There are several distinct types of case studies , each with its nuances. The choice will depend on the needs of your investigation. We will focus on Illustrative, Exploratory, Cumulative, and Critical Instance studies. Let’s explore each of them one by one.

• Illustrative Case Studies Illustrative case studies are the most common type. They are very descriptive, and the main goal is to help you understand the situation. You are typically given one or two instances of an event. Illustrative case studies answer two questions: What is happening? Why is it happening? The case study is explained in great detail, including location, key players, roles, influence, and involvement. The focus of illustrative case studies is to maintain the reader’s interest. Hence, the language should be understandable, but it should not be oversimplified. It is not preferred to quote more than two instances as the case study might become too complicated.
• Exploratory Case Studies Exploratory case studies are mainly used in Social Sciences. They tend to focus on real-life contexts for situations. They are implemented before a large-scale investigation to help develop the case for more advanced research processes. Exploratory case studies aim to research a specific topic in detail to help you reach a complete understanding of it. You need to identify questions that can later be answered as part of a more extensive examination. Your initial research might reveal very persuasive details. However, it is crucial to remember that concluding before the large-scale investigation is counterproductive.
• Cumulative Case Studies The idea of a cumulative case study is to gather information and details from many data sources to claim a general phenomenon. Cumulative case studies eliminate the need for additional and expensive new studies, which are simply repetitions of the old ones. If you properly analyze all of the case study data that exists, you will realize that everything you are looking for is already there. However, it is essential to look at the existing research from a new perspective to ensure it fits the current challenges and needs.
• Critical Instance Case Studies Critical instance case studies are similar to cumulative but work oppositely. Instead of defining a general phenomenon based on little research, it tries to understand a specific case based on generalized findings. Critical instance case studies help answer cause and effect questions. The adequate specification of your evaluation question is the most crucial part of your analysis.
• Single vs. Multiple Case Study

Your case study can either include a single case or multiple cases . In this section, we will discuss the benefits of both:

• Single Case Study Single case studies are less expensive and do not take as much time. When examining one case, it is easier to put all of your energy into it and get a deeper understanding of the subject. Since the study is more careful, you can look at one thing from many different perspectives. Usually, in a single case study, the case is more critical and unique , and it is possible to focus on a more longitudinal research.
• Multiple Case Study When studying several cases, you can understand the critical similarities and differences among them. If you base your research on many cases, it will be more robust and reliable. Such analysis allows you to form broader research questions. Hence, you can end up with a more convincing theory.

Now, let’s talk about the backbone of every study: the outline!

Case Study Outline

Before writing any paper, you should first prepare an outline. It not only makes your job easier but also enhances the organization of your paper. You should put all of your ideas down and try to understand which order and format will best suit your analysis.

We have tried to simplify the process by preparing a sample outline for your case study analysis. It will help you understand what your paper should include.

• Introduction Firstly, you should introduce your reader to the case, assuming they have no prior knowledge. Describe all the challenges and mention the most important details.
• Answers to the Questions There will probably be some questions about your case. It would be best if you answered all of them in an organized manner. Make sure not to make it too obvious. Answer them in such a way that it seems like a part of your analysis.
• Challenges Though you talk about the challenges in your introduction a little bit, it is essential to go into more detail within the main paragraphs to make sure your readers understand them. It will improve the comprehension of solutions later.
• Solutions Introduce each solution you have devised. Evaluate those based on different theories and mechanisms. All of your propositions need to be solid and well-designed. Your case study evaluation should be informative and engaging.
• Final Statement In this part of your paper, you should state which solution best fits the case according to your broader analysis. You should compare it with the others and explain why you have chosen it.
• Conclusion The conclusion is the last thing you need to write. There is nothing specific that should be included. Make sure that your paper comes to a logical end.
• References Of course, you need to reference all of the theories and practices mentioned in your paper for your analysis to be solid and well-grounded. The style of your references will depend on the format assigned by your instructor.

This is how a typical case study analysis should look like. We mentioned this format for you to imagine the standard thought process that goes into making outlines. First, organize your research and divide it into parts to achieve an exciting and compelling paper. The type of case study analysis with which you are dealing also matters.

Now, here’s how you start writing!

How to Write Case Study Analysis: Important Aspects

In this section, you will find everything you need to kickstart writing your paper. Firstly, we will go through the things you need to have ready before you start. Then, we will show you how to do adequate research. Finally, we will give you a case study checklist to make it easier to complete the tasks throughout your analysis.

Before You Start

It is vital to choose an appropriate case study topic first. It should be exciting and relevant to your area of study. Once you select your topic, you need to choose an applicable case study . There are several criteria that you need to keep in mind in your search of a case study:

• The case study should complement your topic of research For example, if the topic you have chosen is related to marketing, it would be weird if your case study was about banking. However, a case study about how a famous company handles its marketing would be very acceptable.
• The case study should apply to the phenomena that you have chosen to research Make sure that the way the company handles its marketing can be generalized to benefit other companies. It needs to be universally reusable.
• The case study cannot be outdated You need to know that you can apply the outcome of your research to the modern world. Everything needs to be analyzed from the perspective of today.
• Decide whether you need a single or multiple case study You can go through the comparison above once again. Try to understand which one suits your topic best.

Do you already have the topic? Let’s get your researching skills up to date!

Case Study Research

When doing case study research, simply googling something rains down tons of sources full of information. However, most of those sources cannot be trusted, especially when writing an academic paper. The references are the most crucial part of such papers. If they are poor, then your essay has no reliable basis. Hence, you need to look for official sources, such as university websites or scholarly articles. Remember that Wikipedia is not a valid source !

Throughout the process, have your research question in mind. It is easy to get carried away and read every exciting article on the topic. Nonetheless, it would be best to have a specific goal to ensure your research is practical and not wasting your time.

Finally, keep your research up to date! Remember that you are looking for information that applies to the current world and its challenges. You need to look for modern solutions to the given problem.

We are almost there! Let’s make sure you can tick off every item in this checklist !

Checklist for Case Study Analysis

Go through this checklist. It will help you keep your case study research and writing on track.

• Choose the topic.
• Decide whether you are going to do single or multiple case study.
• Identify the type of your case study.
• They are relevant to the topic.
• Their outcome can be generalized to fit other cases within the same area of research.
• They are not outdated.
• Define a clear case study research question.
• Make sure that the sources of your research are credible and up to date.
• Identify the theories and methodologies you are going to use to analyze the case.
• Use more than one point of view to examine the case, and look at it from different perspectives.
• Have a clear outline of what you are going to include in your paper.
• Write and proofread your paper.

Have you completed every item on this list? Congratulations! You are done with your case study analysis!

❓ What is the difference between case study and case analysis?

Case study and case analysis both provide you with a topic and require extensive research. However, a case study must be taken from real life. For example, a student might analyze Coca-Cola’s financial results and come up with brilliant results that can significantly impact the company. If you send this kind of case study analysis to the company, you might even get a reward. Case analysis focuses more on problems and solutions, whereas case studies can include general research and evaluation.

❓ What are the stages of a case study?

There are four main stages of a case study:

• analyzing the case,
• identifying its challenges,
• devising a set of possible solutions or outcomes,
• evaluating those outcomes.

To ensure the success of your analysis, you should go over all of these stages with equal diligence.

❓ What is the purpose of a case study?

The purpose of a case study analysis is to describe a case in detail and identify the main issues with it. Afterwards, these issues need to be analyzed based on appropriate theories from the discipline that you have learned about in class. Finally, you need to recommend a list of actions that should be performed for that case.

❓ What are the qualities of a good case study?

Here are some qualities of a good case study:

• It is written in a formal, academic language with good grammar and coherent structure.
• All of the claims made in the case study have a reasonable basis and can be proven.
• The case study does not overload the readers with unnecessary information. It is clear and to the point.
• The information is passed to the reader in an organized manner. It has flow, and it is easy to keep up with the extensive academic research.
• What is a Case Study Analysis
• Illustrative Case Studies
• Exploratory Case Study Example
• Definition of Cumulative Case Studies
• Definition of Critical Instance Case Studies
• A Comparative Study of Single and Multiple Case Studies
• How to Choose an Applicable Study
• Case Study Checklist

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• Citation Styles

How to write a critical analysis

Unlike the name implies a critical analysis does not necessarily mean that you are only exploring what is wrong with a piece of work. Instead, the purpose of this type of essay is to interact with and understand a text. Here’s what you need to know to create a well-written critical analysis essay.

What is a critical analysis?

A critical analysis examines and evaluates someone else’s work, such as a book, an essay, or an article. It requires two steps: a careful reading of the work and thoughtful analysis of the information presented in the work.

Although this may sound complicated, all you are doing in a critical essay is closely reading an author’s work and providing your opinion on how well the author accomplished their purpose.

Critical analyses are most frequently done in academic settings (such as a class assignment). Writing a critical analysis demonstrates that you are able to read a text and think deeply about it. However, critical thinking skills are vital outside of an educational context as well. You just don’t always have to demonstrate them in essay form.

How to outline and write a critical analysis essay

Writing a critical analysis essay involves two main chunks of work: reading the text you are going to write about and writing an analysis of that text. Both are equally important when writing a critical analysis essay.

Step one: Reading critically

The first step in writing a critical analysis is to carefully study the source you plan to analyze.

If you are writing for a class assignment, your professor may have already given you the topic to analyze in an article, short story, book, or other work. If so, you can focus your note-taking on that topic while reading.

Other times, you may have to develop your own topic to analyze within a piece of work. In this case, you should focus on a few key areas as you read:

• What is the author’s intended purpose for the work?
• What techniques and language does the author use to achieve this purpose?
• How does the author support the thesis?
• Who is the author writing for?
• Is the author effective at achieving the intended purpose?

Once you have carefully examined the source material, then you are ready to begin planning your critical analysis essay.

Step two: Writing the critical analysis essay

Taking time to organize your ideas before you begin writing can shorten the amount of time that you spend working on your critical analysis essay. As an added bonus, the quality of your essay will likely be higher if you have a plan before writing.

Here’s a rough outline of what should be in your essay. Of course, if your instructor gives you a sample essay or outline, refer to the sample first.

• Background Information

Critical Analysis

Here is some additional information on what needs to go into each section:

Background information

In the first paragraph of your essay, include background information on the material that you are critiquing. Include context that helps the reader understand the piece you are analyzing. Be sure to include the title of the piece, the author’s name, and information about when and where it was published.

“Success is counted sweetest” is a poem by Emily Dickinson published in 1864. Dickinson was not widely known as a poet during her lifetime, and this poem is one of the first published while she was alive.

After you have provided background information, state your thesis. The thesis should be your reaction to the work. It also lets your reader know what to expect from the rest of your essay. The points you make in the critical analysis should support the thesis.

Dickinson’s use of metaphor in the poem is unexpected but works well to convey the paradoxical theme that success is most valued by those who never experience success.

The next section should include a summary of the work that you are analyzing. Do not assume that the reader is familiar with the source material. Your summary should show that you understood the text, but it should not include the arguments that you will discuss later in the essay.

Dickinson introduces the theme of success in the first line of the poem. She begins by comparing success to nectar. Then, she uses the extended metaphor of a battle in order to demonstrate that the winner has less understanding of success than the loser.

The next paragraphs will contain your critical analysis. Use as many paragraphs as necessary to support your thesis.

Discuss the areas that you took notes on as you were reading. While a critical analysis should include your opinion, it needs to have evidence from the source material in order to be credible to readers. Be sure to use textual evidence to support your claims, and remember to explain your reasoning.

Dickinson’s comparison of success to nectar seems strange at first. However the first line “success is counted sweetest” brings to mind that this nectar could be bees searching for nectar to make honey. In this first stanza, Dickinson seems to imply that success requires work because bees are usually considered to be hard-working and industrious.

In the next two stanzas, Dickinson expands on the meaning of success. This time she uses the image of a victorious army and a dying man on the vanquished side. Now the idea of success is more than something you value because you have worked hard for it. Dickinson states that the dying man values success even more than the victors because he has given everything and still has not achieved success.

This last section is where you remind the readers of your thesis and make closing remarks to wrap up your essay. Avoid summarizing the main points of your critical analysis unless your essay is so long that readers might have forgotten parts of it.

In “Success is counted sweetest” Dickinson cleverly upends the reader’s usual thoughts about success through her unexpected use of metaphors. The poem may be short, but Dickinson conveys a serious theme in just a few carefully chosen words.

What type of language should be used in a critical analysis essay?

Because critical analysis papers are written in an academic setting, you should use formal language, which means:

• No contractions
• Avoid first-person pronouns (I, we, me)

Do not include phrases such as “in my opinion” or “I think”. In a critical analysis, the reader already assumes that the claims are your opinions.

Your instructor may have specific guidelines for the writing style to use. If the instructor assigns a style guide for the class, be sure to use the guidelines in the style manual in your writing.

Additional t ips for writing a critical analysis essay

To conclude this article, here are some additional tips for writing a critical analysis essay:

• Give yourself plenty of time to read the source material. If you have time, read through the text once to get the gist and a second time to take notes.
• Outlining your essay can help you save time. You don’t have to stick exactly to the outline though. You can change it as needed once you start writing.
• Spend the bulk of your writing time working on your thesis and critical analysis. The introduction and conclusion are important, but these sections cannot make up for a weak thesis or critical analysis.
• Give yourself time between your first draft and your second draft. A day or two away from your essay can make it easier to see what you need to improve.

Frequently Asked Questions about critical analyses

In the introduction of a critical analysis essay, you should give background information on the source that you are analyzing. Be sure to include the author’s name and the title of the work. Your thesis normally goes in the introduction as well.

A critical analysis has four main parts.

• Introduction

The focus of a critical analysis should be on the work being analyzed rather than on you. This means that you should avoid using first person unless your instructor tells you to do otherwise. Most formal academic writing is written in third person.

How many paragraphs your critical analysis should have depends on the assignment and will most likely be determined by your instructor. However, in general, your critical analysis paper should have three to six paragraphs, unless otherwise stated.

Your critical analysis ends with your conclusion. You should restate the thesis and make closing remarks, but avoid summarizing the main points of your critical analysis unless your essay is so long that readers might have forgotten parts of it.

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Home » Case Study – Methods, Examples and Guide

Case Study – Methods, Examples and Guide

Table of Contents

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

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

Types of Case Study

Types and Methods of Case Study are as follows:

Single-Case Study

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

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

Multiple-Case Study

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

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

Exploratory Case Study

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

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

Descriptive Case Study

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

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

Instrumental Case Study

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

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

Case Study Data Collection Methods

Here are some common data collection methods for case studies:

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

Observations

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

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

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

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

How to conduct Case Study Research

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

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

Examples of Case Study

Here are some examples of case study research:

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

Application of Case Study

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

Business and Management

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

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

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

Social Sciences

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

Law and Ethics

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

Purpose of Case Study

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

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

Case studies can also serve other purposes, including:

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

Advantages of Case Study Research

There are several advantages of case study research, including:

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

Limitations of Case Study Research

There are several limitations of case study research, including:

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

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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Methodologic and Data-Analysis Triangulation in Case Studies: A Scoping Review

Margarithe charlotte schlunegger.

1 Department of Health Professions, Applied Research & Development in Nursing, Bern University of Applied Sciences, Bern, Switzerland

2 Faculty of Health, School of Nursing Science, Witten/Herdecke University, Witten, Germany

Maya Zumstein-Shaha

Rebecca palm.

3 Department of Health Care Research, Carl von Ossietzky University Oldenburg, Oldenburg, Germany

Associated Data

Supplemental material, sj-docx-1-wjn-10.1177_01939459241263011 for Methodologic and Data-Analysis Triangulation in Case Studies: A Scoping Review by Margarithe Charlotte Schlunegger, Maya Zumstein-Shaha and Rebecca Palm in Western Journal of Nursing Research

We sought to explore the processes of methodologic and data-analysis triangulation in case studies using the example of research on nurse practitioners in primary health care.

Design and methods:

We conducted a scoping review within Arksey and O’Malley’s methodological framework, considering studies that defined a case study design and used 2 or more data sources, published in English or German before August 2023.

Data sources:

The databases searched were MEDLINE and CINAHL, supplemented with hand searching of relevant nursing journals. We also examined the reference list of all the included studies.

In total, 63 reports were assessed for eligibility. Ultimately, we included 8 articles. Five studies described within-method triangulation, whereas 3 provided information on between/across-method triangulation. No study reported within-method triangulation of 2 or more quantitative data-collection procedures. The data-collection procedures were interviews, observation, documentation/documents, service records, and questionnaires/assessments. The data-analysis triangulation involved various qualitative and quantitative methods of analysis. Details about comparing or contrasting results from different qualitative and mixed-methods data were lacking.

Conclusions:

Various processes for methodologic and data-analysis triangulation are described in this scoping review but lack detail, thus hampering standardization in case study research, potentially affecting research traceability. Triangulation is complicated by terminological confusion. To advance case study research in nursing, authors should reflect critically on the processes of triangulation and employ existing tools, like a protocol or mixed-methods matrix, for transparent reporting. The only existing reporting guideline should be complemented with directions on methodologic and data-analysis triangulation.

Case study research is defined as “an empirical method that investigates a contemporary phenomenon (the ‘case’) in depth and within its real-world context, especially when the boundaries between phenomenon and context may not be clearly evident. A case study relies on multiple sources of evidence, with data needing to converge in a triangulating fashion.” 1 (p15) This design is described as a stand-alone research approach equivalent to grounded theory and can entail single and multiple cases. 1 , 2 However, case study research should not be confused with single clinical case reports. “Case reports are familiar ways of sharing events of intervening with single patients with previously unreported features.” 3 (p107) As a methodology, case study research encompasses substantially more complexity than a typical clinical case report. 1 , 3

A particular characteristic of case study research is the use of various data sources, such as quantitative data originating from questionnaires as well as qualitative data emerging from interviews, observations, or documents. Therefore, a case study always draws on multiple sources of evidence, and the data must converge in a triangulating manner. 1 When using multiple data sources, a case or cases can be examined more convincingly and accurately, compensating for the weaknesses of the respective data sources. 1 Another characteristic is the interaction of various perspectives. This involves comparing or contrasting perspectives of people with different points of view, eg, patients, staff, or leaders. 4 Through triangulation, case studies contribute to the completeness of the research on complex topics, such as role implementation in clinical practice. 1 , 5 Triangulation involves a combination of researchers from various disciplines, of theories, of methods, and/or of data sources. By creating connections between these sources (ie, investigator, theories, methods, data sources, and/or data analysis), a new understanding of the phenomenon under study can be obtained. 6 , 7

This scoping review focuses on methodologic and data-analysis triangulation because concrete procedures are missing, eg, in reporting guidelines. Methodologic triangulation has been called methods, mixed methods, or multimethods. 6 It can encompass within-method triangulation and between/across-method triangulation. 7 “Researchers using within-method triangulation use at least 2 data-collection procedures from the same design approach.” 6 (p254) Within-method triangulation is either qualitative or quantitative but not both. Therefore, within-method triangulation can also be considered data source triangulation. 8 In contrast, “researchers using between/across-method triangulation employ both qualitative and quantitative data-collection methods in the same study.” 6 (p254) Hence, methodologic approaches are combined as well as various data sources. For this scoping review, the term “methodologic triangulation” is maintained to denote between/across-method triangulation. “Data-analysis triangulation is the combination of 2 or more methods of analyzing data.” 6 (p254)

Although much has been published on case studies, there is little consensus on the quality of the various data sources, the most appropriate methods, or the procedures for conducting methodologic and data-analysis triangulation. 5 According to the EQUATOR (Enhancing the QUAlity and Transparency Of health Research) clearinghouse for reporting guidelines, one standard exists for organizational case studies. 9 Organizational case studies provide insights into organizational change in health care services. 9 Rodgers et al 9 pointed out that, although high-quality studies are being funded and published, they are sometimes poorly articulated and methodologically inadequate. In the reporting checklist by Rodgers et al, 9 a description of the data collection is included, but reporting directions on methodologic and data-analysis triangulation are missing. Therefore, the purpose of this study was to examine the process of methodologic and data-analysis triangulation in case studies. Accordingly, we conducted a scoping review to elicit descriptions of and directions for triangulation methods and analysis, drawing on case studies of nurse practitioners (NPs) in primary health care as an example. Case studies are recommended to evaluate the implementation of new roles in (primary) health care, such as that of NPs. 1 , 5 Case studies on new role implementation can generate a unique and in-depth understanding of specific roles (individual), teams (smaller groups), family practices or similar institutions (organization), and social and political processes in health care systems. 1 , 10 The integration of NPs into health care systems is at different stages of progress around the world. 11 Therefore, studies are needed to evaluate this process.

The methodological framework by Arksey and O’Malley 12 guided this scoping review. We examined the current scientific literature on the use of methodologic and data-analysis triangulation in case studies on NPs in primary health care. The review process included the following stages: (1) establishing the research question; (2) identifying relevant studies; (3) selecting the studies for inclusion; (4) charting the data; (5) collating, summarizing, and reporting the results; and (6) consulting experts in the field. 12 Stage 6 was not performed due to a lack of financial resources. The reporting of the review followed the PRISMA-ScR (Preferred Reporting Items for Systematic Reviews and Meta-Analyses extension for Scoping Review) guideline by Tricco et al 13 (guidelines for reporting systematic reviews and meta-analyses [ Supplementary Table A ]). Scoping reviews are not eligible for registration in PROSPERO.

Stage 1: Establishing the Research Question

The aim of this scoping review was to examine the process of triangulating methods and analysis in case studies on NPs in primary health care to improve the reporting. We sought to answer the following question: How have methodologic and data-analysis triangulation been conducted in case studies on NPs in primary health care? To answer the research question, we examined the following elements of the selected studies: the research question, the study design, the case definition, the selected data sources, and the methodologic and data-analysis triangulation.

Stage 2: Identifying Relevant Studies

A systematic database search was performed in the MEDLINE (via PubMed) and CINAHL (via EBSCO) databases between July and September 2020 to identify relevant articles. The following terms were used as keyword search strategies: (“Advanced Practice Nursing” OR “nurse practitioners”) AND (“primary health care” OR “Primary Care Nursing”) AND (“case study” OR “case studies”). Searches were limited to English- and German-language articles. Hand searches were conducted in the journals Nursing Inquiry , BMJ Open , and BioMed Central ( BMC ). We also screened the reference lists of the studies included. The database search was updated in August 2023. The complete search strategy for all the databases is presented in Supplementary Table B .

Stage 3: Selecting the Studies

Inclusion and exclusion criteria.

We used the inclusion and exclusion criteria reported in Table 1 . We included studies of NPs who had at least a master’s degree in nursing according to the definition of the International Council of Nurses. 14 This scoping review considered studies that were conducted in primary health care practices in rural, urban, and suburban regions. We excluded reviews and study protocols in which no data collection had occurred. Articles were included without limitations on the time period or country of origin.

Inclusion and Exclusion Criteria.

Screening process

After the search, we collated and uploaded all the identified records into EndNote v.X8 (Clarivate Analytics, Philadelphia, Pennsylvania) and removed any duplicates. Two independent reviewers (MCS and SA) screened the titles and abstracts for assessment in line with the inclusion criteria. They retrieved and assessed the full texts of the selected studies while applying the inclusion criteria. Any disagreements about the eligibility of studies were resolved by discussion or, if no consensus could be reached, by involving experienced researchers (MZ-S and RP).

Stages 4 and 5: Charting the Data and Collating, Summarizing, and Reporting the Results

The first reviewer (MCS) extracted data from the selected publications. For this purpose, an extraction tool developed by the authors was used. This tool comprised the following criteria: author(s), year of publication, country, research question, design, case definition, data sources, and methodologic and data-analysis triangulation. First, we extracted and summarized information about the case study design. Second, we narratively summarized the way in which the data and methodological triangulation were described. Finally, we summarized the information on within-case or cross-case analysis. This process was performed using Microsoft Excel. One reviewer (MCS) extracted data, whereas another reviewer (SA) cross-checked the data extraction, making suggestions for additions or edits. Any disagreements between the reviewers were resolved through discussion.

A total of 149 records were identified in 2 databases. We removed 20 duplicates and screened 129 reports by title and abstract. A total of 46 reports were assessed for eligibility. Through hand searches, we identified 117 additional records. Of these, we excluded 98 reports after title and abstract screening. A total of 17 reports were assessed for eligibility. From the 2 databases and the hand search, 63 reports were assessed for eligibility. Ultimately, we included 8 articles for data extraction. No further articles were included after the reference list screening of the included studies. A PRISMA flow diagram of the study selection and inclusion process is presented in Figure 1 . As shown in Tables 2 and ​ and3, 3 , the articles included in this scoping review were published between 2010 and 2022 in Canada (n = 3), the United States (n = 2), Australia (n = 2), and Scotland (n = 1).

PRISMA flow diagram.

Characteristics of Articles Included.

Overview of Within-Method, Between/Across-Method, and Data-Analysis Triangulation.

Research Question, Case Definition, and Case Study Design

The following sections describe the research question, case definition, and case study design. Case studies are most appropriate when asking “how” or “why” questions. 1 According to Yin, 1 how and why questions are explanatory and lead to the use of case studies, histories, and experiments as the preferred research methods. In 1 study from Canada, eg, the following research question was presented: “How and why did stakeholders participate in the system change process that led to the introduction of the first nurse practitioner-led Clinic in Ontario?” (p7) 19 Once the research question has been formulated, the case should be defined and, subsequently, the case study design chosen. 1 In typical case studies with mixed methods, the 2 types of data are gathered concurrently in a convergent design and the results merged to examine a case and/or compare multiple cases. 10

Research question

“How” or “why” questions were found in 4 studies. 16 , 17 , 19 , 22 Two studies additionally asked “what” questions. Three studies described an exploratory approach, and 1 study presented an explanatory approach. Of these 4 studies, 3 studies chose a qualitative approach 17 , 19 , 22 and 1 opted for mixed methods with a convergent design. 16

In the remaining studies, either the research questions were not clearly stated or no “how” or “why” questions were formulated. For example, “what” questions were found in 1 study. 21 No information was provided on exploratory, descriptive, and explanatory approaches. Schadewaldt et al 21 chose mixed methods with a convergent design.

Case definition and case study design

A total of 5 studies defined the case as an organizational unit. 17 , 18 - 20 , 22 Of the 8 articles, 4 reported multiple-case studies. 16 , 17 , 22 , 23 Another 2 publications involved single-case studies. 19 , 20 Moreover, 2 publications did not state the case study design explicitly.

Within-Method Triangulation

This section describes within-method triangulation, which involves employing at least 2 data-collection procedures within the same design approach. 6 , 7 This can also be called data source triangulation. 8 Next, we present the single data-collection procedures in detail. In 5 studies, information on within-method triangulation was found. 15 , 17 - 19 , 22 Studies describing a quantitative approach and the triangulation of 2 or more quantitative data-collection procedures could not be included in this scoping review.

Qualitative approach

Five studies used qualitative data-collection procedures. Two studies combined face-to-face interviews and documents. 15 , 19 One study mixed in-depth interviews with observations, 18 and 1 study combined face-to-face interviews and documentation. 22 One study contained face-to-face interviews, observations, and documentation. 17 The combination of different qualitative data-collection procedures was used to present the case context in an authentic and complex way, to elicit the perspectives of the participants, and to obtain a holistic description and explanation of the cases under study.

All 5 studies used qualitative interviews as the primary data-collection procedure. 15 , 17 - 19 , 22 Face-to-face, in-depth, and semi-structured interviews were conducted. The topics covered in the interviews included processes in the introduction of new care services and experiences of barriers and facilitators to collaborative work in general practices. Two studies did not specify the type of interviews conducted and did not report sample questions. 15 , 18

Observations

In 2 studies, qualitative observations were carried out. 17 , 18 During the observations, the physical design of the clinical patients’ rooms and office spaces was examined. 17 Hungerford et al 18 did not explain what information was collected during the observations. In both studies, the type of observation was not specified. Observations were generally recorded as field notes.

Public documents

In 3 studies, various qualitative public documents were studied. 15 , 19 , 22 These documents included role description, education curriculum, governance frameworks, websites, and newspapers with information about the implementation of the role and general practice. Only 1 study failed to specify the type of document and the collected data. 15

Electronic health records

In 1 study, qualitative documentation was investigated. 17 This included a review of dashboards (eg, provider productivity reports or provider quality dashboards in the electronic health record) and quality performance reports (eg, practice-wide or co-management team-wide performance reports).

Between/Across-Method Triangulation

This section describes the between/across methods, which involve employing both qualitative and quantitative data-collection procedures in the same study. 6 , 7 This procedure can also be denoted “methodologic triangulation.” 8 Subsequently, we present the individual data-collection procedures. In 3 studies, information on between/across triangulation was found. 16 , 20 , 21

Mixed methods

Three studies used qualitative and quantitative data-collection procedures. One study combined face-to-face interviews, documentation, and self-assessments. 16 One study employed semi-structured interviews, direct observation, documents, and service records, 20 and another study combined face-to-face interviews, non-participant observation, documents, and questionnaires. 23

All 3 studies used qualitative interviews as the primary data-collection procedure. 16 , 20 , 23 Face-to-face and semi-structured interviews were conducted. In the interviews, data were collected on the introduction of new care services and experiences of barriers to and facilitators of collaborative work in general practices.

Observation

In 2 studies, direct and non-participant qualitative observations were conducted. 20 , 23 During the observations, the interaction between health professionals or the organization and the clinical context was observed. Observations were generally recorded as field notes.

In 2 studies, various qualitative public documents were examined. 20 , 23 These documents included role description, newspapers, websites, and practice documents (eg, flyers). In the documents, information on the role implementation and role description of NPs was collected.

Individual journals

In 1 study, qualitative individual journals were studied. 16 These included reflective journals from NPs, who performed the role in primary health care.

Service records

Only 1 study involved quantitative service records. 20 These service records were obtained from the primary care practices and the respective health authorities. They were collected before and after the implementation of an NP role to identify changes in patients’ access to health care, the volume of patients served, and patients’ use of acute care services.

Questionnaires/Assessment

In 2 studies, quantitative questionnaires were used to gather information about the teams’ satisfaction with collaboration. 16 , 21 In 1 study, 3 validated scales were used. The scales measured experience, satisfaction, and belief in the benefits of collaboration. 21 Psychometric performance indicators of these scales were provided. However, the time points of data collection were not specified; similarly, whether the questionnaires were completed online or by hand was not mentioned. A competency self-assessment tool was used in another study. 16 The assessment comprised 70 items and included topics such as health promotion, protection, disease prevention and treatment, the NP-patient relationship, the teaching-coaching function, the professional role, managing and negotiating health care delivery systems, monitoring and ensuring the quality of health care practice, and cultural competence. Psychometric performance indicators were provided. The assessment was completed online with 2 measurement time points (pre self-assessment and post self-assessment).

Data-Analysis Triangulation

This section describes data-analysis triangulation, which involves the combination of 2 or more methods of analyzing data. 6 Subsequently, we present within-case analysis and cross-case analysis.

Mixed-methods analysis

Three studies combined qualitative and quantitative methods of analysis. 16 , 20 , 21 Two studies involved deductive and inductive qualitative analysis, and qualitative data were analyzed thematically. 20 , 21 One used deductive qualitative analysis. 16 The method of analysis was not specified in the studies. Quantitative data were analyzed using descriptive statistics in 3 studies. 16 , 20 , 23 The descriptive statistics comprised the calculation of the mean, median, and frequencies.

Qualitative methods of analysis

Two studies combined deductive and inductive qualitative analysis, 19 , 22 and 2 studies only used deductive qualitative analysis. 15 , 18 Qualitative data were analyzed thematically in 1 study, 22 and data were treated with content analysis in the other. 19 The method of analysis was not specified in the 2 studies.

Within-case analysis

In 7 studies, a within-case analysis was performed. 15 - 20 , 22 Six studies used qualitative data for the within-case analysis, and 1 study employed qualitative and quantitative data. Data were analyzed separately, consecutively, or in parallel. The themes generated from qualitative data were compared and then summarized. The individual cases were presented mostly as a narrative description. Quantitative data were integrated into the qualitative description with tables and graphs. Qualitative and quantitative data were also presented as a narrative description.

Cross-case analyses

Of the multiple-case studies, 5 carried out cross-case analyses. 15 - 17 , 20 , 22 Three studies described the cross-case analysis using qualitative data. Two studies reported a combination of qualitative and quantitative data for the cross-case analysis. In each multiple-case study, the individual cases were contrasted to identify the differences and similarities between the cases. One study did not specify whether a within-case or a cross-case analysis was conducted. 23

Confirmation or contradiction of data

This section describes confirmation or contradiction through qualitative and quantitative data. 1 , 4 Qualitative and quantitative data were reported separately, with little connection between them. As a result, the conclusions on neither the comparisons nor the contradictions could be clearly determined.

Confirmation or contradiction among qualitative data

In 3 studies, the consistency of the results of different types of qualitative data was highlighted. 16 , 19 , 21 In particular, documentation and interviews or interviews and observations were contrasted:

• Confirmation between interviews and documentation: The data from these sources corroborated the existence of a common vision for an NP-led clinic. 19
• Confirmation among interviews and observation: NPs experienced pressure to find and maintain their position within the existing system. Nurse practitioners and general practitioners performed complete episodes of care, each without collaborative interaction. 21
• Contradiction among interviews and documentation: For example, interviewees mentioned that differentiating the scope of practice between NPs and physicians is difficult as there are too many areas of overlap. However, a clear description of the scope of practice for the 2 roles was provided. 21

Confirmation through a combination of qualitative and quantitative data

Both types of data showed that NPs and general practitioners wanted to have more time in common to discuss patient cases and engage in personal exchanges. 21 In addition, the qualitative and quantitative data confirmed the individual progression of NPs from less competent to more competent. 16 One study pointed out that qualitative and quantitative data obtained similar results for the cases. 20 For example, integrating NPs improved patient access by increasing appointment availability.

Contradiction through a combination of qualitative and quantitative data

Although questionnaire results indicated that NPs and general practitioners experienced high levels of collaboration and satisfaction with the collaborative relationship, the qualitative results drew a more ambivalent picture of NPs’ and general practitioners’ experiences with collaboration. 21

Research Question and Design

The studies included in this scoping review evidenced various research questions. The recommended formats (ie, how or why questions) were not applied consistently. Therefore, no case study design should be applied because the research question is the major guide for determining the research design. 2 Furthermore, case definitions and designs were applied variably. The lack of standardization is reflected in differences in the reporting of these case studies. Generally, case study research is viewed as allowing much more freedom and flexibility. 5 , 24 However, this flexibility and the lack of uniform specifications lead to confusion.

Methodologic Triangulation

Methodologic triangulation, as described in the literature, can be somewhat confusing as it can refer to either data-collection methods or research designs. 6 , 8 For example, methodologic triangulation can allude to qualitative and quantitative methods, indicating a paradigmatic connection. Methodologic triangulation can also point to qualitative and quantitative data-collection methods, analysis, and interpretation without specific philosophical stances. 6 , 8 Regarding “data-collection methods with no philosophical stances,” we would recommend using the wording “data source triangulation” instead. Thus, the demarcation between the method and the data-collection procedures will be clearer.

Within-Method and Between/Across-Method Triangulation

Yin 1 advocated the use of multiple sources of evidence so that a case or cases can be investigated more comprehensively and accurately. Most studies included multiple data-collection procedures. Five studies employed a variety of qualitative data-collection procedures, and 3 studies used qualitative and quantitative data-collection procedures (mixed methods). In contrast, no study contained 2 or more quantitative data-collection procedures. In particular, quantitative data-collection procedures—such as validated, reliable questionnaires, scales, or assessments—were not used exhaustively. The prerequisites for using multiple data-collection procedures are availability, the knowledge and skill of the researcher, and sufficient financial funds. 1 To meet these prerequisites, research teams consisting of members with different levels of training and experience are necessary. Multidisciplinary research teams need to be aware of the strengths and weaknesses of different data sources and collection procedures. 1

Qualitative methods of analysis and results

When using multiple data sources and analysis methods, it is necessary to present the results in a coherent manner. Although the importance of multiple data sources and analysis has been emphasized, 1 , 5 the description of triangulation has tended to be brief. Thus, traceability of the research process is not always ensured. The sparse description of the data-analysis triangulation procedure may be due to the limited number of words in publications or the complexity involved in merging the different data sources.

Only a few concrete recommendations regarding the operationalization of the data-analysis triangulation with the qualitative data process were found. 25 A total of 3 approaches have been proposed 25 : (1) the intuitive approach, in which researchers intuitively connect information from different data sources; (2) the procedural approach, in which each comparative or contrasting step in triangulation is documented to ensure transparency and replicability; and (3) the intersubjective approach, which necessitates a group of researchers agreeing on the steps in the triangulation process. For each case study, one of these 3 approaches needs to be selected, carefully carried out, and documented. Thus, in-depth examination of the data can take place. Farmer et al 25 concluded that most researchers take the intuitive approach; therefore, triangulation is not clearly articulated. This trend is also evident in our scoping review.

Mixed-methods analysis and results

Few studies in this scoping review used a combination of qualitative and quantitative analysis. However, creating a comprehensive stand-alone picture of a case from both qualitative and quantitative methods is challenging. Findings derived from different data types may not automatically coalesce into a coherent whole. 4 O’Cathain et al 26 described 3 techniques for combining the results of qualitative and quantitative methods: (1) developing a triangulation protocol; (2) following a thread by selecting a theme from 1 component and following it across the other components; and (3) developing a mixed-methods matrix.

The most detailed description of the conducting of triangulation is the triangulation protocol. The triangulation protocol takes place at the interpretation stage of the research process. 26 This protocol was developed for multiple qualitative data but can also be applied to a combination of qualitative and quantitative data. 25 , 26 It is possible to determine agreement, partial agreement, “silence,” or dissonance between the results of qualitative and quantitative data. The protocol is intended to bring together the various themes from the qualitative and quantitative results and identify overarching meta-themes. 25 , 26

The “following a thread” technique is used in the analysis stage of the research process. To begin, each data source is analyzed to identify the most important themes that need further investigation. Subsequently, the research team selects 1 theme from 1 data source and follows it up in the other data source, thereby creating a thread. The individual steps of this technique are not specified. 26 , 27

A mixed-methods matrix is used at the end of the analysis. 26 All the data collected on a defined case are examined together in 1 large matrix, paying attention to cases rather than variables or themes. In a mixed-methods matrix (eg, a table), the rows represent the cases for which both qualitative and quantitative data exist. The columns show the findings for each case. This technique allows the research team to look for congruency, surprises, and paradoxes among the findings as well as patterns across multiple cases. In our review, we identified only one of these 3 approaches in the study by Roots and MacDonald. 20 These authors mentioned that a causal network analysis was performed using a matrix. However, no further details were given, and reference was made to a later publication. We could not find this publication.

Case Studies in Nursing Research and Recommendations

Because it focused on the implementation of NPs in primary health care, the setting of this scoping review was narrow. However, triangulation is essential for research in this area. This type of research was found to provide a good basis for understanding methodologic and data-analysis triangulation. Despite the lack of traceability in the description of the data and methodological triangulation, we believe that case studies are an appropriate design for exploring new nursing roles in existing health care systems. This is evidenced by the fact that case study research is widely used in many social science disciplines as well as in professional practice. 1 To strengthen this research method and increase the traceability in the research process, we recommend using the reporting guideline and reporting checklist by Rodgers et al. 9 This reporting checklist needs to be complemented with methodologic and data-analysis triangulation. A procedural approach needs to be followed in which each comparative step of the triangulation is documented. 25 A triangulation protocol or a mixed-methods matrix can be used for this purpose. 26 If there is a word limit in a publication, the triangulation protocol or mixed-methods matrix needs to be identified. A schematic representation of methodologic and data-analysis triangulation in case studies can be found in Figure 2 .

Schematic representation of methodologic and data-analysis triangulation in case studies (own work).

Limitations

This study suffered from several limitations that must be acknowledged. Given the nature of scoping reviews, we did not analyze the evidence reported in the studies. However, 2 reviewers independently reviewed all the full-text reports with respect to the inclusion criteria. The focus on the primary care setting with NPs (master’s degree) was very narrow, and only a few studies qualified. Thus, possible important methodological aspects that would have contributed to answering the questions were omitted. Studies describing the triangulation of 2 or more quantitative data-collection procedures could not be included in this scoping review due to the inclusion and exclusion criteria.

Conclusions

Given the various processes described for methodologic and data-analysis triangulation, we can conclude that triangulation in case studies is poorly standardized. Consequently, the traceability of the research process is not always given. Triangulation is complicated by the confusion of terminology. To advance case study research in nursing, we encourage authors to reflect critically on methodologic and data-analysis triangulation and use existing tools, such as the triangulation protocol or mixed-methods matrix and the reporting guideline checklist by Rodgers et al, 9 to ensure more transparent reporting.

Supplemental Material

Acknowledgments.

The authors thank Simona Aeschlimann for her support during the screening process.

The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.

Funding: The author(s) received no financial support for the research, authorship, and/or publication of this article.

Supplemental Material: Supplemental material for this article is available online.

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• Open access
• Published: 31 August 2024

Spatial analysis of the impact of urban built environment on cardiovascular diseases: a case study in Xixiangtang, China

• Shuguang Deng 1 ,
• Jinlong Liang 1 ,
• Ying Peng 2 ,
• Wei Liu 3 ,
• Jinhong Su 1 &
• Shuyan Zhu 1  

BMC Public Health volume  24 , Article number:  2368 ( 2024 ) Cite this article

Metrics details

The built environment, as a critical factor influencing residents' cardiovascular health, has a significant potential impact on the incidence of cardiovascular diseases (CVDs).

Taking Xixiangtang District in Nanning City, Guangxi Zhuang Autonomous Region of China as a case study, we utilized the geographic location information of CVD patients, detailed road network data, and urban points of interest (POI) data. Kernel density estimation (KDE) and spatial autocorrelation analysis were specifically employed to identify the spatial distribution patterns, spatial clustering, and spatial correlations of built environment elements and diseases. The GeoDetector method (GDM) was used to assess the impact of environmental factors on diseases, and geographically weighted regression (GWR) analysis was adopted to reveal the spatial heterogeneity effect of environmental factors on CVD risk.

The results indicate that the built environment elements and CVDs samples exhibit significant clustering characteristics in their spatial distribution, with a positive correlation between the distribution density of environmental elements and the incidence of CVDs (Moran’s I > 0, p  < 0.01). Further factor detection revealed that the distribution of healthcare facilities had the most significant impact on CVDs ( q  = 0.532, p  < 0.01), followed by shopping and consumption ( q  = 0.493, p  < 0.01), dining ( q  = 0.433, p  < 0.01), and transportation facilities ( q  = 0.423, p  < 0.01), while the impact of parks and squares ( q  = 0.174, p  < 0.01) and road networks ( q  = 0.159, p  < 0.01) was relatively smaller. Additionally, the interaction between different built environment elements exhibited a bi-factor enhancement effect on CVDs. In the local analysis, the spatial heterogeneity of different built environment elements on CVDs further revealed the regional differences and complexities.

Conclusions

The spatial distribution of built environment elements is significantly correlated with CVDs to varying degrees and impacts differently across regions, underscoring the importance of the built environment on cardiovascular health. When planning and improving urban environments, elements and areas that have a more significant impact on CVDs should be given priority consideration.

Peer Review reports

Cardiovascular diseases (CVDs) have become one of the most common lethal diseases worldwide, with both the number of affected individuals and the mortality rate continuously rising over the past two decades. Statistical data reveal that from 1990 to 2019, the number of individuals with CVDs globally increased from 271 to 523 million, while deaths climbed from 12.1 million to 18.6 million, accounting for approximately one-third of the total annual global deaths [ 1 ]. The severity of CVDs poses not only a global health challenge but also exerts immense pressure on the healthcare system and the economy [ 2 ]. According to the World Heart Federation, global medical costs for CVDs are projected to rise from approximately 863 billion US dollars in 2010 to 1044 billion US dollars by 2030 [ 3 ]. Thus, it is particularly important to deeply explore the mechanisms that influence CVDs and to develop effective and sustainable strategies to reduce risk and prevent these diseases.

The urban built environment refers to the comprehensive physical structure and man-made surroundings of an urban area, including buildings, transportation systems, infrastructure, land use planning, and elements of natural and artificial spaces [ 4 ]. Numerous studies have focused on the close connection between the built environment and human health, particularly with respect to cardiovascular health. Research indicates that the impact of the built environment on cardiovascular health is a process network structure with various influencing factors, including but not limited to factors contributing to CVDs such as obesity, diabetes, high blood pressure [ 5 , 6 , 7 , 8 , 9 , 10 ], environmental issues like traffic noise and air pollution [ 11 , 12 ], as well as aspects of physical exercise, psychological stress, and lifestyle [ 13 , 14 , 15 , 16 , 17 ], all of which collectively affect the pathogenesis of CVDs [ 18 , 19 , 20 ]. Studies show that optimizing urban design, such as rational land allocation and planning street layouts, can guide people to access more life services, cultivate proactive attitudes and healthy bodies, thereby reducing the risk of CVDs [ 21 , 22 ]. Urban spatially compact development models can encourage physical activity, reducing the risk of cardiovascular and metabolic issues [ 23 ]. In contrast, long commutes and high traffic density may lead to chronic stress and lack of exercise, increasing the risk of obesity and hypertension. Conversely, appropriate intersection density, land-use diversity, destination convenience, and accessibility might encourage walking, improve health, and reduce the risk of obesity, diabetes, hypertension, and dyslipidemia, which are cardiovascular-related problems [ 24 , 25 , 26 ]. The density and accessibility of supermarkets have a direct impact on the dietary habits of community residents, wherein excessive density may increase the risk of obesity and diabetes and correlate with blood pressure levels [ 27 ]. Urban green spaces and outdoor recreational areas have a positive effect on cardiovascular health; green spaces not only offer places for exercise and relaxation but also help alleviate stress, improve mental states, and enhance air quality, thus mitigating the harm caused by air pollution and protecting cardiac and vascular health [ 28 ]. Research also indicates that individuals residing in areas with high greenery rates are more likely to enjoy opportunities that promote physical activity, mental health, and healthy lifestyles, thereby minimizing CVD risks [ 29 , 30 ]. In summary, scientific and rational urban planning, such as diversified land use, appropriate building density, good street connectivity, convenient destinations, short-distance commuting, and beautiful environments, are key factors in promoting overall health and preventing CVDs.

Although numerous studies have focused on exploring the relationship between the built environment and CVDs, the specific mechanisms underlying this relationship remain unclear. This knowledge gap is mainly due to the complexity of the built environment itself and the multifactorial pathogenesis of CVDs. Current research mostly concentrates on individual aspects of the built environment, such as noise, air pollution, green spaces, and transportation [ 31 ], lacking consideration for the overall complexity of the built environment. Many elements of the built environment are interactive; for instance, pedestrian-friendly urban design may enhance physical activity and social interaction, yet it could also be counteracted by air and noise pollution caused by urban traffic [ 32 ]. Therefore, the same element of the built environment might have different effects in different contexts, adding complexity to the study of the built environment. Furthermore, while existing research has exhibited considerable depth and breadth in exploring the complex and dynamic relationship between the built environment and CVDs, many areas still require further improvement and deepening. Traditional linear correlation analyses, such as OLS and logistic regression models, have been widely used to assess the significance level between built environment characteristics and CVDs mortality rates, and to investigate factors such as intersection density, slope, greening, and commercial density [ 33 , 34 ]. However, these methods fall short in addressing the complexity and non-linear characteristics of spatial data.

Therefore, from a geographical perspective, it is particularly important to adopt more appropriate methods to capture the non-stationarity and heterogeneity of spatial data and to explore the spatial correlation characteristics between the built environment and CVDs. However, current research utilizing spatial models has mainly focused on macro-level perspectives, such as national or provincial levels. For example, ŞENER et al. employed spatial autocorrelation models and hot spot analysis models to assess the spatiotemporal variation characteristics of CVD mortality across multiple provincial administrative regions [ 35 ]. Baptista et al. analyzed the impact of factors such as per capita GDP, urbanization rate, education, and cigarette consumption on the growth trends of CVD incidence using spatial lag and spatial error models across different countries or regions [ 36 ]. Eun et al. used Bayesian spatial multilevel models to measure built environment variables in 546 administrative districts of Gyeonggi Province, South Korea, and evaluated the impact of the built environment on CVDs [ 37 ]. While these studies have, to some extent, revealed the spatial distribution characteristics of CVDs and their spatial relationships with environmental features, the scope of these studies is often large, and they tend to overlook the heterogeneity at the micro-level within cities and its specific impact on residents' health. As a result, it is challenging to accurately capture the differential effects of the built environment on CVD incidence across different areas within a city, and many critical environmental factors at the micro-geographical scale, which are directly related to the daily lives and health of residents, may be obscured.

Given this, we focus on Xixiangtang District in Nanning City, China, and construct a research framework centered on multi-source data, including the distribution of CVDs, road networks, and urban POI data. By employing KDE to reveal hotspot areas, spatial autocorrelation analysis to explore spatial dependence, the GDM to dissect key factors, and GWR to capture the spatial heterogeneity effects, we deeply analyze the complex mechanisms by which the urban built environment influences the incidence of CVDs. Our study aims to answer: Is there a significant spatial association between urban built environment elements and the incidence rate of CVDs? To what extent do different built environment elements impact CVDs? And, what are the regional differences in the impact of built environment elements on CVDs in different areas?

This study focuses on Xixiangtang District in Nanning City (Fig.  1 ), an important administrative district located in the northwest of Nanning City, covering an area of approximately 1,276 square kilometers with a permanent population of over one million. As an exemplary early-developed area of Nanning City, the built environment of Xixiangtang not only carries a rich historical and cultural heritage but also witnesses the transformation from a traditional old town to a modern emerging area, forming a unique urban–rural transitional zone. However, with the acceleration of urbanization, Xixiangtang District also faces numerous environmental challenges, such as declining air quality, congested traffic networks, increasing noise pollution, and continuously rising population density, all of which may pose potential threats to residents' cardiovascular health. Therefore, choosing the built environment of Xixiangtang as the core area of this study is not only due to its representativeness but also because the issues faced by this area are of profound practical significance for exploring the health impacts of urbanization and formulating effective environmental improvement strategies.

Location of study area

The CVD case data is sourced from the cardiovascular department's medical records at Guangxi National Hospital. Located in the southeastern core area of Xixiangtang District, near metro stations and densely populated areas, the hospital's superior geographical location and convenient transportation conditions greatly facilitate patient visits, especially for those seeking high-level cardiovascular medical services. Although spatial distance is an important consideration for patients when choosing a medical facility, our study on the spatial distribution patterns of CVDs also takes into account various influencing factors, including socioeconomic status, environmental factors, patient health conditions, and healthcare-seeking behaviors, ensuring the depth and accuracy of the results. Additionally, Guangxi National Hospital is one of the few top-tier (tertiary A) comprehensive hospitals in Xixiangtang District, with its cardiovascular department being a key specialty. The department's outstanding reputation and wide influence, combined with its advantages in equipment, technology, and healthcare costs compared to other non-specialized cardiovascular departments in the region, make it particularly attractive to patients in Xixiangtang, thus rendering the data relatively representative. To ensure the fairness of our study results, we have implemented multiple verification measures, including comprehensive data collection, independent evaluation of medical standards, rigorous statistical analysis, and consideration of healthcare costs.

With authorization from Guangxi National Hospital, we obtained and analyzed the cardiovascular department's data records. Our study adheres to ethical principles and does not involve any operations that have a substantial impact on patients. The cardiovascular data records include basic patient information (such as age, gender, address, etc.), diagnostic information (disease type, diagnosis date, etc.), and treatment records. We focused on CVD patients diagnosed between January 1, 2020, and December 31, 2022. Through systematic screening and organization, we constructed a database of CVD patients during this period. During the data processing procedure, we implemented a rigorous data cleaning process, identifying and excluding incomplete, duplicate, or abnormal data records. This included checking for missing data, logical errors (such as extremely large or small ages), and consistency in diagnostic codes, ensuring the quality and reliability of the data. After data cleaning, we selected 3,472 valid samples, which are representative in terms of disease types, patient characteristics, and geographic distribution. Considering the study involves geographic location analysis, we used a text-to-coordinate tool developed based on the Amap (Gaode) API to convert patient address information into precise geographic coordinates. Finally, using ArcGIS 10.8 software, we visualized the processed case data on a map.

As a multidimensional and comprehensive conceptual framework, the built environment encompasses a vast and intricate system of elements. Given the accessibility, completeness of data, and the robust foundation in current research domains, we have centered our in-depth analysis on two core components: the urban road system and urban POIs. Road data is primarily sourced from OpenStreetMap (OSM) and processed using ArcGIS 10.8 to filter and handle incomplete records. We ultimately selected five types of roads for analysis: highways, expressways, arterial roads, secondary roads, and local roads [ 38 ]. Urban POI data was selected based on existing research and obtained through Amap. Amap is a leading map service provider in China, known for its vast user data, precise geocoding system, and advanced intelligent analysis technology, which accurately captures and presents the spatial distribution and attribute characteristics of various urban facilities. We used Amap's API interface and offline map data package to obtain the coordinates and basic attributes of POIs in the study area, including six key environment elements: dining [ 39 ], parks [ 40 ], transportation [ 20 ], shopping [ 41 ], sports [ 42 ], and healthcare [ 43 ] (Table  1 ). These elements significantly reflect the distribution status of the urban built environment. This comprehensive and detailed data provides a solid foundation for further exploring the relationship between the built environment and cardiovascular health.

• Spatial analysis

Based on existing research findings, we have identified key built environment factors that influence the occurrence of cardiovascular diseases (CVDs) and meticulously processed the data sourced from [ 34 , 35 , 44 ]. The preprocessed data was then subjected to spatial analysis utilizing software tools such as ArcGIS 10.8, Geoda, and the Geographic Detector. Through various methods including KDE, spatial autocorrelation analysis (encompassing both univariate and bivariate analyses), factor detection and interaction detection using the Geographic Detector, as well as GWR, we aimed to explore the potential links between the urban built environment and CVDs (Fig.  2 ).

Research framework

Kernel Density Estimation (KDE)

Before delving into the complex relationship between the built environment and CVDs, it is crucial to accurately depict the spatial distribution of these key elements within the study area. Given this need, KDE, an advanced non-parametric statistical technique, was introduced as our core analytical tool. KDE is a non-parametric method used to estimate the probability density function of a random variable, and we implemented it using ArcGIS 10.8 software. Compared to other density estimation methods, such as simple counting or histograms, KDE more accurately reflects the true distribution of spatial elements, helping us identify hotspots and cold spots in the city with greater precision. The core of this method lies in assigning a smooth kernel function to each observation point, which describes the influence range of the observation point on its surrounding space, known as bandwidth. The density distribution map of the entire area is then obtained by overlaying the kernel functions of all observation point [ 45 , 46 , 47 ]. In parameter settings, we set the cell size to 100 m, based on a comprehensive consideration of the study area's scope, the distribution characteristics of geographic phenomena, and computational resource limitations. This aimed to maintain sufficient precision while avoiding excessive computational burden and amplification of data noise. To further refine the analysis and visually present the continuous spatial distribution of CVDs, we used the natural breaks method to classify the KDE results into five levels. KDE visually displays the continuous spatial distribution of CVDs, identifying high-risk and low-risk areas, and provides foundational data support for subsequent spatial analyses.

Spatial autocorrelation analysis

Spatial autocorrelation analysis is a statistical method used to assess the similarity or correlation between observed values in geographic space. We derived the point attribute values from the kernel density transformation and conducted univariate global spatial autocorrelation analysis, as well as bivariate global spatial autocorrelation analysis between built environment factors and CVDs using Geoda software. Univariate global spatial autocorrelation analysis was used to study the spatial distribution characteristics of the overall dataset, using Moran's I to evaluate whether the dataset exhibits spatial autocorrelation, indicating clustering or dispersion trends [ 48 , 49 ]. Bivariate global spatial autocorrelation further analyzed the spatial correlation between different indicators [ 50 , 51 ]. Spatial autocorrelation analysis helps verify whether the spatial clustering in KDE results is significant and preliminarily explores whether there is spatial interdependence between environmental factors and CVDs.

The results of spatial autocorrelation analysis include the Moran's I index, which directly reflects the strength and direction of spatial autocorrelation, as well as key indicators such as p values and Z values, together constructing a comprehensive quantitative system for evaluating spatial autocorrelation. In the results of spatial autocorrelation analysis, when the p -value is less than 0.01, the confidence level reaches 99%, and the Z value is greater than 2.58, the null hypothesis can be rejected, indicating that the research results are highly reliable. The degree of spatial clustering of variables is measured by Moran's I. The range of Moran's I is [-1, 1]; if Moran's I > 0, it indicates positive correlation, with higher values indicating stronger clustering; if Moran's I < 0, it indicates negative correlation, with lower values indicating stronger clustering; and if Moran's I = 0, the variables are not clustered and show a dispersed distribution, with the correlation weakening as the value approaches 0 [ 52 ].

The GeoDetector method (GDM)

We analyzed the processed kernel density attribute data using the GDM to parse the influence of the built environment on CVDs and uncover the underlying driving factors. The geographic detector tool was developed by a team led by Researcher Jinfeng Wang at the Institute of Geographic Sciences and Natural Resources Research, Chinese Academy of Sciences [ 53 ]. The GDM mainly includes factor detection, interaction detection, risk area detection, and ecological detection, and it has been widely applied in multiple fields. We used the factor detection function to evaluate the impact of environmental factors on the distribution of CVDs and utilized the interaction detection function to analyze the interaction between different environmental factors [ 54 , 55 ]. The purpose of the factor detector is to detect the extent to which independent variables explain the spatial differentiation of the dependent variable. It quantifies the influence of independent variables on the spatial distribution of the dependent variable to reveal which factors are the main contributors to the spatial distribution differences of the dependent variable. However, the impact of built environment elements on CVDs may not be determined by a single factor but rather by the synergistic effect of multiple built environment factors. Therefore, through the means of interaction detection, we further analyzed the synergistic impact of pairs of built environment elements on the spatial distribution of CVDs.

In this analysis, the q value was used as a quantitative indicator of the influence of environmental factors on CVDs, with values ranging between [0,1]. A higher q value indicates a more significant influence of the environmental factor, whereas a lower q value indicates a smaller influence. Additionally, a significance level of p  < 0.01 further emphasizes the reliability of these factors' significant impact on the distribution of CVD samples.

Geographically Weighted Regression (GWR)

However, while the GDM can reveal the overall impact of built environment elements on CVDs, its limitation lies in its difficulty to finely characterize the specific differences and dynamic changes of these impacts within different geographic spatial units. To address this shortcoming, we introduced the GWR model through the spatial analysis tools of ArcGIS 10.8 software for local analysis. This model dynamically maps the distribution and variation trajectory of regression coefficients in geographic space, incorporating the key variable of spatial location into the regression analysis. In this way, the GWR model can reveal the spatial heterogeneity of parameters at different geographic locations, accurately capturing the relationships between local variables, thus overcoming the limitations of traditional global regression models in handling spatial non-stationarity [ 56 , 57 ]. Compared to traditional global regression models, the GWR model excels in reducing model residuals and improving fitting accuracy.

When interpreting the results of the GWR model, it is necessary to consider the regression coefficients, R 2 (coefficient of determination), and adjusted R 2 comprehensively. The dynamic changes in regression coefficients in space reveal the complex relationships between independent and dependent variables at different geographic locations, with their sign and magnitude directly reflecting the nature and intensity of the impact. Although the R 2 value, as an indicator of the model's goodness of fit, focuses more on local effects in the GWR, its variation still helps to assess the explanatory power of the model in each area. These comprehensive indicators together form a thorough evaluation of the GWR model's performance. Through a comprehensive evaluation of the GWR model results, we can more precisely capture the relationships between local variables, revealing the specific impact of environmental factors on CVD risk within different regions.

Kernel density distribution characteristics

By applying kernel density analysis, the spatial distribution pattern of CVD samples and various built environment elements was detailed, effectively capturing their spatial density characteristics. The obtained kernel density levels were divided into five tiers using the natural breaks method and arranged in descending order, as shown in Fig.  3 . Analysis results indicate that high-density areas of elements such as shopping, dining, transportation facilities, and medical care are mainly focused in the southeastern part of the city, i.e., the city center. The high-density areas of the road network extend along the southern Yonjiang belt and appear patchy in the city center. Dense areas of parks are mostly near the southern riverside areas, while high-density distributions of sports facilities extend in the southeastern and central regions. Overall, the distribution pattern of these environmental factors reveals that Xixiangtang District's development trend mainly extends from southeast to northwest, indicating that the northeastern part of the region is relatively underdeveloped, with a sparse population and a lack of various infrastructure layouts. Additionally, kernel density distribution characteristics show that high-incidence areas of CVDs are concentrated in the southeast, highly coinciding with the high-density areas of most built environment elements.

Distribution of nuclear density of each element in the study area

Spatial Autocorrelation Characteristics

To explore the spatial relationship between urban built environment elements and the distribution of CVDs, spatial autocorrelation analysis was performed using Geoda software [ 58 ]. The study involved univariate and bivariate global spatial autocorrelation analyses (Table  2 ). The results of the analysis passed the significance level test at 0.01, with p values below 0.01 and Z values exceeding 2.58, achieving a 99% confidence level. This reinforces the reliability of the spatial autocorrelation results.

Univariate analysis is used to evaluate the clustering or dispersion status of feature points in space. In univariate analysis, the Moran's I value of the road network was 0.957, which significantly indicates a clustering trend in its spatial distribution. Moran's I values for other built environment elements, such as parks, transportation facilities, sports and fitness, and medical care, all exceeded 0.9, while the Moran's I values for shopping and dining also surpassed 0.8. By comparison, the Moran's I value for CVD samples was 0.697, approaching 0.7, revealing significant aggregation. Overall, the clustering nature of the built environment elements and CVD samples in Xixiangtang District implies that these elements are not randomly deployed but follow some patterns of hierarchical assembly.

Bivariate analysis, on the other hand, is used to evaluate the spatial correlation between different environmental factors and CVDs. Bivariate analysis further revealed the spatial interaction between environmental factors and CVDs. The results show that all considered environmental elements exhibited significant positive correlation with CVDs. The spatial association between medical care elements and CVDs was the strongest, with a Moran's I value of 0.431, surpassing the significant threshold of 0.4. Additionally, the Moran's I values for dining, transportation facilities, shopping, and sports and fitness were all over 0.3. Road networks and parks, on the other hand, showed relatively weaker correlations with CVDs, with Moran's I values around 0.1, indicating that in that region, the spatial connection between these built environment elements and CVDs is comparably weak.

Geodetector results analysis

A detailed analysis of the impact of various environmental factors on CVDs was achieved through the factor detection model of the GDM. According to the factor detection results shown in Table  3 , significant differences in the impact of environmental factors on the distribution of CVD samples were observed. The analysis results indicate that the environmental factors influencing the distribution of CVDs, in descending order of impact, are: healthcare services > shopping > dining > transportation facilities > sports and fitness > parks and squares > road networks. Specifically, healthcare services lead with a q value of 0.532, indicating that the spatial distribution of healthcare services has the most significant impact on the spatial distribution of CVDs. This highlights the importance of a high-density layout of healthcare facilities in the prevention and treatment of CVDs and suggests that individuals at risk for CVDs tend to prefer living in areas with convenient access to medical services [ 59 ].

Subsequently, shopping, dining, and transportation facilities all have q values exceeding 0.4, reflecting their significant effects on the urban built environment's clustering characteristics and regional commercial vitality. The concentration of human traffic brought about by these factors may, while increasing residents' lifestyle choices, also lead to certain psychological burdens and declining air quality, thereby indirectly placing a burden on the cardiovascular system. In contrast, parks and squares and road networks have relatively low q values (both less than 0.2), suggesting that the incidence of CVDs is lower in areas concentrated with these environmental elements, likely related to their ecological and transportation benefits.

Subsequently, interaction detection was used to analyze the synergistic impact of pairs of built environment elements on the spatial distribution of CVDs. From the results shown in Table  4 , it is evident that any two built environment elements exhibit a bi-factor enhancement effect on CVDs, suggesting that the combined influence of two built environment elements exceeds the effect of a single element. Among these, the interaction between healthcare services and shopping has the greatest impact on CVDs, with a value of 0.571. This indicates that CVDs patients or high-risk individuals tend to prefer living in areas rich in healthcare resources and convenient for shopping, as they can more easily access health services and daily necessities. Conversely, the interaction between road networks and parks and squares has the weakest impact on CVDs, with a value of 0.313. This suggests that their combined effect in reducing CVD risk is relatively limited, possibly due to the negative impacts of road networks, such as traffic congestion and air pollution, which may offset some of the health benefits provided by parks and squares. This result further validates an important point: the impact of the built environment on CVDs is not driven by a single element but by the synergistic effects of multiple environmental factors working together.

Geographically weighted regression analysis

The GDM revealed the influence of built environment factors on CVDs. To further uncover the spatial heterogeneity effects of built environment elements on CVDs in different regions, we employed the GWR model. To ensure the rigor of the analysis, we conducted multicollinearity detection for all built environment elements before establishing the model. We confirmed that the Variance Inflation Factor (VIF) values for all elements did not exceed the conventional threshold of 5, effectively avoiding multicollinearity issues and ensuring the robustness of the model results. The GWR model results showed that the model's coefficient of determination R 2 was 0.596, and the adjusted R 2 was 0.575, indicating that the model could adequately explain the relationships between variables in the study. The analysis results also highlighted the spatial non-stationarity of the effects of built environment elements, manifested by different degrees of variation and fluctuation characteristics, as shown by the coefficient magnitudes and their dynamic changes in spatial distribution in Table  5 .

Looking more closely at the details, as demonstrated in Fig.  4 , the regression coefficients of the dining elements fluctuated relatively little, ranging from -0.372 to 0.471, reflecting a relatively balanced spatial effect. Moreover, although this factor's impact in the Xixiangtang District showed both positive and negative aspects in different areas, more than half of the analysis units indicated positive values, especially in the southern and northeastern parts of the Xixiangtang District. In contrast, the high-incidence areas of CVDs in the eastern part and areas in the north showed negative correlations.

Spatial distribution of regression coefficient of built-up environmental factors

The GWR coefficients and their fluctuations for parks were significant, ranging from -69.757 to 35.43, indicating significant spatial differences in their impact on the distribution of CVDs. Specifically, the spatial distribution of positive and negative impacts was nearly 1:1, revealing the complexity of its effects. In high-incidence areas of CVDs, the distribution of parks showed a significantly negative correlation with disease distribution, while a significant increase in positive correlation was observed north of the significantly negative regions. This implies the presence of other moderating factors influencing the direction of the impact of parks on CVDs.

The regression coefficients and fluctuations for shopping were the smallest among the seven environmental factors, confined to a range of -0.093 to 0.219, suggesting a high consistency in its spatial effects. In the Xixiangtang built-up area, nearly two-thirds of the spatial units yielded positive impacts. Particularly in the northern, northeastern, southern, and southeastern regions, the positive impacts of shopping were especially pronounced.

The regression coefficients and fluctuations for transportation facilities were relatively large, ranging from -0.487 to 7.363. For the Xixiangtang District, nearly three-quarters of the analysis units displayed positive spatial impacts, with the largest positive value areas concentrated in the southeastern part. However, areas with negative impacts from transportation facilities were relatively fewer, suggesting a clear positive correlation with the distribution of CVDs.

The fluctuation range for sports and fitness regression coefficients was also broad, from -10.578 to 33.256. The analysis indicated that only a quarter of the analysis units in the Xixiangtang District had a positive correlation. The most significant positive values were located near the high-density areas for CVDs, suggesting that sports and fitness facilities might have a positive correlation with the disease distribution in these areas. Meanwhile, the intensity of the negative correlation increased north of the areas with significant positive values, potentially pointing to other factors' potential moderating effects on the relationship between sports and CVDs.

The regression coefficients and their fluctuations for healthcare were relatively small, ranging from -1.235 to 3.352. In the Xixiangtang District, the vast majority of analysis units showed a positive correlation, especially in the northern regions. The southern areas exhibited negative correlations, highlighting potential differences in medical resources in that region.

Of all the built environment elements, road networks had the largest range of regression coefficients and fluctuations, swinging from -7905.743 to 411.617, demonstrating extremely strong spatial variability. Only a small portion of the spatial units in the Xixiangtang District showed positive correlations, while the significantly negative regions were mostly concentrated in high-incidence areas for CVDs. This phenomenon was similar to the negative correlation distribution trend of parks, pointing to a significantly negative correlation between park distribution and the distribution of CVDs. Notably, the effect of road networks was opposite to transportation facilities, which could be related to the connectivity of the road network and traffic congestion conditions, factors that could influence the incidence of CVDs.

This study reveals a high-density aggregation of CVDs and various built environment elements in the southeastern part of the study area, i.e., the urban central area. Through spatial statistical analysis, all examined environmental elements and CVDs showed high Moran's I values, indicating significant clustering in their spatial distribution. Furthermore, the positive spatial correlation between these environmental elements and CVDs corroborates the deep connection between the urban built environment and the incidence of CVDs.

Geodetector analysis reveals significant differences in the impact of different built environment elements on CVDs. Healthcare facilities had the most influence, followed by shopping, dining, and transportation facilities, while parks and road networks had relatively weaker impacts. Notably, the occurrence of CVDs is not only related to individual built environment elements but likely results from the combined effects of multiple elements. Further interaction detection analysis confirmed this hypothesis, finding that the joint impact of any two environmental elements was stronger than any individual element, showing a clear dual-factor enhancement effect. Specifically, the interaction between healthcare and shopping had the most significant impact on the distribution of CVDs, while the combined effect of road networks and parks was the least. By delving into individual factors and their interaction effects, this study reveals a comprehensive view of the impact of the built environment on CVDs, highlighting the complex relationships and differences between environmental elements and the occurrence of diseases.

The GWR model was used to analyze in detail how built environment elements affect CVDs in different regions, aiming to gain a deep understanding of the local effects of the built environment. The research results showed the regression coefficients of built environment elements and their range of variation. Specifically, the regression coefficients for dining exhibited relatively stable trends in spatial distribution. Although the overall impact was moderate, slight fluctuations revealed a slightly enhanced positive correlation in specific areas such as densely commercial or culturally vibrant dining regions. Particularly in the southern and northeastern parts, the combination of diverse dining options and frequent dining consumption patterns showed a slight positive correlation with CVD risk. This reflects the complex impact of dietary habits, food composition, and intake levels on cardiovascular health [ 60 , 61 ].

The regression coefficients for parks and squares showed relatively large fluctuations in spatial distribution, indicating significant regional heterogeneity. This is mainly due to factors such as differences in regional population density and per capita park and square area. In our study, the southeastern region, which is a high-incidence area for CVDs, exhibited negative regression coefficients for parks and squares. This is because this region is the central urban area with a high population density, leading to a significant shortage of per capita green space, thus showing a negative correlation. Conversely, in the northern region, where population distribution is more balanced and parks and squares are more abundant, the per capita green space is relatively sufficient. Therefore, CVD patients have more access to green spaces and exercise areas, showing a positive correlation [ 29 ].

The regression coefficients for shopping consumption showed the smallest fluctuations in spatial distribution. The positive and negative effects were not significantly different, with the positive effects being notably concentrated in the northern, northeastern, and southern commercial thriving areas. Compared to other regions, these areas might have relatively well-developed commercial facilities or superior shopping environments. This could indirectly affect CVD risk through various dimensions, such as physical exertion from walking or cycling during shopping and the regulation of psychological states like satisfaction and pleasure after shopping [ 44 ].

The regression coefficients for transportation facilities showed a significant positive correlation in high-incidence areas of CVDs, with notable fluctuations. This deeply reveals the direct and important impact of traffic conditions, especially congestion and pollution, on cardiovascular health across different regions. In traffic-dense areas such as city centers and transportation hubs, high traffic volume, severe congestion, and increased noise and air pollution collectively pose major threats to residents' cardiovascular health. This not only directly harms the cardiovascular system through accumulated psychological stress and exposure to air pollution but also further exacerbates the risk due to a lack of exercise opportunities [ 62 ].

The regression coefficients for sports and fitness facilities exhibited a high degree of heterogeneity in spatial distribution, showing a significant positive correlation in the southeastern high-incidence area for CVDs, which gradually shifts to a negative correlation towards the outer regions. This deeply reflects the regional differences in the allocation of sports and fitness facilities, residents' exercise habits, and participation rates. In areas with well-developed urban facilities and strong resident awareness of physical activity, the positive effects of sports and fitness activities on cardiovascular health are particularly significant. These activities effectively reduce CVD risk by enhancing physical activity, optimizing cardiopulmonary function, and lowering body fat percentage. However, in areas with relatively scarce sports facilities and poor exercise habits among residents, negative impacts may be observed, highlighting the potential threats to public health due to uneven distribution of sports resources and a lack of exercise culture [ 63 ].

The regression coefficients for healthcare services showed regional differences in spatial distribution. In the northern region, due to the lower population density, the abundance and superior quality of per capita healthcare resources have a significant positive effect on residents' cardiovascular health. In contrast, the southern region, with relatively scarce resources or limited service quality, fails to fully realize the potential benefits of healthcare services. This disparity not only reveals the current uneven distribution of healthcare resources but also emphasizes the importance of enhancing the equalization of healthcare services [ 64 ]. The positive impact of healthcare on CVDs is primarily achieved through efficient prevention, precise diagnosis, and timely treatment. Its effectiveness is influenced by multiple factors, including the sufficiency of medical resources, service quality, residents' healthcare-seeking behavior, medical policies, and technological advancements.

The road network and transportation facilities together constitute the urban transportation system. In the process of transportation planning, we advocate for the continuous optimization of the road network layout, reserving space for future traffic growth, and utilizing intelligent technology to optimize traffic signal management to alleviate congestion. Meanwhile, in the densely populated eastern and southeastern areas, we emphasize enhancing the convenience of public transportation by adding routes and optimizing station locations, making it the preferred mode of travel for residents. Additionally, measures such as the construction of sound barriers and green belts are implemented to effectively reduce noise and air pollution caused by public transportation. Furthermore, we actively promote green travel methods such as cycling and walking by building a comprehensive network of bike lanes and pedestrian paths, thereby promoting public health and environmental protection [ 20 ].

These findings provide a more comprehensive understanding of the complex interactions between built environment elements and CVDs. Therefore, it is essential to balance the integrated impact of these factors in urban planning and public health interventions. Based on a comprehensive analysis of existing research and our study's results, we propose the following viewpoints.

Firstly, healthcare is the primary factor influencing the distribution of CVDs. Living near medical institutions offers substantial benefits to cardiovascular patients, not only enhancing the accessibility of medical services but also helping to quickly respond to emergency medical situations, providing a sense of security for patients. We suggest establishing additional medical centers in the densely populated southeastern region to ensure that community members can easily access high-quality medical services [ 65 ].

Secondly, shopping and dining are the next most important factors affecting the spatial distribution of CVDs. Although the spatial variation of these factors is not significant, their long-term cumulative impact should not be overlooked. We recommend that future urban renewal or renovation efforts reasonably control and plan the density of commercial areas, especially in the eastern region. This requires ensuring that residents can enjoy convenient shopping services to meet their daily needs while avoiding the increased living costs and stress caused by excessive commercial concentration. Additionally, it is necessary to strengthen the management of dining environments, including encouraging dining establishments to offer more healthy food options, such as low-sugar, low-fat, and high-fiber dishes. It is also important to increase the availability of healthy dining options by establishing healthy restaurants and vegetarian eateries, while reasonably controlling and optimizing the layout and number of high-sugar and high-fat food outlets within communities to reduce health risks induced by frequent exposure to such foods [ 66 ].

Road networks and transportation facilities together form the city's transportation system. In transportation planning, we advocate for the continuous optimization of road network layouts, reserving space for future traffic growth, and leveraging intelligent technology to optimize traffic signal management to alleviate congestion. Additionally, enhancing the convenience of public transportation by adding routes and optimizing stops can make it the preferred mode of travel for residents. Complementing this with the construction of sound barriers and green belts can effectively reduce noise and air pollution caused by public transportation. Furthermore, promoting green travel methods such as cycling and walking by building a comprehensive network of cycling lanes and walking paths can foster both health and environmental benefits [ 20 ].

Sports and fitness facilities, along with parks and squares, are essential for improving residents' quality of life and promoting healthy lifestyles. During planning, sports and fitness facilities should be reasonably distributed, especially in the northern part of the study area, to ensure that all communities have convenient access to exercise amenities. Diverse fitness facilities catering to different age groups and exercise needs, such as basketball courts, soccer fields, and fitness equipment zones, should be provided to meet the varied exercise requirements of different groups. Additionally, parks and squares, as crucial spaces for residents' leisure and entertainment, should be planned with a harmonious balance of ecology and landscape. In densely populated and space-constrained southeastern areas, small green spaces, leisure seating, and children's play facilities can be added to provide residents with a pleasant environment for relaxation and nature interaction [ 67 ].

We have explored the mechanisms by which environmental elements impact CVDs and proposed suggestions for optimizing the urban built environment, but this paper still has certain limitations. The impact of the environment on health and disease is complex, and due to time and resource constraints, it was not possible to consider and analyze all potential variables comprehensively, which may have some impact on the research results. To further deepen the study of the relationship between the built environment and cardiovascular health, future research could consider the following aspects: first, expand the scope of research, collecting and analyzing data from different cities and regions to better understand geographical differences in the impact of the built environment on cardiovascular health; second, enhance the scientific nature of the research methods, using more objective and precise methods for data collection and analysis to improve the reliability and accuracy of the research; and finally, deepen the study of the mechanisms between the built environment and cardiovascular health, exploring biological and psychological mechanisms to better understand their relationship.

Focusing on the built-up area of Xixiangtang in Nanning City as the research area, this study delves into the intrinsic connection between the urban built environment and CVDs, uncovering several findings. Utilizing hospital cardiovascular data and urban POI data, and employing spatial analysis techniques such as KDE, spatial autocorrelation analysis, geodetectors, and GWR, we systematically assessed the extent and mechanisms through which various built environment elements impact CVDs. The results show a significant positive correlation between the urban built environment and CVDs. Particularly, healthcare facilities, shopping venues, restaurants, and transportation facilities have significant effects on the incidence and distribution of CVDs. The spatial aggregation of these elements and the dense distribution of CVDs demonstrate significant consistency, further confirming the close link between the built environment and CVDs. Simultaneously, we discovered spatial heterogeneity in the impact of different built environment elements on CVDs. This indicates that in planning and improving the urban environment, elements and areas with a greater impact on CVDs should be considered specifically.

Availability of data and materials

The datasets used or analyzed during the current study are available from the corresponding author upon reasonable request.

Abbreviations

Cardiovascular Disease

Geographically weighted regression

Multiscale geographically weighted regression

The GeoDetector method

OpenStreetMap

Kernel Density Estimation

Points of Interest

Variance Inflation Factor

Application Programming Interface

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Deng, S., Liang, J., Peng, Y. et al. Spatial analysis of the impact of urban built environment on cardiovascular diseases: a case study in Xixiangtang, China. BMC Public Health 24 , 2368 (2024). https://doi.org/10.1186/s12889-024-19884-x

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DOI : https://doi.org/10.1186/s12889-024-19884-x

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Critical factors driving construction project performance in integrated 5d building information modeling.

1. Introduction

2. materials and methods, 2.1. procedure for the systematic literature review, 2.2. search strategy, 2.3. tools and software, 2.4. data resources, 2.5. prisma flow for systematic review, 2.6. network analysis, 3.1. development trends for 5d bim in the construction industry, 3.1.1. publications per year, 3.1.2. major countries or regions undertaking research, 3.1.3. key productive authors, 3.1.4. keyword co-occurrence and cluster identification, 3.2. factors significantly affecting the adoption of 5d bim, 3.3. key project performance factors affected by the implementation of 5d bim, 4. discussion, 4.1. evolution of 5d bim in the construction industry, 4.1.1. citation bursts and trend evaluation, 4.1.2. cluster analysis, 4.2. critical factors influencing the implementation of 5d bim, 4.2.1. technology factors, 4.2.2. organizational factors, 4.2.3. environmental factors, 4.2.4. operator factors, 4.2.5. project factors, 4.2.6. government policy, 4.3. key performance indicators affected by the implementation of 5d bim, 4.3.1. project cost performance, 4.3.2. project time performance, 4.3.3. project quality performance, 5. limitations and future research directions, 6. conclusions, author contributions, data availability statement, conflicts of interest.

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Sun, H.; Khoo, T.J.; Esa, M.; Mahdiyar, A.; Li, J. Critical Factors Driving Construction Project Performance in Integrated 5D Building Information Modeling. Buildings 2024 , 14 , 2807. https://doi.org/10.3390/buildings14092807

Sun H, Khoo TJ, Esa M, Mahdiyar A, Li J. Critical Factors Driving Construction Project Performance in Integrated 5D Building Information Modeling. Buildings . 2024; 14(9):2807. https://doi.org/10.3390/buildings14092807

Sun, Hui, Terh Jing Khoo, Muneera Esa, Amir Mahdiyar, and Jiguang Li. 2024. "Critical Factors Driving Construction Project Performance in Integrated 5D Building Information Modeling" Buildings 14, no. 9: 2807. https://doi.org/10.3390/buildings14092807

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Evidencing anthropogenic pollution of surface waters in a tropical region: a case study of the Culiacan River basin

• Published: 06 September 2024
• Volume 196 , article number  901 , ( 2024 )

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• Yaneth A. Bustos-Terrones 1 ,
• Juan G. Loaiza 2 ,
• Jesús Gabriel Rangel-Peraza 2 &
• Ma. Neftalí Rojas-Valencia 3  

Nowadays, one of the most critical challenges is reduced access to water. Climate change, industrialization, and population growth have caused many countries to suffer from water crises, especially in arid and semi-arid areas. The Culiacan River basin in Sinaloa is a region of great importance in Mexico due to its intensive agricultural activity. Hence, water quality assessment has become a necessity to ensure sustainable water use. This study describes the spatiotemporal water quality features of the Humaya, Tamazula, and Culiacan Rivers within the Culiacan River basin and their sources of contamination. Twenty-two water quality parameters were analyzed from samples taken every 6 months from 2012 to 2020 at 19 sampling sites in the basin. A multivariate statistical analysis revealed significant correlations ( r  > 0.85) between the water quality parameters. The modified Integrated Water Quality Index (IWQI) identified severe pollution in samples from the urban river section of the basin, while good water quality conditions were found upstream. Severe contamination was observed in 26.32% of the samples, whereas only 13.45% evidenced good water quality. The Water Quality Index (WQI) indicated that 94.74% of the samples presented fair water quality, suggesting that the surface waters of the Culiacan River Basin are suitable for agricultural irrigation. This study provides insights into the current water quality status of the surface waters in the Culiacan River Basin, identifying significant pollution sources and areas of concern. The spatiotemporal dynamics of water quality in the Culiacan River basin revealed the importance of continuous monitoring and effective water management practices to improve water quality and achieve sustainable agricultural practices.

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The authors would like to thank the National Water Commission (CONAGUA - Mexico) for its collaboration.

This work received financial support for the research by the National Council of Humanities, Sciences and Technologies—Mexico.

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Bustos-Terrones, Y.A., Loaiza, J.G., Rangel-Peraza, J.G. et al. Evidencing anthropogenic pollution of surface waters in a tropical region: a case study of the Culiacan River basin. Environ Monit Assess 196 , 901 (2024). https://doi.org/10.1007/s10661-024-13018-x

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Corporate (social) responsibility in state-business relations from the perspective of critical state theory: a historical case of early modern China

• Xu Kang   ORCID: orcid.org/0000-0002-2881-7309 1  

International Journal of Corporate Social Responsibility volume  9 , Article number:  14 ( 2024 ) Cite this article

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This article presents a theoretical framework for analysing corporate responsibility through the lens of critical state theory, focusing on the dynamic interplay between state and business. Traditionally, corporate responsibility is seen as voluntary corporate actions for public welfare. However, it is increasingly viewed as integral to business strategy and subject to regulatory oversight. Utilizing Jessop’s strategic-relational approach, this study underscores the state’s role in structuring corporate behaviour, revealing how shifts in political elite networks influence corporate responsibility practices. A historical analysis of early modern China highlights these dynamics within specific national contexts characterized by developmentalism and authoritarianism, demonstrating the profound impact of state-business symbiosis on corporate responsibility. This analysis contributes to a deeper understanding of corporate responsibility in diverse political and economic settings, demonstrating how state power, corporate influence, and social welfare are mutually reinforcing and shaped by broader socio-political dynamics.

Introduction

With the development of the global economy and changes in the political landscape, the understanding and implementation of corporate social responsibility (CSR) have undergone significant transformations. Initially seen as voluntary actions by companies to contribute to public welfare beyond legal requirements, corporate responsibility is now increasingly viewed as an integral part of corporate strategy and a growing focus for regulatory authorities (Aseeva, 2021 ; Lin, 2021 ). The concept of corporate social responsibility involves a complex web of interactions within the context of state-business relations, reflecting the power and limitations of both state and corporate entities in addressing social issues such as labour rights, environmental protection, and ethical governance. From the perspective of critical state theory, these interactions are not merely about aligning business practices with social values but are deeply entangled with the dynamic strategic relationships between state power, corporate influence, and societal expectations. This article argues that the evolution of corporate responsibility can be best understood through the lens of critical state theory, which reveals how intertwined and reactive business-state relations have shaped corporate responsibility over time.

In this article, I sometimes use the term “corporate responsibility” in the analysis instead of CSR to emphasize a broader concept. While CSR often indicates the voluntary nature of corporate awareness of social issues (Carroll, 1979 , 2008 ; Scherer & Palazzo, 2007 ; Wettstein, 2012 ), corporate responsibility encompasses a wider range of activities and obligations that businesses may undertake, including both voluntary and regulatory actions as advocated by business and human rights scholars. This broader perspective allows for a more comprehensive analysis of the interactions among corporate entities, the state, and society.

Critical state theory is a conceptual framework that seeks to understand the role and function of the state in society, particularly in relation to power, inequality, and social change. It has been predominantly influenced by Marxist literature, while also incorporating other theoretical paradigms. The most influential and classic works in this field include those by Antonio Gramsci, Nicos Poulantzas, and Michel Foucault. From the perspective of critical state theory, the state is not merely a static set of institutional agencies but a dynamic network of relations spanning social, economic, and political domains that requires critical investigation (Jessop, 2019 ). This provides an analytical framework for understanding corporate responsibility within the state context. This perspective challenges the traditional view of the state as a monolithic entity or a neutral arbiter between the public and businesses (Jessop, 2019 ). Instead, it examines corporate responsibility within the dynamic balance of political forces. Through this lens, corporate responsibility can be seen as a response to the shifting dynamics of state-business relations, influenced by trends such as deregulation, market liberalization, and the internationalization of business norms brought about by changes in political elite networks at both local and global levels.

This article aims to explore how a critical state theory framework can reveal the influence of state-business relations on the evolving field of corporate responsibility. By introducing Jessop’s strategic-relational approach (SRA), the article examines the role of dynamic state-business relations in the evolution of corporate responsibility in the historical context of the modern Chinese state. This analysis is crucial not only for understanding the global evolution of corporate responsibility but also for providing insights into corporate responsibility within specific national contexts, especially those nation-states characterized by developmentalism and authoritarianism.

Corporate (social) responsibility as a manifestation of state-business-society relations

Corporate (social) responsibility manifests the relationship between business, state, and society. Existing literature implies an assumption that CSR is an intersectional issue between business and society, wherein the operations of business organizations impact society both positively and negatively, and vice versa, particularly concerning public legitimacy (Brammer et al., 2012 ; Carroll, 2008 ). The discourse around CSR often revolves around reconciling the profit-oriented goals of business logic with societal values (Crane et al., 2014 ; Porter & Kramer, 2019 ). The outcome is to base and even aim business performance on social responsibility. Strategic CSR (SCSR), a concept developed within this framework, aligns with the neoliberal economic principles represented by Milton Friedman (although some of the SCSR scholars may not agree with this), suggesting that profitability drives the motivation for businesses to undertake social responsibility (Chandler, 2022 ). Ultimately, this still adheres to the fundamental pursuit of profit inherent in the rational economic actor assumption.

The role of the state in the business-society relationship has been highlighted in CSR literature (Eberlein, 2019 ; Johnston et al., 2021 ; Scherer & Palazzo, 2011 ). On one hand, the state provides the context for CSR activities, where public authorities inevitably intersect with business operations through regulation or support. On the other hand, CSR activities of business organizations influence state actors, potentially complementing or undermining state governance of society, as exemplified by the literature on political CSR (Scherer & Palazzo, 2007 , 2008 , 2011 ). As a political entity exercising political power, the state acts as a legal regulator between business and society. Tracing back to the origins of corporations, the state played a significant role, with early corporations originating from state (or royal) authorizations for trade activities (Gelderblom et al., 2013 ). The relaxation of state regulation over corporations allowed them to evade responsibilities, making public interests more susceptible to harm (Banerjee, 2008 ; Perrow, 2002 ). The legal revolution of the 19th century, which birthed modern corporations, fundamentally removed major restrictions on corporate activities and establishment rules and reversed the oversight of corporate behaviour by the state who represents the public (Banerjee, 2008 ; Perrow, 2002 ).

In the United States, the landmark 1819 Dartmouth College v. Woodward case saw Chief Justice John Marshall declare that “…a corporation is an artificial being, invisible, intangible, and existing only in contemplation of law.” This affirmed the legal status of corporations as “fictional persons,” distinct from their owners and employees (Banerjee, 2008 ; Perrow, 2002 ). In 1886, the Santa Clara County v. Southern Pacific Railroad Company case implied that corporations are “natural persons” under the law, granting them rights under the 14th Amendment of the U.S. Constitution, originally passed to protect freed slaves in the South (Perrow, 2002 ). This allowed artificial legal entities like corporations to be protected, often at the expense of public interest (Banerjee, 2008 ).

By the late 19th and early 20th centuries, business corporation laws in Britain, the United States, and Europe had become highly homogenized in terms of limited liability (Harris, 2020 ). The world’s first modern limited liability law was enacted by New York State in 1811. In the UK, the 1844 Joint Stock Companies Act and the 1855 Limited Liability Act granted shareholders limited liability, protecting their personal assets from company liabilities (Watson, 2019 ). The German Reichstag also passed similar legislation in 1892, the Law on Limited Liability Companies. Large commercial enterprises were established in major trading nations in corporate form, with functional characteristics aligning across countries. These characteristics, still present in today’s corporations, although slightly vary among different countries in terms of specific contents, include: (1) complete legal personality, enabling companies to contract and pledge company assets rather than owner assets; (2) limited liability for owners and operators; (3) shareholder ownership; (4) authorized management under a board of directors; and (5) transferable shares (Hansmann & Kraakman, 2004 ; Hansmann et al., 2006 ).

Literature has been arguing that the institutional inventions brought by forementioned legal revolutions spurred economic growth by facilitating investment and trade (Getzler, 1996 ). Yet others argue that the core features—legal personality and limited liability—endow corporations with the ability to act irresponsibly towards external societal stakeholders while prioritizing shareholders and self-interests (Johnson, 2011 ). Under the global wave of liberalism, capitalist markets expanded rapidly globally, with state power’s acquiescence or encouragement. As CSR discourse emerged and developed, the state’s role was gradually reshaped. As shown in Table  1 , under public pressure, intergovernmental organizations and states began to enhance the regulation of corporate irresponsibility while encouraging voluntary industry initiatives since the 1970s (Latapí Agudelo et al., 2019 ). Yet Transnational regulation of corporate irresponsibility still relied on industry self-regulation and international organization coordination. Before 2010, most corporate responsibility-related governance tools were non-binding soft laws. Post-2010, there has been a trend of legal regulation of corporate responsibility, with legally binding tools for transnational supply chain governance emerging at national and regional levels.

In shaping corporate responsibility governance, states exhibit different practices as legal regulators. Existing CSR instruments can be categorized based on their governance domain and substantive requirements, as shown in Table  2 . Governance domains focused by different states can be primarily divided into supply chain regulation and public welfare provision. Supply chain regulation focuses on preventing, mitigating, and compensating for human rights and environmental violations in host and home countries by domestic corporations or foreign ones which have business relations within the country (Schilling-Vacaflor, 2021 ). Public welfare provision often aligns with developmental agendas, encouraging or mandating companies to assist in public welfare provision to promote social governance (Maier, 2021 ; Scherer & Palazzo, 2007 , 2011 ). Existing CSR tools can also be classified based on their substantive requirements—whether they impose concrete operational requirements on companies or merely require symbolic commitments.

The state’s role in corporate responsibility reflects the dynamic relationship between business, state, and society. Understanding corporate responsibility within specific contexts requires examining the dynamic state context. Why does corporate responsibility differ in different state contexts? Existing research often analyses specific contexts of countries from judicial or corporate governance perspectives (Kang & Moon, 2012 ; Matten & Moon, 2008 ; Moon & Shen, 2010 ). These analyses tend to be time-insensitive and lack explanatory power over long periods. Moreover, the static examination of state’s governance system in the literature is insufficient. Historical and dynamic perspective on state context—state-business-society relations—is needed. Therefore, this article adopts a critical state theory perspective to dynamically examine state-business relations and analyse the evolution of corporate responsibility.

Critical state theory and strategic-relational approach

The contemporary construction of a universal concept of the state largely draws from the constitutional legitimacy perspective rooted in European constitutional, judicial, and state theory traditions (Glasberg et al., 2018 ; Jessop, 2015 ). Weber’s theoretical viewpoint is particularly representative in this regard. Weber defined the state as a “human community that claims the monopoly of the legitimate use of physical force within a given territory” (Weber, 1994 , p. 310) and explored the legitimacy of state organization and power: “A compulsory political organization with continuous operations will be called a ‘state’ if and insofar as its administrative staff successfully upholds a claim to the monopoly of the legitimate use of physical force in the enforcement of its order” (Weber, 1978 , p. 54).

This concept of the state has been summarized by Jessop as the three-elements approach: modern states comprise three necessary elements: (1) a politically organized coercive, administrative, and symbolic apparatus endowed with both general and specific powers; (2) a clearly demarcated core territory under more or less uncontested and continuous control of the state apparatus; and (3) a permanent or stable population, on which the state’s political and authority and decisions are binding (Jessop, 2015 ). This approach to constructing the concept of the state has increasingly faced criticism, especially by post-structuralist and feminist scholars (Glasberg et al., 2018 ). The state should not be understood as a static entity with concentrated power in specific institutions but as a dynamic process with power dispersed throughout social life. It is important to note that the state discussed in this chapter is distinct from the government. The government refers to the institutions of the state and the individual’s holding office within them. While government institutions and officeholders may change, resulting in policy changes influenced by individual backgrounds such as ideological views and party affiliations, the fundamental political structure of the state (election mechanisms, policy-making and implementation mechanisms, and relationships between the government and other societal interest groups such as businesses and labor) generally does not undergo fundamental changes in the short term (Jessop, 2015 ).

The first element concerning state power and organization is the most complex. It represents the organizational structure and physical and symbolic power by which the state monopolizes rule-making and enforcement (Jessop, 2015 ). Power exercise exists within an institutional context, while institutions are shaped by political power activities. All state theories revolve around this point, hypothesizing and exploring the nature of state organization and power. I briefly review mainstream state theories in the literature, reflecting on them and clarifying the theoretical framework of Jessop’s strategic-relational approach, which views the state as a dynamic process and relational structure.

For decades, pluralist state theories, often based on the Anglo-American model, posited that the capitalist economy sees the state as the embodiment of the power of all citizens, unaffected by interest groups (Dahl, 1967 ; Dahl & Shapiro, 2015 ; Truman, 1971 ). In the assumption of state neutrality, power is dispersed, with various interest groups competing fairly within a democratic political structure, and the state legislates and formulates policies for the common interest (Dahl, 1967 ). Elections are the key mechanism in this system, allowing voters to influence political decisions through elected political elites representing their interests(Dahl & Shapiro, 2015 ). However, the political balance touted by pluralist state theories is questioned. Not all voters and interest groups are equal in a pluralist system. Some groups, such as the homeless and minors, do not have voting rights (Manza & Uggen, 2006 ). Additionally, some key political and economic positions are not elected, such as Supreme Court judges and senior bureaucrats in government departments. More importantly, some interest groups, particularly those representing economic entities, have significantly greater influence on political agendas due to their resources and capabilities, especially through lobbying activities (Austen-Smith, 1993 ; Gilens & Page, 2014 ). The assumption of state neutrality, considering the inherently unequal socio-economic structure, is untenable. Individuals within the state are inevitably influenced by their socio-economic positions, shaping their decisions and understanding of “public interest.”

Business dominance state theorists and state-centered structuralist theories in state-society relations literature focus on the structure of concentrated state power, contrary to the pluralist assumption of dispersed power. Inherent in Marxism, business dominance state theorists start with the premise of inherent class conflict in the capitalist political economy, with one faction arguing that the state is captured by capitalist (Domhoff, 1990 ; Dye, 2002 ; Scott, 1991 ). Capitalists exert control over the state by participating in elections and assuming political office, or by infiltrating and influencing the political system through various indirect means. This analysis oversimplifies by ignoring the role of symbolic power in shaping public opinions and state policies and the impact of working-class resistance (Glasberg et al., 2018 ). Some theorists argue that the state is fundamentally capitalist, constrained by the need to promote capital accumulation and prevent economic crises to maintain legitimacy (Mandel, 1975 ; Poulantzas, 1969 ; Wright, 1978 ). It provides a macro explanation for the state’s pro-capitalist operations but lacks micro-level descriptions of how state actors align their interests with capital accumulation (Glasberg et al., 2018 ). Yet both of the above fail to convincingly explain non-economic policies and ignore the influence of external actors such as other nations, international organizations, and transnational corporations on state actions (Glasberg et al., 2018 ).

State-centered structuralist theories view the state as a site of bureaucratic politics. Unlike pluralist theories, which see the state as neutral and above class interests, they argue that state activities are based on the interests of bureaucratic institutions themselves, such as expanding bureaucratic power (Amenta & Halfmann, 2000 ; Amenta & Parikh, 1991 ). While this theory can explain some non-economic policies as bureaucratic efforts to expand their domain, it faces similar issues to pluralism, questioning the neutrality of bureaucratic elites, and business dominance state theorists, omitting a discussion on the impact of opposition and struggles initiated by the masses or the working class (Glasberg et al., 2018 ).

Despite differences in interpreting the nature of the state, the above theories treat the state as an entity or static structure, with power located in specific institutions or groups. The state’s operations are simplified into a closed, top-down process, even under the pluralist view of the state as an embodiment of public interest.

• Strategic-relational approach

The critical perspective applied in this article is constructed on the foundation laid by post-structuralist theorists who propose that the state is not a single, centralized power structure or a sum of multiple institutions but a decentralized, ongoing dynamic process. Post-structuralist theorists argue that dynamic power relations, rather than static state analysis, are fundamental because the boundaries of the state and politics are dynamic and shaped by discourse (Foucault et al., 1991 ; Foucault & Gordon, 1980 ). The boundaries and relationships between state and society, public and private, are continuously redefined through discourse and meaning construction. Post-structuralist scholars emphasize discourse analysis and meaning construction, revealing the dynamic process of state-society power relations. Examples include Foucault’s concept of governmentality and Gramsci’s concept of hegemony, which highlight how dominant cultures and values become naturalized and disciplinary through knowledge and discourse frameworks (Foucault et al., 1991 ; Gramsci et al., 1971 ). The state, to some extent, is both a stage for and a result of discursive meaning creation. Based on this understanding, Jessop proposed the Strategic-Relational Approach (SRA) to the state theory (Jessop, 2015 ). This approach no longer views the state as a static, substantial entity but as a dynamic expression of the balance of various social or political forces (Glasberg et al., 2018 ; Jessop, 2015 ). By identifying the state as a social relation, this approach shifts the focus from the state apparatus itself to the exercise of state power.

The SRA redefines the relationship between structure and agency by emphasizing their interconnectedness. It focuses on how the strategic context shapes actions and how these actions, in turn, can transform that context. Structures create different constraints and opportunities for various agents, while agency depends on the strategic capacities of these agents, influenced by the structures they operate within. In contrast to traditional views that see structures as uniformly affecting all agents, the SRA asserts that constraints and opportunities are biased, shaped by specific strategies of particular forces. This approach suggests that actors strategically analyze their contexts rather than acting out of habit, considering the changing ‘art of the possible’ over different time horizons. The strategically selective nature of structures means that while they impose constraints, they also provide opportunities for actions that can bypass or challenge these constraints (Jessop, 2015 ). The evolving identities, interests, resources, and strategies of various forces continuously modify the constraints and opportunities within structures.

In summary, the SRA underscores the importance of the strategic context and the relational dynamics between structure and agency in understanding political actions and outcomes. This approach requires researchers to consider how political actors inside and outside the state continuously evaluate changing conditions and act accordingly, rather than assuming they merely act passively according to institutional settings and routines. According to Jessop, it is essential to consider three interconnected aspects to analyse specific political contexts or periods. Firstly, examine the state’s historical and formal development as a complex institutional structure, which has a unique pattern of strategic selectivity that influences and alters the balance of power. Secondly, investigate how political forces are organized and operate within particular contexts, including their strategies and their ability to adapt to the strategic selectivities embedded in the state apparatus. Lastly, study the interactions of these forces within the strategically selective environment, focusing on their immediate objectives or their efforts to change the balance of power and transform the state and its inherent strategic selectivities.

Despite viewing the state as a social relation, it can still be identified through certain ideal-typical dimensions to analyze state forms and dynamics among various political forces according to SRA. Jessop proposed a framework comprising three formal institutional dimensions and three substantive dimensions. The three formal institutional dimensions are modes of representation, modes of articulation, and modes of intervention. Modes of political representation refer to the actual political representation modes of different positions in the social structure and the formal or informal mechanisms through which political forces access the decision-making center (state apparatus and its capacities) to promote their interests (Jessop, 2015 ). Political representation can occur both within formal channels inside the state apparatus and informally outside it, such as business communities establishing connections with politicians or bureaucrats (Jessop, 2015 ). Modes of articulation involve examining the vertical, horizontal, and transversal organization of the state system and the distribution of power within and between its parts (Jessop, 2015 ). This examination always considers the dynamic distribution of power within and between institutions. Modes of intervention concern the state’s foundational power to intervene in the division of public and private boundaries, penetrating society and organizing social relations, involving mechanisms and resources (Jessop, 2015 ). Intervention methods may include legislation, coercive means, and shaping knowledge.

The three substantive dimensions are the social basis of the state, state project, and hegemonic vision. The social basis of the state involves the specific combination of social forces reflected in the state’s institutions, supporting the state’s basic structure, operational modes, and goals (Jessop, 2015 ). The state project defines and regulates the boundaries of the state system relative to society, providing internal operational coherence for the state apparatus to perform socially accepted tasks (Jessop, 2015 ). The state is not a coherent, purely organized, and closed system but a contradictory, mixed, and open relational structure influenced by multiple conflicting institutional logics and political imaginations. A state project provides a coherent template or framework, often linked to various policy paradigms guiding specific policy fields, enabling state agents and institutions to coordinate and integrate different policies and practices in pursuit of an often-imagined national or public interest. Jessop argues that the state’s successful establishment and operation must align its institutional logic and national interests with a hegemonic or dominant state project of the time. Hegemonic vision can be understood as an overarching vision articulating the state’s current nature and purpose, linking them to principles of justice, goodness, morality, and other social organizational principles, providing overall guidance for state policies (Jessop, 2015 ).

To further demonstrate how the strategic-relational approach can be applied to analyze the dynamic evolution of corporate responsibility from a state-business relations perspective, the next section uses this framework to examine the case of corporate social responsibility evolution in early modern China (late Qing to Republican era). By analyzing the evolution of political forces’ equilibrium of compromise in China’s state-business dynamic relations during this historical period, it shows how the dynamic state-business relations in a nation-state context characterized by authoritarianism and developmentalism influenced the evolution of corporate responsibility.

Corporate (social) responsibility under state-business symbiosis: a historical case of early modern Chinese state

From the late Qing period, coinciding with China’s early attempts at modernization, modern corporate organizations began to emerge in Chinese society. The government quickly became an important, and possibly the most crucial, external political stakeholder for Chinese businesses, a role that still persists in contemporary context (Hofman et al., 2017 ; Situ et al., 2020 ; Yin, 2017 ; Zhao, 2014 ). This characteristic is also evident in other late-developing countries, especially in the Global South, with authoritarian and developmentalist features (Kourula et al., 2019 ; Maier, 2021 ).

As discussed earlier, this article avoids a static analysis that entirely opposes the state institutions and business operation. Therefore, analyzing the dynamic relations between political and economic power becomes particularly important. In the late 19th and early 20th centuries, the governance capacity of the Manchu nobility, who had ruled China for over two centuries during the Qing Dynasty, was greatly weakened by internal rebellions and colonial interference from Western powers. During the Taiping Rebellion, Han officials who organized local militias to help the empire suppress the rebellion gradually rose in political and economic power, eventually overshadowing the imperial court (Schoppa, 2002 ). This situation was vividly illustrated by the Southeast Mutual Protection incident during the Boxer Rebellion, where powerful southern and coastal officials, led by Li Hongzhang (1823–1901), Sheng Xuanhuai (1844–1916), Liu Kunyi (1830–1902), Zhang Zhidong (1837–1909), and Yuan Shikai (1859–1916), defied orders from Empress Dowager Cixi (1835–1908) to declare war on foreign powers and instead signed non-aggression treaties with consular officials.

The rise of these powerbrokers was, to varying degrees, connected to the Self-Strengthening Movement (Also known as the Westernization or Western Affairs Movement) of the late Qing Dynasty, which involved establishing modern industrial and commercial organizations. It was a period of institutional reforms initiated in China during the late Qing dynasty following several military defeats and internal uprisings. The primary goal of the movement was to modernize the country’s military capabilities by adopting Western military technology and training methods. This initiative also extended to broader industrial and economic reforms aimed at strengthening China’s overall state power. Self-Strengthening Movement was distinctly marked by a strong government-business nexus, exemplified by figures such as Li Hongzhang, the then Viceroy of Zhili Province and Beiyang Trade Minister, who founded organizations like the China Merchants Steam Navigation Company and the Jiangnan Manufacturing Bureau. Similarly, Zhang Zhidong, who became the then Viceroy of Huguang and initiated enterprises such as the Hanyang Iron Works, and Zuo Zongtang (1812–1885), the then Grand Secretary who established the Fuzhou Shipyard, had close ties with the commercial and industrial elites of the time, even directly engaging in business ventures themselves. Many of the era’s prominent businessmen were elevated to political status by these political elites, a group often referred to as the ‘red-hatted merchants’ who operated under the official protection and endorsement of the state (Mann, 1987 ). They wore red hats as a symbol of their official status, which distinguished them from ordinary merchants. A notable example is the Hangzhou merchant Hu Xueyan (1823–1885), who made his fortune in finance before assisting Zuo Zongtang, the then Viceroy of Minzhe, with post-Taiping Rebellion relief efforts in Hangzhou and procuring munitions on several occasions, which earned him a promotion to the second rank of the imperial bureaucracy as a Commissioner of the Revenue. The intricate entanglement of politics and business in the late Qing period became a key factor influencing national governance. The end of Qing rule in the early 20th century was not only due to the activities of revolutionary parties influenced by a global wave of nationalist ideology but also due to the disillusionment of these powerful political and economic elites with the Manchu noble rulers. Since then, Chinese business elites became embedded in the late Qing state power network, aligning themselves with emerging political elites driving reforms and exercising their agency amid significant social and political changes.

From the perspective of SRA, the phenomenon of state-business symbiosis in early modern China, as discussed above, represents one of the most important manifestations of the social basis of state power. This mode of representation of state power is characterized by political elites using industrial and commercial actors to expand their political influence, and conversely, by merchants depending on political elites to gain access to political decision-making, thus acquiring a certain degree of political power. The mode of articulation of state power, based on interests and personal relationships, also profoundly influences the dynamics of state-business symbiosis. It is displayed as political elites often weave their influence within the state power network vertically, horizontally, and transversally, based on kinship ties and personal relationships, as seen in the Hunan Army factions led by Zeng Guofan (1811–1872) and Li Hongzhang’s leadership of the Huai Army. Originated by Zeng Guofan, the Hunan Army faction was deeply intertwined with the governance structures of the Qing Dynasty. Following the suppression of the Taiping Rebellion, this faction did not simply demobilize but instead transitioned into a potent political force. Zeng Guofan and his protégés including Zuo Zongtang and Liu Kunyi, often referred to as the “Hunan clique,” used their military success to secure high-ranking administrative positions within the empire. This faction advocated for and implemented a series of reforms that emphasized strong central governance, the revival of Confucian values, and the modernization of China’s military and industry. Similarly led by Li Hongzhang, the Huai Army faction emerged as a dominant force in the latter part of the Qing Dynasty. Li Hongzhang and his protégés utilized their military reputation and political acumen to influence both domestic policies and foreign diplomacy of the empire. The Huai faction pushed for the adoption of Western technology and administrative methods, central to the Self-Strengthening Movement. Its approach was more pragmatic, focusing on economic development, military modernization, and strengthening China’s international position. Members leveraged their military accomplishments to forge substantial political careers, influence Qing dynasty policies, and direct the socio-economic transformation of China. This entrenched their legacies as key architects in the transitioning landscape of Imperial China towards modern statehood. These factions secured key resources and power through alliances with specific merchants, allowing them to intervene in the activities of other state actors using both formal and informal modes, including the initiation of various state projects, for example, westernization in technology through Self-Strengthening Movement, under the construction of a hegemonic vision of a “imagined” Chinese nation-state. The vision of an “imagined” Chinese nation-state was marked by intense internal conflicts, especially between the ruling Manchu elite and the predominant Han ethnic group. As such, discussions about this vision during the late Qing period were often deeply entangled with Han nationalism. Han intellectuals, who controlled the main channels of public opinion, unconsciously promoted the restoration of the Han’s central role in the traditional Chinese state while introducing Western nationalism, often reflecting their dissatisfaction with the Manchu imperial rule. Building on this, the following text introduces the dynamic evolution of state-business relations in early modern China, highlighting chambers of commerce as a key mechanism and discussing the impact on the formation of frameworks for corporate responsibility.

Early legal reforms and business elite mobilization

During modern political and legal reforms, Chinese business elites, much like their Western counterparts, sought to secure a more favorable institutional environment. This effort is reflected in the legislative history and evolution of modern Chinese company law and the organization and activities of chambers of commerce. In the late Qing period, Chinese merchants lacked legal protections for commercial trade, business operations, and investment rights, often facing obstacles from various powers, especially the imperial and local government. Many had to rely on working for foreign companies, which enjoyed extraterritorial judicial rights in China, or collaborate with government-supervised enterprises (Feuerwerker, 1958 ; McWatters et al., 2016 ). Extraterritoriality in China originated from treaties such as the Treaty of Nanking (1842), which were among the many unequal treaties that Western powers enforced on China. These treaties granted foreign nationals immunity from Chinese legal jurisdiction, meaning that if a foreign national committed a crime or was involved in a legal dispute in China, they would be tried not by Chinese courts but by consular courts from their respective nations. It created a dual legal system within the country, where Chinese citizens were subject to Chinese laws—which were often harsher—while foreigners enjoyed the protection and often more lenient treatment under their home states’ laws.

In early 1904, the imperial government rapidly enacted China’s first company law, the “Great Qing Commercial Law,” within just nine months. The hasty legislation aimed to address foreign powers’ refusal to relinquish extraterritorial judicial authority over China, a situation highlighted in the 1902 Mackay Treaty between China and Britain. Article 12 of this treaty stated that if China reformed its judicial system to align with Western standards, Britain would relinquish consular jurisdiction in China.

The state’s legislative measures, reflecting the modes of intervention and aimed at shaping business behavior, were ultimately unsuccessful. Despite the Great Qing Commercial Law defining companies as any capital-aggregating trade entities and ensuring equal legal protection for various business structures (government-run, privately-run, government-supervised, and joint ventures), business elites criticized the law for merely copying foreign legal systems without involving business representatives in the drafting process or considering China’s commercial traditions. In response, on 16 December 1906, the Constitutional Preparation Association, formed mainly by officials and business elites from Jiangsu, Zhejiang, and Fujian province, collaborated with the Shanghai General Chamber of Commerce and the Shanghai Business Association to launch a movement for self-legislated commercial law. The initiative gained support from chambers of commerce nationwide and overseas, for example, Chinese chambers in Japan and Southeast Asia. Although the revised law was never promulgated due to the Qing government’s collapse in 1911, it was later slightly modified and issued as the “Company Ordinance” by the Beijing government of the newly established Republic of China in 1914, meeting the needs of the developing capitalist economy advocated by business elites with strong political influence. It is evident that the establishment and dynamic reform of commercial regulations in the late Qing period encapsulate the political mobilization of business elites within the framework of the then scattered state power relation network, situated against the backdrop of the nascent while chaotic modern nation-state. A principal mechanism facilitating this process was the creation and functioning of chambers of commerce.

Chambers of commerce during political change

The role of chambers of commerce in state-business relations in early modern China demonstrates how different social elites (merchants, officials) were represented in the state’s decision-making processes. These representations evolved over time, ultimately influencing the norms and practices of corporate responsibility in China. The development and expansion of chambers of commerce also illustrate the increasing involvement of business elites in national political and social affairs. Chambers of commerce were China’s first officially recognized non-governmental organizations and legally sanctioned associations (Chen, 2011 ). The first chamber appeared in Shanghai in 1902, approved by the imperial government to assist in commercial treaty negotiations with Britain. These chambers not only connected merchants through modern organizational structures but also linked various social elites, including gentry-merchants with official positions or retired officials engaged in commerce, influential bankers, academic and educational figures, local officials, and landed gentry. Some chambers even organized armed forces to maintain local order and self-defense during the late Qing’s social collapse.

Chambers of commerce played critical roles in major political and social reforms as shown by their aforementioned efforts to revise commercial law. During the Xinhai Revolution, which led to the end of imperial rule, chambers of commerce that once collaborated with the imperial government to promote reforms shifted to support revolutionary activities (Chen, 2011 ). For instance, in Shanghai, some of them assisted in capturing the Jiangnan Manufacturing Bureau, one of East Asia’s largest military factories. Some supported local officials’ declarations of peaceful independence from the empire, for example, in Suzhou.

Despite this increasing influence, state actors never relinquished control over merchants and enterprises within the context of the developmentalist nation-state. This reflects the articulation of state power distribution, particularly during the transitions from Qing to Republican rule and the later Kuomintang (KMT) regime. In the early 20th century, to promote industrialization and national revival, the merchant class was imbued with a unique historical and national responsibility and mobilized to develop agriculture, mining, transportation, and other sectors. Influenced by Western mercantilism, government-supervised commercial bureaus and pro-government journals vigorously promoted the idea of industrial salvation, viewing merchants as corporate citizens contributing to national development, with political and social roles often outweighing profit motives. The Republic an leaders also restructured spontaneously formed chambers of commerce to exert political influence.

After the first president Yuan Shikai’s death in 1916, China descended into warlord conflicts until the nationalist KMT unified the country in 1928 and established its capital in Nanjing. In 1929, the Nanjing government drafted a “Company Law” based on the “Company Ordinance.” During this period, the state-business relationship increasingly resembled contemporary authoritarian capitalism. The “Company Law” emphasized state capital’s primary and leading role, implementing policies to regulate private capital and expand state capital, aiming to protect small shareholders and limit the power of large shareholders. Influenced by the KMT’s statist ideology and economic strategy, the Nanjing government’s “Company Law” reflected enhanced government control over enterprises, such as requiring government officials to attend and sign off on the establishment meetings of joint-stock companies.

Concurrently, chambers of commerce representing business elites became targets for the new regime. The KMT initiated a political movement to mobilize small merchants and the public, establishing merchant associations directly organized and guided by local KMT branches, thereby limiting and even replacing the original chambers dominated by major merchants. As business elites’ interactions with the KMT deepened, the chambers underwent restructuring. Meanwhile, state-owned enterprises received conscious support, leading to widespread rent-seeking and collusion between officials and merchants. The 1929 “Company Law” introduced the concept of corporate shareholding, initially not designed specifically for state-owned enterprises but providing institutional support. In the early Nanjing government period, state-owned enterprises primarily operated industrial and mining businesses. By the mid-1930s, the government, aiming to control the national financial lifeline, began forcibly acquiring shares and controlling key financial institutions, such as the Bank of China and the Bank of Communications, through joint-stock companies.

With the outbreak of the Second Sino-Japanese War and the implementation of wartime economic policies, the national economy became fully subordinated to the war effort, leading to the rapid development of state-owned enterprises. During this period, the KMT government expanded provincial and national enterprises through joint-stock companies. The inadequacy of the 1929 “Company Law” to meet the specific needs of government-established companies led to the issuance of the 1940 Special Joint-Stock Company Ordinance in Chongqing, catering to the establishment of joint-stock companies involving central and local governments, private sectors, and foreign capital, thus promoting state-owned enterprise development.

Following the war, the Nanjing government continued to expand state intervention in the economy, influenced by American New Deal policies and the need to rebuild and stabilize the post-war economy. The government rapidly expanded state-owned enterprises by taking over assets in former Japanese-occupied territories. The corporate structure remained the preferred organizational form for state-owned enterprises. To further support this growth, the government revised the 1929 “Company Law” in 1946, introducing limited liability companies. This allowed the state to participate as a shareholder, facilitating investment and furthering the development of state-owned enterprises.

The role of chambers of commerce in early modern China demonstrates how various social elites (e.g. merchants and officials) were represented in the state’s decision-making processes, highlighting the evolving nature of corporate responsibility and political engagement. Established as China’s first officially recognized non-governmental organizations, chambers of commerce played pivotal roles in major political and social reforms. The inaugural chamber, established in Shanghai in 1902, not only facilitated treaty negotiations with Britain but also became a central hub linking diverse social elites, thereby enhancing their involvement in national affairs. This involvement proved crucial during events such as the Xinhai Revolution, where chambers supported revolutionary activities and significant political transformations. The persistent influence and control exercised by state actors over these entities illustrate the complex interplay between commerce and state power, especially during transitions from Qing to Republican rule and under the KMT regime, where chambers were further restructured to align with national development goals and state-driven industrialization efforts. The establishment of the first chamber of commerce encapsulates the business elites’ significant agency in driving institutional changes, while the subsequent interactions and restructuring of these chambers underscore the considerable influence political elites and state actors had in steering these mechanisms, namely, attempting to reconstruct the business-state dynamics during regime change, to align with broader state agendas and political transformations.

Corporate (social) responsibility in early modern China

The state-business relation in early modern China exhibited a contradictory duality: on one hand, the government, through legislation, encouraged the development of private capitalism, creating favorable macroeconomic and social conditions; on the other hand, the ideology of state capitalism profoundly influenced and even dominated policy directions. This contradiction persisted through the transition from the Beijing government to the Nanjing government, but the balance of power within these governments shifted. Initially, the Beijing government was largely unable to manage enterprises directly, resulting in encouragement of private industrial development. Later, the Nanjing government, upon achieving national unification and relative stability, focused on expanding state capital with private capital as a supplementary force. This policy not only facilitated the emergence of official-merchant capital but also provided conveniences for it. Apart from a few purely state-owned institutions such as the Resources Committee and the China Textile Corporation, official-merchant capital leveraged its advantageous position in policies to form a monopoly interest structure involving senior bureaucrats and large capitalists in industrial, mining, and trade sectors.

Against this backdrop of state-business relations, early Chinese corporate social responsibility was not only reflected in contributions to national industrialization but also in public services and charitable activities. These contributions often benefited political and economic elites through networks of official and merchant protection. From the Song to the Ming and Qing dynasties, China saw the emergence of officially sponsored charitable organizations known as “charity halls” or “charity society”. By the late Qing period, due to declining government capabilities, local gentry and merchants established numerous charitable institutions, especially in the Yangtze River Delta, Pearl River Delta, and Beijing areas, providing aid to the poor, disabled, children, and abandoned infants. These charitable institutions often relied on the chambers of commerce, becoming arenas for cooperation between merchants and bureaucratic elites. They served as platforms for expanding social connections among merchants and gentry, where leaders could coordinate local charitable affairs. Many charity halls initially undertook roles in political missions including promoting political ideology, for example, imperial moral teachings on Confucianism, reducing social conflicts, and maintaining order. For example, the Guangren Charity Hall, established in Guangzhou in 1890, prioritized the preaching of imperial edicts, employing scholars to compile instructional materials. This resembles the contemporary practice of promoting Chinese Communist Party ideology in grassroots organizations. On the other hand, charity halls were also used by political forces to promote social change in line with their interests. For example, Kang Youwei (1858–1927), a prominent political thinker and reformer, with the support of some merchants, used the Guangren Charity Hall as a foundation to establish the Shengxue Society in 1897, promoting his loyalist ideology for political reform.

Early Chinese corporate social responsibility practices were not merely pure acts of charity but were institutional efforts by political elites to mobilize and control emerging economic forms to maintain their dominance. As noted at the beginning of this section, the close coupling and dependence of emerging commercial elites and contemporary political elites since the late Qing period destined the collusion, both active and passive, between the business community and government actors. Consequently, corporate responsibility inevitably carried the connotation of a nationalist discourse on industrial development driving national revitalization. This connotation, to some extent, has been inherited over time and can be observed in many contemporary late-developing countries, for example, India and Indonesia. Beneath the veneer of developmentalist discourse, the extent to which public interests are genuinely served by corporate responsibility actions in these authoritarian nationalist contexts remains debatable. Public interests are often, to some degree, subverted in the interactions between political and business elites’ networks of mutual patronage.

Conclusion and discussion

The discourse on corporate responsibility has largely evolved in the context of Western liberal market economies, where the interactions between the state, business, and society are significantly influenced by a predominantly liberal capitalist doctrine (Brammer et al., 2012 ). This framework has often failed to adequately address the realities of corporate responsibility in contexts where state dynamics, business practices, and societal norms do not align neatly with liberal democratic models. This article’s exploration of corporate responsibility from the perspective of critical state theory using the historical case of modern China serves as a broader critique and expansion of the traditional CSR narrative, revealing the deep interdependencies between state power and business activities that shape corporate responsibilities in developmentalist and authoritarian national contexts.

This article has utilized Jessop’s SRA to delve into the intricate interplay between state, business, and society in the regime of corporate responsibility. The analysis has underscored the significance of state-business relations in shaping corporate responsibility practices, revealing how these dynamics are deeply embedded within broader socio-political structures and historical trajectories. From a theoretical standpoint, the SRA framework provides a robust lens for examining the state not as a static entity but as a dynamic network of relationships. By focusing on the modes of political representation, articulation, and intervention, this approach highlights the strategic selectivity and relational nature of state power.

The review of early modern China, spanning the late Qing period through the Republican era, illustrates how these theoretical dimensions manifest in practical governance and corporate behavior. The historical evolution of state-business relations in China showcases the complex and often contradictory nature of corporate responsibility. During the late Qing period, the emergence of modern corporate organizations and the state’s role as a crucial external political stakeholder exemplified the interconnectedness of business and state interests. The rise of local Han elites and business leaders within the state power network illustrated the social basis of the state, where political and economic elites collaborated to shape national policies as exemplified in corporate responsibility. Chambers of commerce emerged as pivotal institutions representing the interests of business elites, further embedding them within the state apparatus. These organizations played significant roles in national political and social reforms, illustrating the modes of representation within the state’s decision-making processes. The involvement of business elites in legislative reforms and revolutionary activities underscores the fluid and dynamic nature of state-business relations.

The historical case of China provides critical insights into the implications of corporate responsibility in contemporary contexts, particularly in authoritarian and developmental states. The alignment of corporate responsibility with state objectives and the strategic mobilization of business elites highlights the potential for corporate responsibility to be co-opted by political and economic interests. This raises important questions about the genuine impact of corporate responsibility initiatives on public welfare and human rights. In many late-developing countries, the developmentalist discourse continues to shape corporate responsibility practices. The extent to which these practices serve public interests versus the interests of political and business elites deeply roots in the dynamic state-business relations in these contexts which need to be further explored case by case. Ensuring that corporate responsibility contributes meaningfully to social welfare and human rights requires robust governance frameworks based on the principles of transparency and democracy through vigilant scrutiny of state-business interactions.

The application of Jessop’s SRA to the historical case of early modern China offers a nuanced understanding of corporate responsibility within the context of an authoritarian and developmentalist nation state. By viewing the state as a dynamic and relational entity, this analysis has illuminated the complexities and contradictions inherent in corporate responsibility practices. In early modern China, the interplay between state strategies, business interests, and socio-political transformations shaped the development of corporate responsibility. The integration of business elites into state governance, the legislative and policy interventions, and the mobilization of corporate actors for national development illustrate the multifaceted nature of corporate responsibility which, on the one hand, aligns with state elites’ interests to promote the state’s developmental projects for national revival, on the other hand, mobilizes social forces in their different kinds of state projects for social and political change, in this context. The insights gained from this historical analysis are relevant for contemporary discussions on corporate responsibility, particularly in authoritarian and developmental states. The strategic use of corporate responsibility by the state, the potential for elite co-option, and the implications for public welfare and human rights are critical considerations for policymakers and scholars alike. Future research should continue to explore the dynamic and relational aspects of state-business interactions, utilizing frameworks like the SRA to deepen our understanding of corporate responsibility. By doing so, we can better address the challenges and opportunities of corporate responsibility in promoting social, environmental, and human rights outcomes in diverse political and economic contexts.

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Kang, X. Corporate (social) responsibility in state-business relations from the perspective of critical state theory: a historical case of early modern China. Int J Corporate Soc Responsibility 9 , 14 (2024). https://doi.org/10.1186/s40991-024-00102-1

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Received : 25 June 2024

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DOI : https://doi.org/10.1186/s40991-024-00102-1

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• Corporate social responsibility
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