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

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

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Research bias

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

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Case study design and methodology

• First Online: 07 June 2018

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• Nicolas Fromm 7  

Part of the book series: Politik und Gesellschaft des Nahen Ostens ((PGNO))

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This chapter aims to illustrate the methodological context of this research project. The first part covers some of the general aspects of case study research and case selection. It will be followed by a brief introduction (second part) to several general methodological key terms before elaborating on the specific methodological framework used for this research project.

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Fromm, N. (2019). Case study design and methodology. In: Constructivist Niche Diplomacy . Politik und Gesellschaft des Nahen Ostens. Springer VS, Wiesbaden. https://doi.org/10.1007/978-3-658-22519-3_4

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Please note you do not have access to teaching notes, processes of a case study methodology for postgraduate research in marketing.

European Journal of Marketing

ISSN : 0309-0566

Article publication date: 1 October 1998

Qualitative research has not been viewed as a rigorous alternative to established quantitative methods in postgraduate marketing research. However, this paper reports on the Australian development of a successful, structured approach to using the case study methodology in postgraduate research. Its aim is to present and justify guidelines for using the case study research methodology in honours, masters and PhD research theses, and so it should interest candidates and their supervisors. First, appropriate positions on a range of scientific paradigms and core issues of induction and deduction are established. Then implementation of the case study methodology is examined, including the numbers of case studies and of interviews. Unusual but effective uses of theoretical replication to rigorously analyze case study data are illustrated from postgraduate theses. Finally, a framework is provided for constructing a thesis, emphasizing the key methodology chapter.

• Case studies
• Marketing research
• Marketing theory
• Methodology

Perry, C. (1998), "Processes of a case study methodology for postgraduate research in marketing", European Journal of Marketing , Vol. 32 No. 9/10, pp. 785-802. https://doi.org/10.1108/03090569810232237

Copyright © 1998, MCB UP Limited

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Case Study Research Method in Psychology

Saul Mcleod, PhD

Editor-in-Chief for Simply Psychology

BSc (Hons) Psychology, MRes, PhD, University of Manchester

Saul Mcleod, PhD., is a qualified psychology teacher with over 18 years of experience in further and higher education. He has been published in peer-reviewed journals, including the Journal of Clinical Psychology.

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Case studies are in-depth investigations of a person, group, event, or community. Typically, data is gathered from various sources using several methods (e.g., observations & interviews).

The case study research method originated in clinical medicine (the case history, i.e., the patient’s personal history). In psychology, case studies are often confined to the study of a particular individual.

The information is mainly biographical and relates to events in the individual’s past (i.e., retrospective), as well as to significant events that are currently occurring in his or her everyday life.

The case study is not a research method, but researchers select methods of data collection and analysis that will generate material suitable for case studies.

Freud (1909a, 1909b) conducted very detailed investigations into the private lives of his patients in an attempt to both understand and help them overcome their illnesses.

This makes it clear that the case study is a method that should only be used by a psychologist, therapist, or psychiatrist, i.e., someone with a professional qualification.

There is an ethical issue of competence. Only someone qualified to diagnose and treat a person can conduct a formal case study relating to atypical (i.e., abnormal) behavior or atypical development.

 Famous Case Studies

• Anna O – One of the most famous case studies, documenting psychoanalyst Josef Breuer’s treatment of “Anna O” (real name Bertha Pappenheim) for hysteria in the late 1800s using early psychoanalytic theory.
• Little Hans – A child psychoanalysis case study published by Sigmund Freud in 1909 analyzing his five-year-old patient Herbert Graf’s house phobia as related to the Oedipus complex.
• Bruce/Brenda – Gender identity case of the boy (Bruce) whose botched circumcision led psychologist John Money to advise gender reassignment and raise him as a girl (Brenda) in the 1960s.
• Genie Wiley – Linguistics/psychological development case of the victim of extreme isolation abuse who was studied in 1970s California for effects of early language deprivation on acquiring speech later in life.
• Phineas Gage – One of the most famous neuropsychology case studies analyzes personality changes in railroad worker Phineas Gage after an 1848 brain injury involving a tamping iron piercing his skull.

Clinical Case Studies

• Studying the effectiveness of psychotherapy approaches with an individual patient
• Assessing and treating mental illnesses like depression, anxiety disorders, PTSD
• Neuropsychological cases investigating brain injuries or disorders

Child Psychology Case Studies

• Studying psychological development from birth through adolescence
• Cases of learning disabilities, autism spectrum disorders, ADHD
• Effects of trauma, abuse, deprivation on development

Types of Case Studies

• Explanatory case studies : Used to explore causation in order to find underlying principles. Helpful for doing qualitative analysis to explain presumed causal links.
• Exploratory case studies : Used to explore situations where an intervention being evaluated has no clear set of outcomes. It helps define questions and hypotheses for future research.
• Descriptive case studies : Describe an intervention or phenomenon and the real-life context in which it occurred. It is helpful for illustrating certain topics within an evaluation.
• Multiple-case studies : Used to explore differences between cases and replicate findings across cases. Helpful for comparing and contrasting specific cases.
• Intrinsic : Used to gain a better understanding of a particular case. Helpful for capturing the complexity of a single case.
• Collective : Used to explore a general phenomenon using multiple case studies. Helpful for jointly studying a group of cases in order to inquire into the phenomenon.

Where Do You Find Data for a Case Study?

There are several places to find data for a case study. The key is to gather data from multiple sources to get a complete picture of the case and corroborate facts or findings through triangulation of evidence. Most of this information is likely qualitative (i.e., verbal description rather than measurement), but the psychologist might also collect numerical data.

1. Primary sources

• Interviews – Interviewing key people related to the case to get their perspectives and insights. The interview is an extremely effective procedure for obtaining information about an individual, and it may be used to collect comments from the person’s friends, parents, employer, workmates, and others who have a good knowledge of the person, as well as to obtain facts from the person him or herself.
• Observations – Observing behaviors, interactions, processes, etc., related to the case as they unfold in real-time.
• Documents & Records – Reviewing private documents, diaries, public records, correspondence, meeting minutes, etc., relevant to the case.

2. Secondary sources

• News/Media – News coverage of events related to the case study.
• Academic articles – Journal articles, dissertations etc. that discuss the case.
• Government reports – Official data and records related to the case context.
• Books/films – Books, documentaries or films discussing the case.

3. Archival records

Searching historical archives, museum collections and databases to find relevant documents, visual/audio records related to the case history and context.

Public archives like newspapers, organizational records, photographic collections could all include potentially relevant pieces of information to shed light on attitudes, cultural perspectives, common practices and historical contexts related to psychology.

4. Organizational records

Organizational records offer the advantage of often having large datasets collected over time that can reveal or confirm psychological insights.

Of course, privacy and ethical concerns regarding confidential data must be navigated carefully.

However, with proper protocols, organizational records can provide invaluable context and empirical depth to qualitative case studies exploring the intersection of psychology and organizations.

• Organizational/industrial psychology research : Organizational records like employee surveys, turnover/retention data, policies, incident reports etc. may provide insight into topics like job satisfaction, workplace culture and dynamics, leadership issues, employee behaviors etc.
• Clinical psychology : Therapists/hospitals may grant access to anonymized medical records to study aspects like assessments, diagnoses, treatment plans etc. This could shed light on clinical practices.
• School psychology : Studies could utilize anonymized student records like test scores, grades, disciplinary issues, and counseling referrals to study child development, learning barriers, effectiveness of support programs, and more.

How do I Write a Case Study in Psychology?

Follow specified case study guidelines provided by a journal or your psychology tutor. General components of clinical case studies include: background, symptoms, assessments, diagnosis, treatment, and outcomes. Interpreting the information means the researcher decides what to include or leave out. A good case study should always clarify which information is the factual description and which is an inference or the researcher’s opinion.

1. Introduction

• Provide background on the case context and why it is of interest, presenting background information like demographics, relevant history, and presenting problem.
• Compare briefly to similar published cases if applicable. Clearly state the focus/importance of the case.

2. Case Presentation

• Describe the presenting problem in detail, including symptoms, duration,and impact on daily life.
• Include client demographics like age and gender, information about social relationships, and mental health history.
• Describe all physical, emotional, and/or sensory symptoms reported by the client.
• Use patient quotes to describe the initial complaint verbatim. Follow with full-sentence summaries of relevant history details gathered, including key components that led to a working diagnosis.
• Summarize clinical exam results, namely orthopedic/neurological tests, imaging, lab tests, etc. Note actual results rather than subjective conclusions. Provide images if clearly reproducible/anonymized.
• Clearly state the working diagnosis or clinical impression before transitioning to management.

3. Management and Outcome

• Indicate the total duration of care and number of treatments given over what timeframe. Use specific names/descriptions for any therapies/interventions applied.
• Present the results of the intervention,including any quantitative or qualitative data collected.
• For outcomes, utilize visual analog scales for pain, medication usage logs, etc., if possible. Include patient self-reports of improvement/worsening of symptoms. Note the reason for discharge/end of care.

4. Discussion

• Analyze the case, exploring contributing factors, limitations of the study, and connections to existing research.
• Analyze the effectiveness of the intervention,considering factors like participant adherence, limitations of the study, and potential alternative explanations for the results.
• Identify any questions raised in the case analysis and relate insights to established theories and current research if applicable. Avoid definitive claims about physiological explanations.
• Offer clinical implications, and suggest future research directions.

5. Additional Items

• Thank specific assistants for writing support only. No patient acknowledgments.
• References should directly support any key claims or quotes included.
• Use tables/figures/images only if substantially informative. Include permissions and legends/explanatory notes.
• Provides detailed (rich qualitative) information.
• Provides insight for further research.
• Permitting investigation of otherwise impractical (or unethical) situations.

Case studies allow a researcher to investigate a topic in far more detail than might be possible if they were trying to deal with a large number of research participants (nomothetic approach) with the aim of ‘averaging’.

Because of their in-depth, multi-sided approach, case studies often shed light on aspects of human thinking and behavior that would be unethical or impractical to study in other ways.

Research that only looks into the measurable aspects of human behavior is not likely to give us insights into the subjective dimension of experience, which is important to psychoanalytic and humanistic psychologists.

Case studies are often used in exploratory research. They can help us generate new ideas (that might be tested by other methods). They are an important way of illustrating theories and can help show how different aspects of a person’s life are related to each other.

The method is, therefore, important for psychologists who adopt a holistic point of view (i.e., humanistic psychologists ).

Limitations

• Lacking scientific rigor and providing little basis for generalization of results to the wider population.
• Researchers’ own subjective feelings may influence the case study (researcher bias).
• Difficult to replicate.
• Time-consuming and expensive.
• The volume of data, together with the time restrictions in place, impacted the depth of analysis that was possible within the available resources.

Because a case study deals with only one person/event/group, we can never be sure if the case study investigated is representative of the wider body of “similar” instances. This means the conclusions drawn from a particular case may not be transferable to other settings.

Because case studies are based on the analysis of qualitative (i.e., descriptive) data , a lot depends on the psychologist’s interpretation of the information she has acquired.

This means that there is a lot of scope for Anna O , and it could be that the subjective opinions of the psychologist intrude in the assessment of what the data means.

For example, Freud has been criticized for producing case studies in which the information was sometimes distorted to fit particular behavioral theories (e.g., Little Hans ).

This is also true of Money’s interpretation of the Bruce/Brenda case study (Diamond, 1997) when he ignored evidence that went against his theory.

Breuer, J., & Freud, S. (1895).  Studies on hysteria . Standard Edition 2: London.

Curtiss, S. (1981). Genie: The case of a modern wild child .

Diamond, M., & Sigmundson, K. (1997). Sex Reassignment at Birth: Long-term Review and Clinical Implications. Archives of Pediatrics & Adolescent Medicine , 151(3), 298-304

Freud, S. (1909a). Analysis of a phobia of a five year old boy. In The Pelican Freud Library (1977), Vol 8, Case Histories 1, pages 169-306

Freud, S. (1909b). Bemerkungen über einen Fall von Zwangsneurose (Der “Rattenmann”). Jb. psychoanal. psychopathol. Forsch ., I, p. 357-421; GW, VII, p. 379-463; Notes upon a case of obsessional neurosis, SE , 10: 151-318.

Harlow J. M. (1848). Passage of an iron rod through the head.  Boston Medical and Surgical Journal, 39 , 389–393.

Harlow, J. M. (1868).  Recovery from the Passage of an Iron Bar through the Head .  Publications of the Massachusetts Medical Society. 2  (3), 327-347.

Money, J., & Ehrhardt, A. A. (1972).  Man & Woman, Boy & Girl : The Differentiation and Dimorphism of Gender Identity from Conception to Maturity. Baltimore, Maryland: Johns Hopkins University Press.

Money, J., & Tucker, P. (1975). Sexual signatures: On being a man or a woman.

Further Information

• Case Study Approach
• Case Study Method
• Enhancing the Quality of Case Studies in Health Services Research
• “We do things together” A case study of “couplehood” in dementia
• Using mixed methods for evaluating an integrative approach to cancer care: a case study

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Criterion Validity: Definition & Examples

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• Yale University Publications /
• School of Public Health /
• Appendix II: Thesis Guidelines /

Types of Theses

The following five types of theses are acceptable:

Investigative Thesis

The investigative thesis takes an in-depth look at a specific health problem or topic, describing its public health importance and analyzing it from a disciplined perspective. This thesis should include the following:

• Definition of the problem,
• Presentation of the study population and the methods by which data were acquired,
• Analysis of the results,
• Discussion of the implications of the results, and
• Recommendations.

Research Study Demonstrating Mastery of Methodology

This type of thesis requires sophisticated analysis and application. Consequently, students should be sure of their readiness to undertake it. This thesis should include the following:

• Statement of methodological problem;
• Comparison of available solutions, discussing the advantages and disadvantages of each; and
• Either (a) choice and application of one of the available solutions, or (b) development of a new solution with discussion of the advantages and disadvantages of that solution.

Administrative Case Study

An administrative thesis defines, describes, analyzes, and interprets an actual administrative, problem-solving activity undertaken during a student’s field work. A variety of standard case study formats may be employed. An administrative case study thesis should be planned in advance with appropriate techniques for systematic observation and recording of data as the project progresses. This thesis usually includes the following:

• Definition of the problem;
• Description of setting, structure, function, and relationships;
• Relationship of student to problem (authority and accountability);
• Procedural description (case description, process, outcome);
• Analysis of events with reference to theory; and
• Assessment of the administrative solution.

Program Analysis, Evaluation, or Projection

This type of thesis examines either retrospectively or prospectively some particular health problem. This thesis should include the following:

• Definition of the problem that the program addresses,
• Statement of program goals and objectives, and
• Target population (characteristics, distribution, levels of protection, morbidity);
• Historical information, goals, politics;
• Resources and use of resources (acceptability, accessibility);
• Basis of intervention, data on knowledge, attitudes and practices;
• Cost analysis; and
• Specification of further data needs.

Special Project

This type of thesis incorporates a product useful in the teaching or practice of public health such as a curriculum, syllabus, or course for a school program or on-the-job training; specific educational aids (perhaps a computer-assisted learning experience, a programmed instruction course, or a training manual); a movie, videotape, or slide package; a pamphlet for use in health information; a set of formal administrative guidelines to implement a law or administrative decision; or architectural plans for a health facility.

In addition to the product, the student must produce a written analysis that includes the following:

• A rationale for the product and the anticipated audience/users;
• Review of relevant literature;
• Reasons for the selection of the chosen medium/method, including relevant theory;
• Proposal for method to evaluate the product; and
• Discussion of the limitations of the product.

The special project may require review by the Committee on Academic Progress.

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A spotlight on uOttawa's bullying problem

The case study methodology

How to write the case study methodology chapter of your MA/PhD thesis. The following discussion explains the case study methodology – more specifically, the qualitative exploratory case study methodology – as used in a uOttawa MA in Communication thesis (2015) and a uOttawa PhD in DTI thesis (2020) .

Introduction

Methodology rationale, sampling strategy and sampling criteria, data collection and analysis, coding and the analytic strategy, reliability and validity, data validation protocols, chapter conclusion.

You may also be interested in The subject matter expert interview request email: How it’s done .

The methodology chapter begins with the introduction section. Off the top, state the research question(s) of the thesis or research project, the proper (formal) name of the research method, and the theoretical framework. Next, give an outline of the discussion to come. Use the past tense or the present perfect tense for the methodology chapter, as required by APA Style guidelines. For example ,

This thesis addressed the research questions: 1) What constitutes ethical hacking teaching practices, 2) What constitutes hacking skills, 3) What is the risk to society of teaching students hacking skills, and 4) How to mitigate the risk? This thesis followed the qualitative exploratory case study method (Creswell, 2003, 2007; Stake, 1995; Yin, 1994, 2003) focusing on two Canadian universities as case studies. The thesis applied Bunge’s (1975) technoethical pragmatic value theory (TEI) in conjunction with Karl Weick’s (1969, 1979, 1995) sensemaking model as a sociotechnical theory of society (STEI-KW) to address the research questions (see Table 8: RQs, Data Collection, and Theoretical Frameworks). This chapter first explained the research design and its suitability for addressing the thesis research questions (methodology rationale). Next, the discussion explained the sampling strategy and sampling criteria along with the rationale for the selection of the case studies. Data collection and analysis procedures were then discussed, followed by an explanation of the coding and analytic strategy. The methodology reliability and validity and the data validation protocols were then discussed. Finally, the conclusion section summarized the key points covered in this chapter.

Research design must address three concerns: Knowledge claims or theoretical perspectives, strategies of inquiry, and methods of data collection and analysis (Creswell, 2003, 2007). Qualitative research takes place in a natural setting which enables the researcher to develop a level of detail about the place or individual and to be involved in the experiences of the participants (Creswell, 2003; Rossman & Rallis, 1998). Throughout the “qualitative research process, the researchers keep focus on learning the meaning that the participants hold about the problem or issue, not the meaning that the researchers bring to the research or writers from the literature” (Creswell, 2013, p. 47). A pragmatic knowledge claim to qualitative research is pluralistic and problem-centred, and is concerned with consequences of actions and real-world practice (Creswell, 2003). Two approaches are suitable for pragmatic research: Experimental and case study (Yin, 2003). Case studies allow researchers to explore a program, event, activity, process, or individuals in depth (Creswell, 2003). A case study deals with contextual variables and relies on multiple sources of evidence. It can be thought of as a comprehensive method, covering the logic of design, and data collection and analysis techniques. A case study,

is an empirical inquiry that investigates a contemporary phenomenon within its real-life context, especially when the boundaries between phenomenon and context are not clearly evident. (Yin, 2003, p. 13)

Case analysis is a particularly appropriate method for the investigation of systems explanations of organizational functioning (Miller, 2009). It aligns with STEI and with Weick’s sensemaking model in their systemic and pragmatic theoretical orientation regarding data collection and analysis, including triangulation via data derived from multiple stakeholder perspectives and the centrality of context and personal experience as sources of knowledge. The qualitative case study methodology is well suited for capturing the unique complexities of a single case (Stake, 1995), when the study focus is on operational links rather than on frequencies or incidences, when little control over events is expected, and when the focus of the study is on contemporary phenomena within a real-life context (Yin, 1994).

The qualitative exploratory case study methodology is particularly appropriate when there is a scarcity in the literature on the subject (Stebbins, 2011). Case study research is suitable to “either develop an in-depth understanding of a single case or explore an issue or problem using the case as a specific illustration” (Creswell, 2013, p. 97). In a single instrumental case study (Stake, 1995), the researcher “focuses on an issue or concern, and then selects one bounded case to illustrate this issue” (cited in Creswell, 2013, p. 99). The thesis followed the instrumental case study approach.

The case study (Stake, 1995; Yin, 1989) qualitative research method examines in depth purposeful samples to study a phenomenon such as ethical hacking. It exemplifies the researcher preference for depth, detail, and context, often working with smaller and more focused samples in comparison to the large samples of primary interest to statistical researchers. Exploratory research is suitable for problems or phenomena that are in the formative stages to help clarify primary issues surrounding the problem or to establish priorities, clarify trends or map a field and develop operational definitions (Shields & Rangarjan, 2013).

Qualitative research is iterative and adjustments and changes are a natural part of qualitative work. The qualitative researcher uses reasoning that is multifaceted and iterative “with a cycling back and forth from data collection and analysis to problem reformulation and back” (Creswell, 2003, p. 183). Qualitative research involves “an emergent and evolving design rather than tightly prefigured design” (Creswell, 2013, p. 46). The research process for qualitative researchers is emergent. This means that the initial plan for research cannot be tightly prescribed, and that all phases of the process may change or shift after the researchers enter the field and begin to collect data. (Creswell, 2013, p. 47)

The interview participants were recruited by email with the aid of a formal recruitment letter and a consent agreement to participate in the research. In-depth, semi-structured interviews were conducted within a set time (1 hour) at various university campus locations or by phone. The interview sessions were audio recorded and the relevant parts transcribed for accuracy. Further, hand-written notes were taken during the interviews. The sampling criteria for the interview participants were as follows: Each of the interviewed university experts in information security penetration testing and industry practitioners (those with experience practicing ethical hacking or hiring ethical hackers) had a minimum of one-year experience in information security testing teaching and practice in higher education and in the IT industry respectively; or participants had at least one year experience in information security or IT policy or policy analysis in academia. Interview participants were sought out for their expert knowledge in 1) scholarly research in ethical hacking education and practice; 2) current practices and trends in ethical hacking education and practice; and 3) organizational communication practices in ethical hacking education or industry experience in practicing ethical hacking or mentoring or training or hiring ethical hackers. The participating universities were chosen because the needed expert knowledge was found there.

The theoretical framework (STEI-KW) guided data collection and analysis. Structural and behavioral analysis of society as a social system points to society as a liberal open society founded on the ideals of the Scientific Revolution and the Enlightenment. Open hacking technologies are the focus of the study. This is justified on two accounts, 1) since sociotechnology is understood as social technologies or social technological ontologies, open society is ontologically co-extensive with open technology (emphasizing the nature of technology as a social construct); hacking skills are ontologically coextensive with hacking technologies, hacking methodologies, hacking values, and so on; and 2) since the key structural property of a ST society as theorized in the thesis is its open nature, studying digital hacking technologies at the intersection of society and technology means focusing on open hacking skills and open hacking technologies. Put differently, according to the STS approach, hacking technologies as socially constructed are understood to mirror the society that produces them (society is theorized as open, scientific, and knowledge making), hence the focus on open hacking technologies.

Data collection and analysis consisted of systematic literature reviews (Jesson, Matheson, & Lacey, 2011; Okoli & Schabram, 2010), organizational document reviews of two Canadian universities, and in-depth interviews with 14 interview participants (in addition to one participant who contributed via email) comprised of university experts and industry practitioners of ethical hacking and policy experts. Numerous secondary resources were consulted including governmental and business/industry resources, policy reports, industry white papers, and many websites. For research questions 1-2: Systematic literature reviews and organizational document reviews were conducted comprised of about 50 pages of organizational documents available on public web pages of two Canadian universities. For research questions 3-4: Narrative literature reviews were conducted augmented with input from RQ1 and RQ2 SLRs. For research questions 1-4: In-depth interviews (Jackson, Gillis, & Verberg, 2011) were conducted with university experts, industry practitioners, and policy experts. RQs 1 and 2 are addressed in the Findings chapter. RQs 3 and 4 are addressed in the Advanced Analysis chapter. RQ3 is addressed under technology assessment and Teaching vs Practice (the case studies), while RQ4 is addressed under the risk mitigation discussion (recommendations). (SLRs for RQ1 and RQ2 have informed RQ3 and RQ4. Rather than conducting SLRs for RQ3 and RQ4, the researcher opted to focus on extant government and business/industry research/reports of clear and direct relevance to the thesis, e.g., CSE’s, 2018, cyber threat assessment report, and Kool et al.’s, 2017, state of the art research on social digitization, its key technologies, and potential impacts on society.)

A systematic literature review was conducted for RQ1 What constitutes ethical hacking teaching practices? Four key themes emerged: Professional ethical hacking is legal, Ethical hackers are trustworthy, What do ethical hackers do? and An identity and legitimacy crisis. A systematic literature review was conducted for RQ2 What constitutes hacking skills? Three key themes emerged: Steps of the penetration testing process, Open source penetration testing methodologies, and The penetration test report. Contribution to knowledge of RQ2 was delineated by the theoretical framework and focused on open/open source technologies. Further, RQ2 (hacking skills/knowledge) was subordinate to RQ1 (i.e., “who are ethical hackers and what do they do” included a synthesis of a foundational framework/profile for professional ethical hacking practitioners–the meanings, ethics, values, skills/knowledge, roles and responsibilities, and practices).

A narrative literature review was conducted for RQ3 (risk assessment) focusing on pragmatic technology assessment using STEI-DMG, which is concerned with the ethics of teaching students hacking skills or the ethics of using hacking technologies in ethical hacking teaching practices in higher education (weighing opportunities against threats) invoking the precautionary principle (the risk of not teaching students hacking skills). Are the teaching practices in tune with societal needs and incorporate the interests/values of key societal sectors/stakeholder groups? Open coding was performed during a first pass through the data for what constitutes ethical hacking teaching practices. Coding coalesced around three main themes that are discussed within the broader Teaching vs Practice cybersecurity skill gap context: Teaching ethical hacking skillset, Pedagogy as Communication, and Technology Assessment: An Integrative Approach.

A narrative literature review was conducted for RQ4 (risk mitigation) focusing on S&T innovation initiatives. Applying EDP-STEI-KW to advise ethical design of ethical hacking teaching practices pointed to (recommendations) the role of OSINT Analyst, a novel cybersecurity role synthesized to meet the needs of society, and the foundation framework of a body of knowledge for the role. Applying EDP-STEI-KW to advise ethical governance of using digital hacking technologies in higher education and in broader society pointed to (recommendations) the professionalization of ethical hacking as an occupation/the licensing of professional ethical hacking practitioners, and to a public policy initiative comprised of a networked centre of excellence of ethical hacking communities of practice as a research and governance approach and the policy innovation decision making framework of SSP-DMG.

Organizational documentation consisted of 50 webpages concerning program course requirements and course descriptions of undergraduate courses in CS, CE, and SE programs (3 credit) courses taught in English for 2019-2020 at the two participating higher education institutions. Online course descriptions at the two participating research institutions were surveyed for technical and social hacking skills focusing on network penetration testing high-level concepts. Courses not directly teaching computer network skills were excluded from the analysis (courses with “security” or “secure” in their title were retained for examination given their direct relevance). Finally, the study focused on courses cross-referenced between the two participating universities. Program requirements for CS/CE/SE majors were examined for required courses in technical hacking skills and social hacking skills, the latter includes ethics and social science. Further, two courses were closely examined: The syllabus for a computer systems security course and the syllabus for a professional practice course for insights into communication practices (pedagogy as communication) and insights into what constitutes professional practice. See Organizational Document Review. Finally, bachelor degree programs in CS/CE/SE disciplines were surveyed for inclusion of security majors/specializations.

Organizational Document Review

In-depth, semi-structured interviews were conducted with 14 interview participants (in addition to one participant, PPT15, who contributed via email) between December 7, 2018 to April 15, 2019: Four ethical hacking university experts, four ethical hacking industry practitioners, and six policy experts (see Interview Participants by Area of Expertise).

Interview Participants by Area of Expertise

In-depth interviews are typically done “to solicit people’s descriptions and explanations of events taking place in their own environment” (Eid, 2011, p.10). Advantages of conducting in-depth interviews include more researcher control over the line of questioning, and the ability to obtain historical and primary information (Creswell, 2003). In-depth interviews allow researchers to collect the respondents’ perceptions of their world.  Interview quotations are used to illustrate key analytical points. Combining in-depth interviews with a document review enables the capturing of explicit as well as tacit knowledge surrounding organizational practices.

Data analysis involves systematically organizing, integrating, and examining data, searching for patterns and relationships in the details. The “recursive process of analysis begins immediately with the first data-collection episode and continues throughout the study” (Jackson, Gillies, & Verberg, 2011, p. 242). “To analyze, we connect particular data to concepts, advance generalizations, and identify broad trends or themes. Analysis allows us to improve understanding, expand theory, and advance knowledge” (Neuman, 2011, p. 341). After coding, concept building, and emergence of key themes, analytic strategies are applied for the analysis of the data–strategies that link data to theory. In qualitative research, coding or “concept formation is an integral part of data analysis and begins during data collection”–conceptualization is a way to organize and make sense of data. The research questions provide a guide but the data analysis process often leads to new questions. Theory is used to interpret the findings (Neuman, 2011, p. 344). Data analysis means making conceptual connections of the data or searching for patterns in the data. “Once you identify a pattern, you need to interpret it in terms of a social theory or the setting in which it occurred. This allows you to move from the particular description from a historical event or social setting to a more general interpretation” (Neuman, 2011, p. 351).

Data coding was performed against the theoretical propositions (Yin, 1994) of STEI-KW. The illustrative pattern matching method (Neuman, 2010) was applied as the analytic strategy. The illustrative method anchors or illustrates theoretical concepts with empirical evidence. It applies theory to a concrete social setting and organizes data based on theory. “Preexisting theory can provide conceptual empty boxes that you fill with the empirical evidence” (Neuman, 2011, p. 353). In the pattern matching variation of this analytic strategy, patterns or concepts identified in the case studies are matched to those derived from theory. Open coding was performed during a first pass through the data for the ethics, values, meanings, skills/knowledge, roles and responsibilities, and practices of professional ethical hackers and ethical hacking. The interviews were transcribed first, and two coding tables were created–Table 9: Hacking Skills Coding Table (Network Penetration Testing) and Table 10: Professional Ethical Hackers Coding Table. Open coding themes from the interviews, the literature reviews, and organizational documents were extracted and incorporated in the coding tables.

Reliability and validity are concepts that address the truthfulness, credibility, or believability of findings (Neuman, 2010). Reliability refers to the replicability of a researcher’s results–the extent to which another researcher can make similar observations under identical or very similar conditions (Creswell, 2003; Neuman, 2010; Stake, 1995; Stebbins, 2002; Yin, 1994). Reliability means dependability or consistency (Neuman, 2010). Researchers must be consistent in how they make observations; for example, through the use of explicit interview questions and research procedures (Neuman, 2010; Yin, 1994). Validity in exploratory research (credibility or trustworthiness) refers to whether a researcher can gain an accurate impression of a group, a process, or an activity, and how so (Stebbins, 2002). Validity suggests truthfulness. It refers to “how well an idea ‘fits’ with actual reality”; or “how well we measure social reality using our constructs about it” (Neuman, 2011, p. 175). Qualitative researchers are more interested in achieving authenticity than in realizing a single version of Truth (Neuman, 2010). Authenticity means, “offering a fair, honest, and balanced account of social life from the viewpoint of the people who live it every day” (Neuman, 2011, p. 181). Reliability requires clarity about the followed procedures of data collection, analysis, and interpretation to ensure consistency. Hence researchers are encouraged to develop a case study protocol, keep an organized case study database, and maintain a chain of evidence (Yin, 1994). Reliability also requires clarity on the logic linking the data to the research propositions or questions, the operational measures used for the concepts or theories, and the criteria used to interpret the data (Yin, 1994). The thesis enhanced the reliability of the research methodology by providing details about the participant recruitment process, the data collection methods (the interviewing process and interview questions, as well as documentation gathering), and data analysis.  

Saturation is a popular strategy for the trustworthiness of findings. Data saturation or information redundancy is the point at which no new themes or codes emerge from the data. The researcher did not find it helpful to “operationalize” the concept of saturation to determine a priori the number of interview participants that would be sufficient to achieve coding reliability that somehow faithfully reflects the facts out there–as this presumes the researcher is not an active agent who interacts with the data subjectively and intersubjectively to construct knowledge that reflects “facts” inextricably mixed with values and interests. I agree with Braun and Clarke (2019) that while the concept of data/thematic saturation is “coherent with the neo-positivist, discovery-oriented, meaning excavation project of coding reliability types of (Thematic Analysis),” it is not consistent with the values and assumptions of reflexive TA. I agree with them that researchers using reflexive thematic analysis ought to “dwell with uncertainty and recognise that meaning is generated through interpretation of, not excavated from, data, and therefore judgements about ‘how many’ data items, and when to stop data collection, are inescapably situated and subjective, and cannot be determined (wholly) in advance of analysis.” The researcher’s approach to TA/to capture patterns of meaning across datasets was reflexive, probably a mix of following a deductive way where “coding and theme development are directed by existing concepts (STEI-KW guided data collection and analysis) and, more importantly, following a constructivist way. A constructivist approach puts emphasis on sociocultural context and on personal experience as sources of knowledge. For the researcher, saturation as a milestone in data collection and analysis has to do more with self-awareness than with correspondence to facts or reality. The researcher does not believe they went out there and discovered the facts; rather, the researcher interacted with the data and interpreted it based on the researcher’s experiences in life and the broader social totality that shapes the researcher’s views and values.

The theoretical framework STEI-KW guided data collection and analysis. Further, the researcher’s past work and experience on the topic of ethical hacking helped them identify key themes. Systemism (Bunge, 1979) instructs that the proper study of society is “the study of the socially relevant features of the individual as well as the research into the properties and changes of society as a whole” (p. 14) and hence pointed the researcher to the need to understand the professional attributes of ethical hacking practitioners. The researcher went into the interviews searching for insights about the socially relevant features or professional attributes of ethical hackers that can serve as a basis for sketching out a professional practice profile–the meanings, ethics, values, skill/knowledge, roles and responsibilities, and practices, as open coding elements. Further, the researcher went into the data collection interviews looking for “ST hacking skills”–that is, for technical hacking skills and social hacking skills as two broad categories or themes when discussing ethical hacking technology use/teaching practices.

Method validation protocols included: 1) Triangulation of measure (Neuman, 2011) or triangulation of data (Yin, 1994): Different sources of data and different measures (perspectives) of ethical hacking practices were used in order to increase the validity of the study; 2) triangulation of method (Stake, 1995): Three data collection methods were used—in-depth interviews with subject matter experts and stakeholder groups, organizational document reviews, and systematic literature reviews; 3) triangulation of observers (Neuman, 2011) or member checking (Stake, 1995): Participants were consulted on the findings (the interview transcripts) so as to counter researcher bias (perception and interpretation) and to ensure the accuracy of quotes; and 4) triangulation of theory (STEI-KW): Two complementary theoretical lenses, STEI and the KW, were used to situate organizational ethical hacking practices within the broader industry and social contexts.

This chapter first addressed the methodological justification for the thesis. It then explained the research design. This was followed by a statement about the rationale for the selection of the research site and sampling strategy. Data collection and analysis procedures were then discussed. An explanation of the implemented data validation protocols followed. Finally, the methodology reliability and validity protocols were discussed.

Related content

Abu-Shaqra, B. (2015).  Technoethics and organizing: Exploring ethical hacking within a Canadian university  (2015-04-24T13:40:05Z) [Master thesis, University of Ottawa]. uO Research.

Abu-Shaqra, B. (2020).  Technoethics and sensemaking: Risk assessment and knowledge management of ethical hacking in a sociotechnical society  (2020-04-17T20:04:42Z) [Doctoral dissertation, University of Ottawa]. uO Research.

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Research Methodology – Types, Examples and writing Guide

Table of Contents

Research Methodology

Definition:

Research Methodology refers to the systematic and scientific approach used to conduct research, investigate problems, and gather data and information for a specific purpose. It involves the techniques and procedures used to identify, collect , analyze , and interpret data to answer research questions or solve research problems . Moreover, They are philosophical and theoretical frameworks that guide the research process.

Structure of Research Methodology

Research methodology formats can vary depending on the specific requirements of the research project, but the following is a basic example of a structure for a research methodology section:

I. Introduction

• Provide an overview of the research problem and the need for a research methodology section
• Outline the main research questions and objectives

II. Research Design

• Explain the research design chosen and why it is appropriate for the research question(s) and objectives
• Discuss any alternative research designs considered and why they were not chosen
• Describe the research setting and participants (if applicable)

III. Data Collection Methods

• Describe the methods used to collect data (e.g., surveys, interviews, observations)
• Explain how the data collection methods were chosen and why they are appropriate for the research question(s) and objectives
• Detail any procedures or instruments used for data collection

IV. Data Analysis Methods

• Describe the methods used to analyze the data (e.g., statistical analysis, content analysis )
• Explain how the data analysis methods were chosen and why they are appropriate for the research question(s) and objectives
• Detail any procedures or software used for data analysis

V. Ethical Considerations

• Discuss any ethical issues that may arise from the research and how they were addressed
• Explain how informed consent was obtained (if applicable)
• Detail any measures taken to ensure confidentiality and anonymity

VI. Limitations

• Identify any potential limitations of the research methodology and how they may impact the results and conclusions

VII. Conclusion

• Summarize the key aspects of the research methodology section
• Explain how the research methodology addresses the research question(s) and objectives

Research Methodology Types

Types of Research Methodology are as follows:

Quantitative Research Methodology

This is a research methodology that involves the collection and analysis of numerical data using statistical methods. This type of research is often used to study cause-and-effect relationships and to make predictions.

Qualitative Research Methodology

This is a research methodology that involves the collection and analysis of non-numerical data such as words, images, and observations. This type of research is often used to explore complex phenomena, to gain an in-depth understanding of a particular topic, and to generate hypotheses.

Mixed-Methods Research Methodology

This is a research methodology that combines elements of both quantitative and qualitative research. This approach can be particularly useful for studies that aim to explore complex phenomena and to provide a more comprehensive understanding of a particular topic.

Case Study Research Methodology

This is a research methodology that involves in-depth examination of a single case or a small number of cases. Case studies are often used in psychology, sociology, and anthropology to gain a detailed understanding of a particular individual or group.

Action Research Methodology

This is a research methodology that involves a collaborative process between researchers and practitioners to identify and solve real-world problems. Action research is often used in education, healthcare, and social work.

Experimental Research Methodology

This is a research methodology that involves the manipulation of one or more independent variables to observe their effects on a dependent variable. Experimental research is often used to study cause-and-effect relationships and to make predictions.

Survey Research Methodology

This is a research methodology that involves the collection of data from a sample of individuals using questionnaires or interviews. Survey research is often used to study attitudes, opinions, and behaviors.

Grounded Theory Research Methodology

This is a research methodology that involves the development of theories based on the data collected during the research process. Grounded theory is often used in sociology and anthropology to generate theories about social phenomena.

Research Methodology Example

An Example of Research Methodology could be the following:

Research Methodology for Investigating the Effectiveness of Cognitive Behavioral Therapy in Reducing Symptoms of Depression in Adults

Introduction:

The aim of this research is to investigate the effectiveness of cognitive-behavioral therapy (CBT) in reducing symptoms of depression in adults. To achieve this objective, a randomized controlled trial (RCT) will be conducted using a mixed-methods approach.

Research Design:

The study will follow a pre-test and post-test design with two groups: an experimental group receiving CBT and a control group receiving no intervention. The study will also include a qualitative component, in which semi-structured interviews will be conducted with a subset of participants to explore their experiences of receiving CBT.

Participants:

Participants will be recruited from community mental health clinics in the local area. The sample will consist of 100 adults aged 18-65 years old who meet the diagnostic criteria for major depressive disorder. Participants will be randomly assigned to either the experimental group or the control group.

Intervention :

The experimental group will receive 12 weekly sessions of CBT, each lasting 60 minutes. The intervention will be delivered by licensed mental health professionals who have been trained in CBT. The control group will receive no intervention during the study period.

Data Collection:

Quantitative data will be collected through the use of standardized measures such as the Beck Depression Inventory-II (BDI-II) and the Generalized Anxiety Disorder-7 (GAD-7). Data will be collected at baseline, immediately after the intervention, and at a 3-month follow-up. Qualitative data will be collected through semi-structured interviews with a subset of participants from the experimental group. The interviews will be conducted at the end of the intervention period, and will explore participants’ experiences of receiving CBT.

Data Analysis:

Quantitative data will be analyzed using descriptive statistics, t-tests, and mixed-model analyses of variance (ANOVA) to assess the effectiveness of the intervention. Qualitative data will be analyzed using thematic analysis to identify common themes and patterns in participants’ experiences of receiving CBT.

Ethical Considerations:

This study will comply with ethical guidelines for research involving human subjects. Participants will provide informed consent before participating in the study, and their privacy and confidentiality will be protected throughout the study. Any adverse events or reactions will be reported and managed appropriately.

Data Management:

All data collected will be kept confidential and stored securely using password-protected databases. Identifying information will be removed from qualitative data transcripts to ensure participants’ anonymity.

Limitations:

One potential limitation of this study is that it only focuses on one type of psychotherapy, CBT, and may not generalize to other types of therapy or interventions. Another limitation is that the study will only include participants from community mental health clinics, which may not be representative of the general population.

Conclusion:

This research aims to investigate the effectiveness of CBT in reducing symptoms of depression in adults. By using a randomized controlled trial and a mixed-methods approach, the study will provide valuable insights into the mechanisms underlying the relationship between CBT and depression. The results of this study will have important implications for the development of effective treatments for depression in clinical settings.

How to Write Research Methodology

Writing a research methodology involves explaining the methods and techniques you used to conduct research, collect data, and analyze results. It’s an essential section of any research paper or thesis, as it helps readers understand the validity and reliability of your findings. Here are the steps to write a research methodology:

• Start by explaining your research question: Begin the methodology section by restating your research question and explaining why it’s important. This helps readers understand the purpose of your research and the rationale behind your methods.
• Describe your research design: Explain the overall approach you used to conduct research. This could be a qualitative or quantitative research design, experimental or non-experimental, case study or survey, etc. Discuss the advantages and limitations of the chosen design.
• Discuss your sample: Describe the participants or subjects you included in your study. Include details such as their demographics, sampling method, sample size, and any exclusion criteria used.
• Describe your data collection methods : Explain how you collected data from your participants. This could include surveys, interviews, observations, questionnaires, or experiments. Include details on how you obtained informed consent, how you administered the tools, and how you minimized the risk of bias.
• Explain your data analysis techniques: Describe the methods you used to analyze the data you collected. This could include statistical analysis, content analysis, thematic analysis, or discourse analysis. Explain how you dealt with missing data, outliers, and any other issues that arose during the analysis.
• Discuss the validity and reliability of your research : Explain how you ensured the validity and reliability of your study. This could include measures such as triangulation, member checking, peer review, or inter-coder reliability.
• Acknowledge any limitations of your research: Discuss any limitations of your study, including any potential threats to validity or generalizability. This helps readers understand the scope of your findings and how they might apply to other contexts.
• Provide a summary: End the methodology section by summarizing the methods and techniques you used to conduct your research. This provides a clear overview of your research methodology and helps readers understand the process you followed to arrive at your findings.

When to Write Research Methodology

Research methodology is typically written after the research proposal has been approved and before the actual research is conducted. It should be written prior to data collection and analysis, as it provides a clear roadmap for the research project.

The research methodology is an important section of any research paper or thesis, as it describes the methods and procedures that will be used to conduct the research. It should include details about the research design, data collection methods, data analysis techniques, and any ethical considerations.

The methodology should be written in a clear and concise manner, and it should be based on established research practices and standards. It is important to provide enough detail so that the reader can understand how the research was conducted and evaluate the validity of the results.

Applications of Research Methodology

Here are some of the applications of research methodology:

• To identify the research problem: Research methodology is used to identify the research problem, which is the first step in conducting any research.
• To design the research: Research methodology helps in designing the research by selecting the appropriate research method, research design, and sampling technique.
• To collect data: Research methodology provides a systematic approach to collect data from primary and secondary sources.
• To analyze data: Research methodology helps in analyzing the collected data using various statistical and non-statistical techniques.
• To test hypotheses: Research methodology provides a framework for testing hypotheses and drawing conclusions based on the analysis of data.
• To generalize findings: Research methodology helps in generalizing the findings of the research to the target population.
• To develop theories : Research methodology is used to develop new theories and modify existing theories based on the findings of the research.
• To evaluate programs and policies : Research methodology is used to evaluate the effectiveness of programs and policies by collecting data and analyzing it.
• To improve decision-making: Research methodology helps in making informed decisions by providing reliable and valid data.

Purpose of Research Methodology

Research methodology serves several important purposes, including:

• To guide the research process: Research methodology provides a systematic framework for conducting research. It helps researchers to plan their research, define their research questions, and select appropriate methods and techniques for collecting and analyzing data.
• To ensure research quality: Research methodology helps researchers to ensure that their research is rigorous, reliable, and valid. It provides guidelines for minimizing bias and error in data collection and analysis, and for ensuring that research findings are accurate and trustworthy.
• To replicate research: Research methodology provides a clear and detailed account of the research process, making it possible for other researchers to replicate the study and verify its findings.
• To advance knowledge: Research methodology enables researchers to generate new knowledge and to contribute to the body of knowledge in their field. It provides a means for testing hypotheses, exploring new ideas, and discovering new insights.
• To inform decision-making: Research methodology provides evidence-based information that can inform policy and decision-making in a variety of fields, including medicine, public health, education, and business.

Advantages of Research Methodology

Research methodology has several advantages that make it a valuable tool for conducting research in various fields. Here are some of the key advantages of research methodology:

• Systematic and structured approach : Research methodology provides a systematic and structured approach to conducting research, which ensures that the research is conducted in a rigorous and comprehensive manner.
• Objectivity : Research methodology aims to ensure objectivity in the research process, which means that the research findings are based on evidence and not influenced by personal bias or subjective opinions.
• Replicability : Research methodology ensures that research can be replicated by other researchers, which is essential for validating research findings and ensuring their accuracy.
• Reliability : Research methodology aims to ensure that the research findings are reliable, which means that they are consistent and can be depended upon.
• Validity : Research methodology ensures that the research findings are valid, which means that they accurately reflect the research question or hypothesis being tested.
• Efficiency : Research methodology provides a structured and efficient way of conducting research, which helps to save time and resources.
• Flexibility : Research methodology allows researchers to choose the most appropriate research methods and techniques based on the research question, data availability, and other relevant factors.
• Scope for innovation: Research methodology provides scope for innovation and creativity in designing research studies and developing new research techniques.

Research Methodology Vs Research Methods

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Design, Fabrication, and Efficacy of Customized Medical Masks

 Masks are a widely used and important device worn on the face to provide breathing  support such as oxygen or noninvasive ventilation (NIV), or to protect the wearer  from particulates. Two key features that define masks are that they are worn for  long periods of time, and they require a good fit to function properly; so, to be a  successful mask, it must be comfortable and well-fitting. Medical masks typically  come in generic sizes such as small, medium, and large, making it difficult for many  people to find a mask that fulfills these key requirements. This thesis focuses on two  masks: continuous positive airway pressure (CPAP) masks and N95 respirators. We  propose that medical mask efficacy, fit, and comfort can be improved by creating  custom-fit masks informed by the patient’s individual facial features and properties.  

In this thesis, we propose a mask customization technique based on the subject’s  facial anatomy. We have created a method to design and fabricate custom-fit CPAP  masks based on the subject’s facial contour. We use photogrammetry to collect the  patient’s facial contour, then use our own software to generate a 3D file of a silicone  interface layer based on the patient’s 3D face shape. We can then use finite element  analysis (FEA) to test the mask and potential leakage areas so we can make changes  before fabrication. N95 respirators are typically single-use devices and are better  suited to a rapid customization technique. We have developed a 3D printable mask  that, when paired with N95 filter material can serve as an N95 respirator replacement.  By exploiting the low melting temperature of PLA, these masks can be molded to  the user’s face with hot water, providing a good fit without having to try on several  masks.  

We have tested our mask-making methodology based on facial contour on CPAP  masks made in a five-person healthy subject study, where results suggest that the  iv Custom-Fit mask is more comfortable than the off-the-shelf version. The 3D-printed  moldable N95 masks have been quantitatively fit tested on 13 subjects with 77%  of subjects passing the fit test with the molded mask. We have shown that using  the proposed mask customization methodology produces comfortable and well-fitting  CPAP and N95 masks. Finally, we tested the custom-fit CPAP mask on a clinical  case study patient. This study provided many insights on how the mask performs  on someone who uses CPAP. Applying these methods to CPAP and N95 respirators  is only the beginning of what is possible, these methods could be applied to other  masks and other custom devices. 

Degree Type

• Dissertation
• Mechanical Engineering

Degree Name

• Doctor of Philosophy (PhD)

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• Open access
• Published: 05 June 2024

Experiences of medical students and faculty regarding the use of long case as a formative assessment method at a tertiary care teaching hospital in a low resource setting: a qualitative study

• Jacob Kumakech 1 ,
• Ian Guyton Munabi 2 ,
• Aloysius Gonzaga Mubuuke 3 &
• Sarah Kiguli 4  

BMC Medical Education volume  24 , Article number:  621 ( 2024 ) Cite this article

117 Accesses

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Introduction

The long case is used to assess medical students’ proficiency in performing clinical tasks. As a formative assessment, the purpose is to offer feedback on performance, aiming to enhance and expedite clinical learning. The long case stands out as one of the primary formative assessment methods for clinical clerkship in low-resource settings but has received little attention in the literature.

To explore the experiences of medical students and faculty regarding the use of the Long Case Study as a formative assessment method at a tertiary care teaching hospital in a low-resource setting.

Methodology

A qualitative study design was used. The study was conducted at Makerere University, a low-resource setting. The study participants were third- and fifth-year medical students as well as lecturers. Purposive sampling was utilized to recruit participants. Data collection comprised six Focus Group Discussions with students and five Key Informant Interviews with lecturers. The qualitative data were analyzed by inductive thematic analysis.

Three themes emerged from the study: ward placement, case presentation, and case assessment and feedback. The findings revealed that students conduct their long cases at patients’ bedside within specific wards/units assigned for the entire clerkship. Effective supervision, feedback, and marks were highlighted as crucial practices that positively impact the learning process. However, challenges such as insufficient orientation to the long case, the super-specialization of the hospital wards, pressure to hunt for marks, and inadequate feedback practices were identified.

The long case offers students exposure to real patients in a clinical setting. However, in tertiary care teaching hospitals, it’s crucial to ensure proper design and implementation of this practice to enable students’ exposure to a variety of cases. Adequate and effective supervision and feedback create valuable opportunities for each learner to present cases and receive corrections.

Peer Review reports

The long case serves as an authentic assessment method for evaluating medical students’ competence in clinical tasks [ 1 ]. This form of assessment requires students to independently spend time with patients taking their medical history, conducting physical examinations, and formulating diagnosis and management plans. Subsequently, students present their findings to senior clinicians for discussion and questioning [ 2 , 3 ]. While developed countries increasingly adopt simulation-based assessments for formative evaluation, logistical challenges hinder the widespread use of such methods in developing countries [ 4 ]. Consequently, the low-resource countries heavily rely on real patient encounters for formative assessment. The long case is one such method predominantly used as a primary formative assessment method during clinical clerkship and offers a great opportunity for feedback [ 5 ]. The assessment grounds students’ learning into practice by providing them with rich opportunities to interact with patients and have the feel of medical practice. The long case thus bridges the gap between theory and practice, immersing students in the real tasks of a physician [ 1 ]. The complexity of clinical scenarios and the anxiety associated with patient encounters may not be well replicated in simulation-based assessments because diseases often have atypical presentations not found in textbooks. Assessment methods should thus utilize authentic learning experiences to provide learners with applications of learning that they would expect to encounter in real life [ 6 ]. This requires medical education and the curriculum to focus attention on assessment because it plays a significant role in driving learning [ 7 ]. The long case thus remains crucial in medical education as one of the best ways of preparing for practice. It exposes the student repeatedly to taking medical history, examining patients, making clinical judgments, deciding treatment plans, and collaborating with senior clinicians.

The long case, however, has faced significant criticism in the medical education literature due to perceived psychometric deficiencies [ 8 , 9 , 10 ]. Consequently, many universities have begun to adopt assessment methods that yield more reliable and easily defensible results [ 2 ] due to concerns over the low reliability, generalizability, and validity of the long case, coupled with rising litigations and student appeals [ 11 , 12 ]. Despite these shortcomings, the long case remains an educationally valuable assessment tool that provides diagnostic feedback essential for the learning process during clinical clerkship [ 13 ]. Teachers can utilize long-case results to pinpoint neglected areas or teaching deficiencies and align with course outcomes.

However, there is a paucity of research into the long case as a formative assessment tool. A few studies conducted in developed countries highlighted its role in promoting a holistic approach to patient care, fostering students’ clinical skills, and a driving force for students to spend time with patients [ 2 , 13 ], . There is a notable absence of literature on the use of long case as a formative assessment method in low-resource countries, and no published work is available at Makerere University where it has been used for decades. This underscores the importance of conducting research in this area to provide insight into the effectiveness, challenges, and potentials for improvement. Therefore, this study aimed to investigate the experiences of medical students and faculty regarding the utilization of the long case as a formative assessment method within the context of a tertiary care teaching hospital in a low-resource setting.

Study design

This was an exploratory qualitative study.

Study setting

The research was conducted at Makerere University within the Department of Internal Medicine. The Bachelor of Medicine and Bachelor of Surgery (MBChB) degree at Makerere University is a five-year program with the first two years for pre-clinical (biomedical Sciences) course and the last three years dedicated to clinical clerkship. Medical students do Internal Medicine clerkships in third- and fifth-year at the two tertiary teaching hospitals namely; Mulago and Kiruddu National Referral Hospitals. The students are introduced to the long case in third-year as Junior Clerks and later in the fifth-year as Senior Clerks. During clerkship, students are assigned to various medical wards, where they interact with patients, take medical history from them, perform physical examinations, and develop diagnosis and management plans. Subsequently, students present their long cases to lecturers or postgraduate students, often in the presence of their peers, followed by feedback and comprehensive case discussions. Students are afforded ample time to prepare and present their cases during ward rounds, at their discretion. The students are formatively assessed and a mark is awarded on a scale of one to ten in the student’s logbook. Each student is required to make a minimum of ten long cases over the seven weeks of clerkship.

Study participants

The study participants were third- and fifth-year medical students who had completed junior and senior clerkship respectively, as well as lecturers who possessed at least five years of experience with the long case. The participants were selected through purposive sampling. The sample size for the study was determined by data saturation.

Data collection

Data were collected through Focus Group Discussions (FGDs) and Key Informant Interviews (KIIs). A total of 36 medical students participated in FGDs, reflecting on their experiences with the long case. Five faculty members participated in individual KIIs. The students were mobilized by their class representative and a brief recruitment presentation was made at the study site while the lecturers were approached via email and telephone invitation.

Six FGDs were conducted, three for junior clerks and three for senior clerks. Each FGD comprised of 5–7 participants with balanced male and female gender representation. Data saturation was achieved by the fifth FGD, at which point no additional new information emerged. A research assistant proficient in qualitative research methods moderated the FGDs. The discussions lasted between 55 min and 1 h 10 min and were audio recorded. The Principal Investigator attended all the FGDs to document interactions and record his perspectives and non-verbal cues of participants.

Semi-structured KIIs were used to collect data from Internal Medicine faculty. Five KIIs were conducted, and data saturation was achieved by the fourth interview, at which point no new theme emerged. The Principal Investigator conducted the KIIs via Zoom. Each interview lasted between 25 and 50 min and all were audio recorded. A research assistant proficient in qualitative methods attended all the Zoom meetings. The data collected were securely stored on a hard drive and Google Drive with password protection to prevent unauthorized access.

Data analysis

Data analysis was done through inductive thematic analysis method. Following each FGD or KII session, the data collection team listened to the recordings to familiarize themselves with the data and develop general ideas regarding the participants’ perspectives. The data were transcribed verbatim by the researchers to generate text data. Two separate transcripts were generated by the Principal Investigator and a research assistant. The transcripts were then compared and manually reviewed by the research team to compare the accuracy with the audio recordings. After transcript harmonization, data cleaning was done for both FGDs and KIIs transcripts.

The transcribed data from both FGDs and KIIs underwent inductive thematic analysis as aggregated data. This involved initial line-by-line coding, followed by focused coding where the relationships between initial codes were explored and similar codes were grouped. Throughout the analysis, the principle of constant comparison was applied, where emerging codes were compared for similarities and differences.

Study results

Socio-demographics.

A total of 36 medical students participated in the FGDs, comprising 18 junior clerks and 19 senior clerks. The participants were aged between 21 and 25 years except two participants who were aged above 25 (30 and 36 years old). Among the third-year students, there were 10 male and 9 female participants while the fifth-year student comprised of 8 male and 10 female participants.

Five lecturers participated in the Key Informant Interviews, three of whom were females and two male participants. They were aged between 40 and 50 years, and all had over 10 years of experience with the long case. The faculty members included one consultant physician, one associate professor, two senior lecturers, and one lecturer.

Themes that emerged

Three themes emerged from the study: ward placement, case presentations, and case assessment and feedback.

Theme 1: Ward placement

The study findings disclosed that medical students are assigned to specific wards for the duration of their clerkship. The specialization of medical wards was found to significantly restrict students’ exposure to limited disease conditions found only in their allocated ward.

With the super-specialization of the units, there is some bias on what they do learn; if a particular group is rotating on the cardiology unit, they will obviously have a bias to learn the history and physical exam related to cardiovascular disease (KII 1).

The students, particularly junior clerks, expressed dissatisfaction with the lack of proper and standardized orientation to the long case on the wards. This deficiency led to wastage of time and a feeling of being unwelcome in the clerkship.

Some orient you when you reach the ward but others you reach and you are supposed to pick up on your own. I expect orientation, then taking data from us, what they expect us to do, and what we expect from them, taking us through the clerkship sessions (FGD 4 Participant 1).

Students’ exposure to cases in other wards poses significant challenges; the study found that as some lecturers facilitate visits to different wards for scheduled teaching sessions, others don’t, resulting in missed learning opportunities. Additionally, some lecturers leave the burden on students’ personal initiative to explore cases in other wards.

We actually encourage them to go through the different specialties because when you are faced with a patient, you will not have to choose which one to see and not to see (KII 4).

Imagine landing on a stroke patient when you have been in the infectious disease ward or getting a patient with renal condition when you have been in the endocrinology ward can create problems (FGD 6 Participant 3).

Theme 2 Case presentation

Medical students present their long case to lecturers and postgraduate students. However, participants revealed variations among lecturers regarding their preferences on how they want students to present their cases. While some prefer to listen to the entire history and examination, others prefer only a summary, and some prefer starting from the diagnosis.

The practice varies depending on the lecturer, as everyone does it their own way. There are some, who listen to your history, examination, and diagnosis, and then they go into basic discussion of the case; others want only a summary. Some lecturers come and tell you to start straight away from your diagnosis, and then they start treating you backward (FGD 6 Participant 3).

The students reported limited observation of their skills due a little emphasis placed by examiners on physical examination techniques, as well as not providing the students with the opportunity to propose treatment plans.

When we are doing these physical examinations on the ward no one is seeing you. You present your physical examination findings, but no one saw how you did it. You may think you are doing the right thing during the ward rotations, but actually your skills are bad (FGD 4 Participant 6).

They don’t give us time to propose management plans. The only time they ask for how you manage a patient is during the summative long case, yet during the ward rotation, they were not giving us the freedom to give our opinion on how we would manage the patient.(FGD 2Participant 6).

Supervision was reportedly dependent on the ward to which the student was allocated. Additionally, the participants believe that the large student-to-lecturer ratio negatively affects the opportunity to present.

My experience was different in years three and five. In year three, we had a specialist every day on the ward, but in year five, we would have a specialist every other day, sometimes even once a week. When I compare year five with year three, I think I was even a better doctor in year three than right now (FGD 1 Participant 1).

Clinical training is like nurturing somebody to behave or conduct themselves in a certain way. Therefore, if the numbers are large, the impacts per person decrease, and the quality decreases (KII 5).

Theme C: Case assessment and feedback

The study found that a student’s long case is assessed both during the case presentation on the ward and through the case write-up, with marks awarded accordingly.

They present to the supervisor and then also write it up, so at a later time you also mark the sheet where they have written up the cases; so they are assessed at presentation and write up (KII 2).

The mark awarded was reportedly a significant motivator for students to visit wards and clerk patients, but students also believe that the pressure to hunt for marks tends to override the goal of the formative assessment.

Your goal there is to learn, but most of us go with the goal of getting signatures; signature-based learning. The learning, you realize probably comes on later if you have the individual morale to go and learn (FGD 1 participant 1).

Feedback is an integral part of any formative assessment. While students receive feedback from lecturers, the participants were concerned about the absence of a formal channel for soliciting feedback from students.

Of course, teachers provide feedback to students because it is a normal part of teaching. However, it is not a common routine to solicit feedback about how teaching has gone. So maybe that is something that needs to be improved so that we know if we have been effective teachers (KII 3).

Whereas the feedback intrigues students to read more to compensate for their knowledge gap, they decried several encounters with demeaning, intimidating, insulting, demotivating, and embarrassing feedback from assessors.

Since we are given a specific target of case presentation we are supposed to make in my training , if I make the ten, I wouldn’t want to present again. Why would I receive other negative comments for nothing? They truly have a personality effect on the student, and students feel low self-esteem (FGD 1, Participant 4).

This study aimed to investigate the experiences of medical students and faculty regarding the use of the long case as a formative assessment method at a tertiary care teaching hospital in a low-resource setting. This qualitative research provides valuable insights into the current practices surrounding the long case as a formative assessment method in such a setting.

The study highlighted the patient bedside as the primary learning environment for medical students. Bedside teaching plays a crucial role in fostering the development of skills such as history-taking and physical examination, as well as modeling professional behaviors and directly observing learners [ 14 , 15 ]. However, the specialization of wards in tertiary hospitals means that students may not be exposed to certain conditions found in other wards. This lack of exposure can lead to issues of case specificity, which has been reported in various literature as a cause of low reliability and generalizability of the long case [ 16 , 17 ]. Participants in the study expressed feeling like pseudo-specialists based on their ward allocations. This is partly attributed to missing scheduled teachings and poor management of opportunities to clerk and present patients on other wards. Addressing these challenges is essential for enhancing the effectiveness of the long case as a formative assessment method in medical education.

Proper orientation at the beginning of a clerkship is crucial for clarifying the structure and organization, defining students’ roles, and providing insights into clinical supervisors’ perspectives [ 18 ]. However, the study revealed that orientation into the long case was unsatisfactory, resulting in time wastage and potentially hindering learning. Effective orientation requires dedicated time and should involve defining expectations and goals, as well as guiding students through the steps of history-taking and physical examination during the initial weeks of the rotation. Contrary to this ideal approach, the medical students reported being taken through systemic examinations when the clerkship was nearing its end, highlighting a significant gap in the orientation process. Proper orientation is very important since previous studies have also documented the positive impact of orientation on student performance [ 19 ]. Therefore, addressing the shortcomings in orientation practices identified in this study is essential for optimizing learning outcomes and ensuring that students are adequately prepared to engage in the long case.

There was reportedly a significant variation in the way students present their long cases, with some lecturers preferring only a case summary, while others expect a complete presentation or begin with a diagnosis. While this diversity in learning styles may expose students to both familiar and unfamiliar approaches, providing a balance of comfort and tension [ 20 ], it’s essential for students to first be exposed to familiar methods before transitioning to less familiar ones to expand their ability to use diverse learning styles. The variation observed in this context may be attributed to time constraints, as lecturers may aim to accommodate the large number of students within the available time. Additionally, a lack of standardized practices could also contribute to this variation. Therefore, there is a pressing need for standardized long-case practices to ensure a consistent experience for students and to meet the desired goals of the assessment. Standardizing the long case practice would not only provide a uniform experience for students but also enhance the reliability, validity, and perception of fairness of the assessment [ 9 , 21 ]. It would ensure that all students are evaluated using the same criteria, reducing potential biases and disparities in grading. Additionally, standardized practices facilitate better alignment with learning objectives and promote more effective feedback mechanisms [ 22 ].

Related to the above, students reported limited observation of skills and little emphasis placed on them to learn physical examination techniques. This finding resonates with the research conducted by Abdalla and Shorbagi in 2018, where many students reported a lack of observation during history-taking and physical examination [ 23 ]. The importance of observation is underscored by the fact that students often avoid conducting physical examinations, as highlighted in Pavlakis & Laurent’s study among postgraduate trainees in 2001 [ 24 ]. This study sheds more light on the critical role of observation in forcing medical students to master clinical assessment and practical skills. The study also uncovered that students are rarely given the opportunity to propose management plans during case presentations, which hampers their confidence and learning of clinical decision-making. These findings likely stem from the large student-to-lecturer ratio and little attention given to these aspects of the long case during the planning of the assessment method. The result is students not receiving the necessary guidance and support to develop their clinical and decision-making skills. Therefore, addressing these issues by putting more emphasis on observation of student-patient interaction, management plan, and having a smaller student group is vital to ensure that medical students receive comprehensive training and are adequately prepared for their future roles as physicians.

The study found that the marks awarded for the long case serve as the primary motivator for students. This finding aligns with previous research indicating that the knowledge that each long case is part of assessment drives students to perform their duties diligently [ 2 , 25 ]. It underscores the crucial role that assessment plays in driving learning processes. However, the pressures to obtain marks and signatures reportedly hinder students’ engagement in learning. This could be attributed to instances where some lecturers relax on supervision or are absent, leaving students to struggle to find someone to assess them. Inadequate supervision by attending physicians has been identified in prior studies as one of the causes of insufficient clinical experience [ 26 ], something that need to be dealt with diligently. While the marks awarded are a motivating factor, it is essential to understand other underlying motivations of medical students to engage in the long case and their impact on the learning process.

Feedback is crucial for the long case to fulfill its role as an assessment for learning. The study participants reported that feedback is provided promptly as students present their cases. This immediate feedback is essential for identifying errors and learning appropriate skills to enhance subsequent performance. However, the feedback process appears to be unilateral, with students receiving feedback from lecturers but lacking a structured mechanism for providing feedback themselves. One reason for the lack of student feedback may be a perceived intimidating approach from lecturers which discourages students from offering their input. It is thus important to establish a conducive environment where students feel comfortable providing feedback without fear of negative repercussions. The study underscores the significance of feedback from students in improving the learning process. This aligns with the findings of Hattie and Timperley (2007), who emphasized that feedback received from learners contributes significantly to improvements in student learning [ 27 ]. Therefore, it is essential to implement strategies to encourage and facilitate bidirectional feedback between students and lecturers in the context of the long case assessment. This could involve creating formal channels for students to provide feedback anonymously or in a structured format, fostering open communication, and addressing any perceived barriers to feedback exchange [ 28 ]. By promoting a culture of feedback reciprocity, educators can enhance the effectiveness of the long case as an assessment tool.

Conclusions

In conclusion, the long case remains a cornerstone of formative assessment during clerkship in many medical schools, particularly in low-resource countries. However, its effectiveness is challenged by limitations such as case specificity in tertiary care hospitals, which can affect the assessment’s reliability and generalizability. The practice of awarding marks in formative assessment serves as a strong motivator for students but also creates tension, especially when there is inadequate contact with lecturers. This can lead to a focus on hunting for marks at the expense of genuine learning. Thus adequate supervision and feedback practices are vital for ensuring the success of the long case as an assessment for learning.

Furthermore, there is a need to foster standardized long case practice to ensure that scheduled learning activities are completed and that all students clerk and present patients with different conditions from various wards. This will promote accountability among both lecturers and students and ensure a consistent and uniform experience with the long case as an assessment for learning, regardless of the ward a student is assigned.

Data availability

The data supporting the study results of this article can be accessed from the Makerere University repository, titled “Perceptions of Medical Students and Lecturers of the Long Case Practices as Formative Assessment in Internal Medicine Clerkship at Makerere University,” available on DSpace. The identifier is http://hdl.handle.net/10570/13032 . Additionally, the raw data are securely stored with the researchers in Google Drive.

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This research was supported by the Fogarty International Centre of the National Institute of Health under award number 1R25TW011213. The content is solely the responsibility of the author and does not necessarily represent the official views of the National Institute of Health.

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JK contributed to the conception and design of the study, as well as the acquisition, analysis, and interpretation of the data. He also drafted the initial version of the work and approved the submitted version. He agrees to be personally accountable for his contribution and to ensure that any questions related to the accuracy or integrity of any part of the work, even those in which he was not personally involved, are appropriately investigated and resolved, with the resolution documented in the literature.IMG contributed to the analysis and interpretation of the data. He also made major corrections to the first draft of the manuscript and approved the submitted version. He agrees to be personally accountable for his contribution and to ensure that any questions related to the accuracy or integrity of any part of the work, even those in which he was not personally involved, are appropriately investigated and resolved, with the resolution documented in the literature.MA contributed to the analysis and interpretation of the data. He made major corrections to the first draft of the manuscript and approved the submitted version. He agrees to be personally accountable for his contribution and to ensure that any questions related to the accuracy or integrity of any part of the work, even those in which he was not personally involved, are appropriately investigated and resolved, with the resolution documented in the literature.SK made major corrections to the first draft and the final corrections for the submitted version of the work. She agrees to be personally accountable for her contribution and to ensure that any questions related to the accuracy or integrity of any part of the work, even those in which she was not personally involved, are appropriately investigated and resolved, with the resolution documented in the literature.

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Kumakech, J., Munabi, I.G., Mubuuke, A.G. et al. Experiences of medical students and faculty regarding the use of long case as a formative assessment method at a tertiary care teaching hospital in a low resource setting: a qualitative study. BMC Med Educ 24 , 621 (2024). https://doi.org/10.1186/s12909-024-05589-7

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2024 Theses Doctoral

Statistically Efficient Methods for Computation-Aware Uncertainty Quantification and Rare-Event Optimization

He, Shengyi

The thesis covers two fundamental topics that are important across the disciplines of operations research, statistics and even more broadly, namely stochastic optimization and uncertainty quantification, with the common theme to address both statistical accuracy and computational constraints. Here, statistical accuracy encompasses the precision of estimated solutions in stochastic optimization, as well as the tightness or reliability of confidence intervals. Computational concerns arise from rare events or expensive models, necessitating efficient sampling methods or computation procedures. In the first half of this thesis, we study stochastic optimization that involves rare events, which arises in various contexts including risk-averse decision-making and training of machine learning models. Because of the presence of rare events, crude Monte Carlo methods can be prohibitively inefficient, as it takes a sample size reciprocal to the rare-event probability to obtain valid statistical information about the rare-event. To address this issue, we investigate the use of importance sampling (IS) to reduce the required sample size. IS is commonly used to handle rare events, and the idea is to sample from an alternative distribution that hits the rare event more frequently and adjusts the estimator with a likelihood ratio to retain unbiasedness. While IS has been long studied, most of its literature focuses on estimation problems and methodologies to obtain good IS in these contexts. Contrary to these studies, the first half of this thesis provides a systematic study on the efficient use of IS in stochastic optimization. In Chapter 2, we propose an adaptive procedure that converts an efficient IS for gradient estimation to an efficient IS procedure for stochastic optimization. Then, in Chapter 3, we provide an efficient IS for gradient estimation, which serves as the input for the procedure in Chapter 2. In the second half of this thesis, we study uncertainty quantification in the sense of constructing a confidence interval (CI) for target model quantities or prediction. We are interested in the setting of expensive black-box models, which means that we are confined to using a low number of model runs, and we also lack the ability to obtain auxiliary model information such as gradients. In this case, a classical method is batching, which divides data into a few batches and then constructs a CI based on the batched estimates. Another method is the recently proposed cheap bootstrap that is constructed on a few resamples in a similar manner as batching. These methods could save computation since they do not need an accurate variability estimator which requires sufficient model evaluations to obtain. Instead, they cancel out the variability when constructing pivotal statistics, and thus obtain asymptotically valid t-distribution-based CIs with only few batches or resamples. The second half of this thesis studies several theoretical aspects of these computation-aware CI construction methods. In Chapter 4, we study the statistical optimality on CI tightness among various computation-aware CIs. Then, in Chapter 5, we study the higher-order coverage errors of batching methods. Finally, Chapter 6 is a related investigation on the higher-order coverage and correction of distributionally robust optimization (DRO) as another CI construction tool, which assumes an amount of analytical information on the model but bears similarity to Chapter 5 in terms of analysis techniques.

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Formulation and Experimental Demonstration of Design and Control Methods for Efficient Hydraulic Architecture Based on Multi-Chamber Cylinders

Amidst the increasing need to improve efficiency of fluid power systems for off-road vehicles, different architectures have been proposed in literature to reduce system throttling losses. Among the most cited ones, are architectures based on the use of common-pressure rails (CPR), which in some cases have been combined with multi-chamber cylinders to further reduce power losses. This kind of solution appears to be particularly attractive in systems with several actuators with many instances of overrunning loads, such as in earthmoving machines. In this scenario, a basic question arises concerning the maximum amount of energy that can be saved by adding extra pressure rails and/or cylinder chambers. Answering this question can be challenging given that many parameters such as cylinder areas, pressure levels and both actuator and supervisory level controls can affect the results for a given application. This work investigates energy savings potential of different architectures based on the previously mentioned concept. Based on the results of this investigation, a novel architecture combining multi-pressure rails and multi-chamber cylinders is proposed and investigated. The system is sized and simulated for the study case of an excavator. This work addresses controllers design, from the supervisory level power management control to the local cylinder actuation system. In addition, special care is taken in the area selection of the multi- chamber cylinder, with factors such as manufacturing cost and reliability being considered. The proposed design procedure allows the design of compact and efficient three-chamber cylinders on a wider range of applications. Results show the potential for power consumption reduction of up to 31% when compared to state-of-the-art machines available in the market. Additionally, the proposed cylinder design optimization allows a reduction of up to 25% in cylinder weight when compared to other design methods for multi-chamber cylinders. Within this scope, an experimental setup is designed for proof of concept of the proposed hydraulic circuit and cylinder control methods, with laboratory tests validating the feasibility of the proposed system. Test results demonstrated the ability of the proposed controller in efficiently controlling pressures within the actuator, while delivering stable speed tracking performance. Experiments also demonstrated the system capability in recovering energy and validated the expectation of obtaining hydraulic actuation with low pressure drop across control valves.

Bilsland Dissertation Fellowship

Degree type.

• Doctor of Philosophy
• Mechanical Engineering

Campus location

• West Lafayette

Advisor/Supervisor/Committee Chair

Additional committee member 2, additional committee member 3, additional committee member 4, usage metrics.

• Mechanical engineering not elsewhere classified

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• Knowledge Base
• Methodology
• Case Study | Definition, Examples & Methods

Case Study | Definition, Examples & Methods

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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McCombes, S. (2023, January 30). Case Study | Definition, Examples & Methods. Scribbr. Retrieved 9 June 2024, from https://www.scribbr.co.uk/research-methods/case-studies/

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