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What Is a Case Study?

Weighing the pros and cons of this method of research

Kendra Cherry, MS, is a psychosocial rehabilitation specialist, psychology educator, and author of the "Everything Psychology Book."

background information in case study example

Cara Lustik is a fact-checker and copywriter.

background information in case study example

Verywell / Colleen Tighe

  • Pros and Cons

What Types of Case Studies Are Out There?

Where do you find data for a case study, how do i write a psychology case study.

A case study is an in-depth study of one person, group, or event. In a case study, nearly every aspect of the subject's life and history is analyzed to seek patterns and causes of behavior. Case studies can be used in many different fields, including psychology, medicine, education, anthropology, political science, and social work.

The point of a case study is to learn as much as possible about an individual or group so that the information can be generalized to many others. Unfortunately, case studies tend to be highly subjective, and it is sometimes difficult to generalize results to a larger population.

While case studies focus on a single individual or group, they follow a format similar to other types of psychology writing. If you are writing a case study, we got you—here are some rules of APA format to reference.  

At a Glance

A case study, or an in-depth study of a person, group, or event, can be a useful research tool when used wisely. In many cases, case studies are best used in situations where it would be difficult or impossible for you to conduct an experiment. They are helpful for looking at unique situations and allow researchers to gather a lot of˜ information about a specific individual or group of people. However, it's important to be cautious of any bias we draw from them as they are highly subjective.

What Are the Benefits and Limitations of Case Studies?

A case study can have its strengths and weaknesses. Researchers must consider these pros and cons before deciding if this type of study is appropriate for their needs.

One of the greatest advantages of a case study is that it allows researchers to investigate things that are often difficult or impossible to replicate in a lab. Some other benefits of a case study:

  • Allows researchers to capture information on the 'how,' 'what,' and 'why,' of something that's implemented
  • Gives researchers the chance to collect information on why one strategy might be chosen over another
  • Permits researchers to develop hypotheses that can be explored in experimental research

On the other hand, a case study can have some drawbacks:

  • It cannot necessarily be generalized to the larger population
  • Cannot demonstrate cause and effect
  • It may not be scientifically rigorous
  • It can lead to bias

Researchers may choose to perform a case study if they want to explore a unique or recently discovered phenomenon. Through their insights, researchers develop additional ideas and study questions that might be explored in future studies.

It's important to remember that the insights from case studies cannot be used to determine cause-and-effect relationships between variables. However, case studies may be used to develop hypotheses that can then be addressed in experimental research.

Case Study Examples

There have been a number of notable case studies in the history of psychology. Much of  Freud's work and theories were developed through individual case studies. Some great examples of case studies in psychology include:

  • Anna O : Anna O. was a pseudonym of a woman named Bertha Pappenheim, a patient of a physician named Josef Breuer. While she was never a patient of Freud's, Freud and Breuer discussed her case extensively. The woman was experiencing symptoms of a condition that was then known as hysteria and found that talking about her problems helped relieve her symptoms. Her case played an important part in the development of talk therapy as an approach to mental health treatment.
  • Phineas Gage : Phineas Gage was a railroad employee who experienced a terrible accident in which an explosion sent a metal rod through his skull, damaging important portions of his brain. Gage recovered from his accident but was left with serious changes in both personality and behavior.
  • Genie : Genie was a young girl subjected to horrific abuse and isolation. The case study of Genie allowed researchers to study whether language learning was possible, even after missing critical periods for language development. Her case also served as an example of how scientific research may interfere with treatment and lead to further abuse of vulnerable individuals.

Such cases demonstrate how case research can be used to study things that researchers could not replicate in experimental settings. In Genie's case, her horrific abuse denied her the opportunity to learn a language at critical points in her development.

This is clearly not something researchers could ethically replicate, but conducting a case study on Genie allowed researchers to study phenomena that are otherwise impossible to reproduce.

There are a few different types of case studies that psychologists and other researchers might use:

  • Collective case studies : These involve studying a group of individuals. Researchers might study a group of people in a certain setting or look at an entire community. For example, psychologists might explore how access to resources in a community has affected the collective mental well-being of those who live there.
  • Descriptive case studies : These involve starting with a descriptive theory. The subjects are then observed, and the information gathered is compared to the pre-existing theory.
  • Explanatory case studies : These   are often used to do causal investigations. In other words, researchers are interested in looking at factors that may have caused certain things to occur.
  • Exploratory case studies : These are sometimes used as a prelude to further, more in-depth research. This allows researchers to gather more information before developing their research questions and hypotheses .
  • Instrumental case studies : These occur when the individual or group allows researchers to understand more than what is initially obvious to observers.
  • Intrinsic case studies : This type of case study is when the researcher has a personal interest in the case. Jean Piaget's observations of his own children are good examples of how an intrinsic case study can contribute to the development of a psychological theory.

The three main case study types often used are intrinsic, instrumental, and collective. Intrinsic case studies are useful for learning about unique cases. Instrumental case studies help look at an individual to learn more about a broader issue. A collective case study can be useful for looking at several cases simultaneously.

The type of case study that psychology researchers use depends on the unique characteristics of the situation and the case itself.

There are a number of different sources and methods that researchers can use to gather information about an individual or group. Six major sources that have been identified by researchers are:

  • Archival records : Census records, survey records, and name lists are examples of archival records.
  • Direct observation : This strategy involves observing the subject, often in a natural setting . While an individual observer is sometimes used, it is more common to utilize a group of observers.
  • Documents : Letters, newspaper articles, administrative records, etc., are the types of documents often used as sources.
  • Interviews : Interviews are one of the most important methods for gathering information in case studies. An interview can involve structured survey questions or more open-ended questions.
  • Participant observation : When the researcher serves as a participant in events and observes the actions and outcomes, it is called participant observation.
  • Physical artifacts : Tools, objects, instruments, and other artifacts are often observed during a direct observation of the subject.

If you have been directed to write a case study for a psychology course, be sure to check with your instructor for any specific guidelines you need to follow. If you are writing your case study for a professional publication, check with the publisher for their specific guidelines for submitting a case study.

Here is a general outline of what should be included in a case study.

Section 1: A Case History

This section will have the following structure and content:

Background information : The first section of your paper will present your client's background. Include factors such as age, gender, work, health status, family mental health history, family and social relationships, drug and alcohol history, life difficulties, goals, and coping skills and weaknesses.

Description of the presenting problem : In the next section of your case study, you will describe the problem or symptoms that the client presented with.

Describe any physical, emotional, or sensory symptoms reported by the client. Thoughts, feelings, and perceptions related to the symptoms should also be noted. Any screening or diagnostic assessments that are used should also be described in detail and all scores reported.

Your diagnosis : Provide your diagnosis and give the appropriate Diagnostic and Statistical Manual code. Explain how you reached your diagnosis, how the client's symptoms fit the diagnostic criteria for the disorder(s), or any possible difficulties in reaching a diagnosis.

Section 2: Treatment Plan

This portion of the paper will address the chosen treatment for the condition. This might also include the theoretical basis for the chosen treatment or any other evidence that might exist to support why this approach was chosen.

  • Cognitive behavioral approach : Explain how a cognitive behavioral therapist would approach treatment. Offer background information on cognitive behavioral therapy and describe the treatment sessions, client response, and outcome of this type of treatment. Make note of any difficulties or successes encountered by your client during treatment.
  • Humanistic approach : Describe a humanistic approach that could be used to treat your client, such as client-centered therapy . Provide information on the type of treatment you chose, the client's reaction to the treatment, and the end result of this approach. Explain why the treatment was successful or unsuccessful.
  • Psychoanalytic approach : Describe how a psychoanalytic therapist would view the client's problem. Provide some background on the psychoanalytic approach and cite relevant references. Explain how psychoanalytic therapy would be used to treat the client, how the client would respond to therapy, and the effectiveness of this treatment approach.
  • Pharmacological approach : If treatment primarily involves the use of medications, explain which medications were used and why. Provide background on the effectiveness of these medications and how monotherapy may compare with an approach that combines medications with therapy or other treatments.

This section of a case study should also include information about the treatment goals, process, and outcomes.

When you are writing a case study, you should also include a section where you discuss the case study itself, including the strengths and limitiations of the study. You should note how the findings of your case study might support previous research. 

In your discussion section, you should also describe some of the implications of your case study. What ideas or findings might require further exploration? How might researchers go about exploring some of these questions in additional studies?

Need More Tips?

Here are a few additional pointers to keep in mind when formatting your case study:

  • Never refer to the subject of your case study as "the client." Instead, use their name or a pseudonym.
  • Read examples of case studies to gain an idea about the style and format.
  • Remember to use APA format when citing references .

Crowe S, Cresswell K, Robertson A, Huby G, Avery A, Sheikh A. The case study approach .  BMC Med Res Methodol . 2011;11:100.

Crowe S, Cresswell K, Robertson A, Huby G, Avery A, Sheikh A. The case study approach . BMC Med Res Methodol . 2011 Jun 27;11:100. doi:10.1186/1471-2288-11-100

Gagnon, Yves-Chantal.  The Case Study as Research Method: A Practical Handbook . Canada, Chicago Review Press Incorporated DBA Independent Pub Group, 2010.

Yin, Robert K. Case Study Research and Applications: Design and Methods . United States, SAGE Publications, 2017.

By Kendra Cherry, MSEd Kendra Cherry, MS, is a psychosocial rehabilitation specialist, psychology educator, and author of the "Everything Psychology Book."

How to write a case study — examples, templates, and tools

background information in case study example

It’s a marketer’s job to communicate the effectiveness of a product or service to potential and current customers to convince them to buy and keep business moving. One of the best methods for doing this is to share success stories that are relatable to prospects and customers based on their pain points, experiences, and overall needs.

That’s where case studies come in. Case studies are an essential part of a content marketing plan. These in-depth stories of customer experiences are some of the most effective at demonstrating the value of a product or service. Yet many marketers don’t use them, whether because of their regimented formats or the process of customer involvement and approval.

A case study is a powerful tool for showcasing your hard work and the success your customer achieved. But writing a great case study can be difficult if you’ve never done it before or if it’s been a while. This guide will show you how to write an effective case study and provide real-world examples and templates that will keep readers engaged and support your business.

In this article, you’ll learn:

What is a case study?

How to write a case study, case study templates, case study examples, case study tools.

A case study is the detailed story of a customer’s experience with a product or service that demonstrates their success and often includes measurable outcomes. Case studies are used in a range of fields and for various reasons, from business to academic research. They’re especially impactful in marketing as brands work to convince and convert consumers with relatable, real-world stories of actual customer experiences.

The best case studies tell the story of a customer’s success, including the steps they took, the results they achieved, and the support they received from a brand along the way. To write a great case study, you need to:

  • Celebrate the customer and make them — not a product or service — the star of the story.
  • Craft the story with specific audiences or target segments in mind so that the story of one customer will be viewed as relatable and actionable for another customer.
  • Write copy that is easy to read and engaging so that readers will gain the insights and messages intended.
  • Follow a standardized format that includes all of the essentials a potential customer would find interesting and useful.
  • Support all of the claims for success made in the story with data in the forms of hard numbers and customer statements.

Case studies are a type of review but more in depth, aiming to show — rather than just tell — the positive experiences that customers have with a brand. Notably, 89% of consumers read reviews before deciding to buy, and 79% view case study content as part of their purchasing process. When it comes to B2B sales, 52% of buyers rank case studies as an important part of their evaluation process.

Telling a brand story through the experience of a tried-and-true customer matters. The story is relatable to potential new customers as they imagine themselves in the shoes of the company or individual featured in the case study. Showcasing previous customers can help new ones see themselves engaging with your brand in the ways that are most meaningful to them.

Besides sharing the perspective of another customer, case studies stand out from other content marketing forms because they are based on evidence. Whether pulling from client testimonials or data-driven results, case studies tend to have more impact on new business because the story contains information that is both objective (data) and subjective (customer experience) — and the brand doesn’t sound too self-promotional.

89% of consumers read reviews before buying, 79% view case studies, and 52% of B2B buyers prioritize case studies in the evaluation process.

Case studies are unique in that there’s a fairly standardized format for telling a customer’s story. But that doesn’t mean there isn’t room for creativity. It’s all about making sure that teams are clear on the goals for the case study — along with strategies for supporting content and channels — and understanding how the story fits within the framework of the company’s overall marketing goals.

Here are the basic steps to writing a good case study.

1. Identify your goal

Start by defining exactly who your case study will be designed to help. Case studies are about specific instances where a company works with a customer to achieve a goal. Identify which customers are likely to have these goals, as well as other needs the story should cover to appeal to them.

The answer is often found in one of the buyer personas that have been constructed as part of your larger marketing strategy. This can include anything from new leads generated by the marketing team to long-term customers that are being pressed for cross-sell opportunities. In all of these cases, demonstrating value through a relatable customer success story can be part of the solution to conversion.

2. Choose your client or subject

Who you highlight matters. Case studies tie brands together that might otherwise not cross paths. A writer will want to ensure that the highlighted customer aligns with their own company’s brand identity and offerings. Look for a customer with positive name recognition who has had great success with a product or service and is willing to be an advocate.

The client should also match up with the identified target audience. Whichever company or individual is selected should be a reflection of other potential customers who can see themselves in similar circumstances, having the same problems and possible solutions.

Some of the most compelling case studies feature customers who:

  • Switch from one product or service to another while naming competitors that missed the mark.
  • Experience measurable results that are relatable to others in a specific industry.
  • Represent well-known brands and recognizable names that are likely to compel action.
  • Advocate for a product or service as a champion and are well-versed in its advantages.

Whoever or whatever customer is selected, marketers must ensure they have the permission of the company involved before getting started. Some brands have strict review and approval procedures for any official marketing or promotional materials that include their name. Acquiring those approvals in advance will prevent any miscommunication or wasted effort if there is an issue with their legal or compliance teams.

3. Conduct research and compile data

Substantiating the claims made in a case study — either by the marketing team or customers themselves — adds validity to the story. To do this, include data and feedback from the client that defines what success looks like. This can be anything from demonstrating return on investment (ROI) to a specific metric the customer was striving to improve. Case studies should prove how an outcome was achieved and show tangible results that indicate to the customer that your solution is the right one.

This step could also include customer interviews. Make sure that the people being interviewed are key stakeholders in the purchase decision or deployment and use of the product or service that is being highlighted. Content writers should work off a set list of questions prepared in advance. It can be helpful to share these with the interviewees beforehand so they have time to consider and craft their responses. One of the best interview tactics to keep in mind is to ask questions where yes and no are not natural answers. This way, your subject will provide more open-ended responses that produce more meaningful content.

4. Choose the right format

There are a number of different ways to format a case study. Depending on what you hope to achieve, one style will be better than another. However, there are some common elements to include, such as:

  • An engaging headline
  • A subject and customer introduction
  • The unique challenge or challenges the customer faced
  • The solution the customer used to solve the problem
  • The results achieved
  • Data and statistics to back up claims of success
  • A strong call to action (CTA) to engage with the vendor

It’s also important to note that while case studies are traditionally written as stories, they don’t have to be in a written format. Some companies choose to get more creative with their case studies and produce multimedia content, depending on their audience and objectives. Case study formats can include traditional print stories, interactive web or social content, data-heavy infographics, professionally shot videos, podcasts, and more.

5. Write your case study

We’ll go into more detail later about how exactly to write a case study, including templates and examples. Generally speaking, though, there are a few things to keep in mind when writing your case study.

  • Be clear and concise. Readers want to get to the point of the story quickly and easily, and they’ll be looking to see themselves reflected in the story right from the start.
  • Provide a big picture. Always make sure to explain who the client is, their goals, and how they achieved success in a short introduction to engage the reader.
  • Construct a clear narrative. Stick to the story from the perspective of the customer and what they needed to solve instead of just listing product features or benefits.
  • Leverage graphics. Incorporating infographics, charts, and sidebars can be a more engaging and eye-catching way to share key statistics and data in readable ways.
  • Offer the right amount of detail. Most case studies are one or two pages with clear sections that a reader can skim to find the information most important to them.
  • Include data to support claims. Show real results — both facts and figures and customer quotes — to demonstrate credibility and prove the solution works.

6. Promote your story

Marketers have a number of options for distribution of a freshly minted case study. Many brands choose to publish case studies on their website and post them on social media. This can help support SEO and organic content strategies while also boosting company credibility and trust as visitors see that other businesses have used the product or service.

Marketers are always looking for quality content they can use for lead generation. Consider offering a case study as gated content behind a form on a landing page or as an offer in an email message. One great way to do this is to summarize the content and tease the full story available for download after the user takes an action.

Sales teams can also leverage case studies, so be sure they are aware that the assets exist once they’re published. Especially when it comes to larger B2B sales, companies often ask for examples of similar customer challenges that have been solved.

Now that you’ve learned a bit about case studies and what they should include, you may be wondering how to start creating great customer story content. Here are a couple of templates you can use to structure your case study.

Template 1 — Challenge-solution-result format

  • Start with an engaging title. This should be fewer than 70 characters long for SEO best practices. One of the best ways to approach the title is to include the customer’s name and a hint at the challenge they overcame in the end.
  • Create an introduction. Lead with an explanation as to who the customer is, the need they had, and the opportunity they found with a specific product or solution. Writers can also suggest the success the customer experienced with the solution they chose.
  • Present the challenge. This should be several paragraphs long and explain the problem the customer faced and the issues they were trying to solve. Details should tie into the company’s products and services naturally. This section needs to be the most relatable to the reader so they can picture themselves in a similar situation.
  • Share the solution. Explain which product or service offered was the ideal fit for the customer and why. Feel free to delve into their experience setting up, purchasing, and onboarding the solution.
  • Explain the results. Demonstrate the impact of the solution they chose by backing up their positive experience with data. Fill in with customer quotes and tangible, measurable results that show the effect of their choice.
  • Ask for action. Include a CTA at the end of the case study that invites readers to reach out for more information, try a demo, or learn more — to nurture them further in the marketing pipeline. What you ask of the reader should tie directly into the goals that were established for the case study in the first place.

Template 2 — Data-driven format

  • Start with an engaging title. Be sure to include a statistic or data point in the first 70 characters. Again, it’s best to include the customer’s name as part of the title.
  • Create an overview. Share the customer’s background and a short version of the challenge they faced. Present the reason a particular product or service was chosen, and feel free to include quotes from the customer about their selection process.
  • Present data point 1. Isolate the first metric that the customer used to define success and explain how the product or solution helped to achieve this goal. Provide data points and quotes to substantiate the claim that success was achieved.
  • Present data point 2. Isolate the second metric that the customer used to define success and explain what the product or solution did to achieve this goal. Provide data points and quotes to substantiate the claim that success was achieved.
  • Present data point 3. Isolate the final metric that the customer used to define success and explain what the product or solution did to achieve this goal. Provide data points and quotes to substantiate the claim that success was achieved.
  • Summarize the results. Reiterate the fact that the customer was able to achieve success thanks to a specific product or service. Include quotes and statements that reflect customer satisfaction and suggest they plan to continue using the solution.
  • Ask for action. Include a CTA at the end of the case study that asks readers to reach out for more information, try a demo, or learn more — to further nurture them in the marketing pipeline. Again, remember that this is where marketers can look to convert their content into action with the customer.

While templates are helpful, seeing a case study in action can also be a great way to learn. Here are some examples of how Adobe customers have experienced success.

Juniper Networks

One example is the Adobe and Juniper Networks case study , which puts the reader in the customer’s shoes. The beginning of the story quickly orients the reader so that they know exactly who the article is about and what they were trying to achieve. Solutions are outlined in a way that shows Adobe Experience Manager is the best choice and a natural fit for the customer. Along the way, quotes from the client are incorporated to help add validity to the statements. The results in the case study are conveyed with clear evidence of scale and volume using tangible data.

A Lenovo case study showing statistics, a pull quote and featured headshot, the headline "The customer is king.," and Adobe product links.

The story of Lenovo’s journey with Adobe is one that spans years of planning, implementation, and rollout. The Lenovo case study does a great job of consolidating all of this into a relatable journey that other enterprise organizations can see themselves taking, despite the project size. This case study also features descriptive headers and compelling visual elements that engage the reader and strengthen the content.

Tata Consulting

When it comes to using data to show customer results, this case study does an excellent job of conveying details and numbers in an easy-to-digest manner. Bullet points at the start break up the content while also helping the reader understand exactly what the case study will be about. Tata Consulting used Adobe to deliver elevated, engaging content experiences for a large telecommunications client of its own — an objective that’s relatable for a lot of companies.

Case studies are a vital tool for any marketing team as they enable you to demonstrate the value of your company’s products and services to others. They help marketers do their job and add credibility to a brand trying to promote its solutions by using the experiences and stories of real customers.

When you’re ready to get started with a case study:

  • Think about a few goals you’d like to accomplish with your content.
  • Make a list of successful clients that would be strong candidates for a case study.
  • Reach out to the client to get their approval and conduct an interview.
  • Gather the data to present an engaging and effective customer story.

Adobe can help

There are several Adobe products that can help you craft compelling case studies. Adobe Experience Platform helps you collect data and deliver great customer experiences across every channel. Once you’ve created your case studies, Experience Platform will help you deliver the right information to the right customer at the right time for maximum impact.

To learn more, watch the Adobe Experience Platform story .

Keep in mind that the best case studies are backed by data. That’s where Adobe Real-Time Customer Data Platform and Adobe Analytics come into play. With Real-Time CDP, you can gather the data you need to build a great case study and target specific customers to deliver the content to the right audience at the perfect moment.

Watch the Real-Time CDP overview video to learn more.

Finally, Adobe Analytics turns real-time data into real-time insights. It helps your business collect and synthesize data from multiple platforms to make more informed decisions and create the best case study possible.

Request a demo to learn more about Adobe Analytics.




case study

How to Write a Case Study: Step-by-Step Guide with Examples

  • October 7, 2022

Written by Alexandra

Content Manager at SocialBee

Why is learning how to write a case study so important?

Well, because it provides your customers with social proof and supporting evidence of how effective your products and services are. Moreover, it eliminates the doubt that usually makes clients give up on their next purchase.

That is why today we are going to talk about the step-by-step process of writing a case study . We prepared five business case study examples guaranteed to inspire you throughout the process.

Let’s get started!

What Is a Case Study?

A case study is a piece of content that focuses on a case from your business history. It describes the problems your client faced and the solutions you used to help them succeed.

The goal of a writing case study is to promote your business , so your aim should be to put together a compelling story with evidence that backs up all your claims.

Case studies use real-life examples to show your clients the quality and effectiveness of your products and services. It’s a marketing tool that provides credibility and it helps your potential clients gain confidence in your brand.

Case studies can be structured in different formats:

  • A written document
  • An infographic
  • A blog post
  • A landing page

Case Study Benefits

A great case study makes your potential customers want to benefit from the products and services that helped your client overcome their challenges. 

Here are the benefits of writing a case study:

  • It is an affordable marketing practice
  • It decreases the perceived risk of your potential clients
  • It provides transparency
  • It builds trust and credibility among prospective customers
  • It makes your potential clients relate to the problem
  • It provides your potential clients with a solution for their problems

How to Write a Case Study

Now that you know what a case study is, let’s get into the real reason why you are here — learning how to write an in-depth study.

Here is the step-by-step process of writing a case study:

  • Identify the topic of your case study
  • Start collaborating with a client
  • Prepare questions for the interview
  • Conduct the case study interview
  • Structure your case study 
  • Make it visual

Step 1: Identify the Topic of Your Case Study

A case study starts with a strategy. Choosing what you want to write about should be closely related to your business needs. More specifically, what service or product do you want to promote through your case study?

Because case studies focus on client challenges, business solutions, and results, you have to carefully pick the case that your potential clients will relate to the most. 

To communicate the benefits of your business, you should focus on a customer story that appeals to a specific segment of your audience . Consequently, you will target clients that relate to your customer example while providing a solution for their needs and pain points — your products and services.

Start by focusing all your research methods on identifying your customers’ main pain points. Then find examples of how your products or services have helped them overcome their challenges and achieve their goals .

Furthermore, to make sure you choose the best case study topic for your buyer persona , you should have a meeting with your sales/customer service team. Because they are in close contact with your customers, they will be able to tell you:

  • The main challenges your clients face 
  • The services/products that bring them the best results 

These are the main two pieces of information you want your case study to focus on.

Step 2: Start Collaborating with a Client

With a clear topic in mind, you have to find the best fit for your case study. 

However, that is not all. First, you must obtain the client’s permission. After all, your business story is theirs too.

So, craft an email to provide your client with an overview of the case study. This will help them make a decision. 

Your message should include:

  • The case study format (video, written, etc.) and where it will be published (blog, landing page , etc.)
  • The topic of the document
  • The timeline of the process
  • The information that will be included
  • The benefits they get as a result of this collaboration (brand exposure, backlinks)

Additionally, you can offer to schedule a call or a meeting to answer all their questions and curiosities and provide a means for clear and open communication.

Once you receive a positive response from your client, you can continue with the next step of the process: the actual interview.

PRO TIP: A great way to ensure a smooth and safe collaboration between you and your client is to sign a legal release form before writing the case study. This will allow you to use their information and protect you from issues that may occur in the future. Moreover, if the client is not comfortable with revealing their identity, you can always offer them anonymity.

Step 3: Prepare Questions for the Interview

Now that you have the subject for your case study, it’s time to write and organize your interview in several sets of questions.

Don’t forget that the whole structure of your case study is based on the information you get from your customer interview.

So pay attention to the way you phrase the questions. After all, your goal is to gather all the data you need to avoid creating a back-and-forth process that will consume your client’s time and energy.

To help you create the best questionnaire, we created a set of case study questions and organized them into different categories. 

Here are the five main sections your case study interview should contain:

  • The client’s background information
  • The problem
  • The start of the collaboration
  • The solution
  • The results

A. The Client’s Background Information

This part of the case study interview must give a comprehensive look into your customer’s business and allow your readers to get to know them better.

Here are some question ideas:

B. The Problem

Now it’s time to get into the reason your client came to you for assistance, the initial challenge that triggered your collaboration.

In this part of the interview process, you want to find out what made them ask for help and what was their situation before working with you.

You can ask your client the following case study questions:

C. The Start of the Collaboration

This part of the case study interview will focus on the process that made your collaboration possible. More specifically, how did your client research possible collaboration opportunities, and why they chose your business? 

This information will not only be informative for your future customers but will also give you a behind-the-scenes look into their decision-making process.

D. The Solution

It’s time to get into one of the most significant parts of the case study interview — the solution. Here you should discuss how your services have helped their business recover from the problems mentioned before.

Make sure you ask the right questions so you can really paint the picture of a satisfied customer.

Have a look at these question examples:

E. The Results

The best proof you can give to your customers is through your results. And this is the perfect opportunity to let your actions speak for themselves.

Unlike the other marketing strategies you use to promote your business, the content is provided by your customer, not by your team. As a result, you end up with a project that is on another level of reliability.

Here is how you can ask your client about their results:

Step 4: Conduct the Case Study Interview

Now that you have a great set of case study questions, it’s time to put them to good use.

Decide on the type of interview you want to conduct: face-to-face, video call , or phone call. Then, consult with your client and set up a date and a time when you are both available. 

It should be noted that during the interview it’s best to use a recording device for accuracy. Maybe you don’t have time to write down all the information, and you forget important details. Or maybe you want to be focused more on the conversational aspect of the interview, and you don’t want to write anything down while it’s happening.

Step 5: Structure Your Case Study 

The hard part is over. Now it’s time to organize all the information you gathered in an appealing format. Let’s have a look at what your case study should contain.

Here are the components of a case study:

  • Engaging title
  • Executive summary
  • Client description 
  • Introduction to the problem
  • The problem-solving process
  • Progress and results

A. Engaging Title

Putting that much work into a project, it would be a shame not to do your best to attract more readers. So, take into consideration that you only have a few seconds to catch your audience’s attention. 

You can also use a headline analyzer to evaluate the performance of your title.

The best case study titles contain:

  • Relevant keywords
  • Customer pain points
  • Clear result

Case study example :

background information in case study example

B. Executive Summary

Your executive summary should include a thesis statement that sums up the main points of your case study. Therefore, it must be clear and concise. Moreover, to make your audience curious, you can add a statistic or a relevant piece of data that they might be interested in.

Here is what you should include in your executive summary:

  • The business you are writing about (only if the clients wants to make themselves known)
  • Relevant statistics

background information in case study example

C. Client Description 

Here is where you start to include the information you gained from your interview. Provide your readers with a clear picture of your client and create a context for your case study.

Take your client’s answers from the “Client Background” section of the interview and present them in a more appealing format.

background information in case study example

D. Introduction to the Problem

In this section, use your client’s interview answers to write about the problem they were experiencing before working with you.

Remember to be specific because you want your audience to fully understand the situation and relate to it. At the end of the day, the goal of the case study is to show your potential customers why they should buy your services/products.

background information in case study example

E. The Problem-Solving Process

Next, explain how your service/product helped your client overcome their problems. Moreover, let your readers know how and why your service/product worked in their case.

In this part of the case study, you should summarize: 

  • The strategy used to solve the problem of your customer 
  • The process of implementing the solution 

background information in case study example

F. Progress and Results

Tell your readers about what you and your client have achieved during your collaboration. Here you can include:

  • Graphics about your progress
  • Business objectives they have achieved
  • Relevant metrics 

background information in case study example

Step 6: Make It Visual

To elevate the information you have written for your audience, you must make sure it’s appealing and easy to read. And a great way to achieve that is to use visuals that add value to your case study.

Here are some design elements that will make emphasize your text:

  • Graphic symbols that guide the eye (arrows, bullet points, checkmarks, etc.)
  • Charts, graphics, tables 
  • Relevant screenshots from business reports
  • The colors and fonts of your brand
  • Your client’s logo

Platforms like Canva can really come in handy while designing your case study. It’s easy to use and it has multiple free slide templates and graphics that save you time and money.

PRO TIP: Share Your Case Study Across All Marketing Channels

A case study is a perfect example of evergreen content that can be reshared endlessly on your social media channels .

Aside from helping you maintain a consistent posting schedule with ease, case study-related posts will increase your credibility and push leads toward the bottom of your marketing funnel . Other examples of social proof evergreen content are reviews, testimonials, and positive social media mentions.

To keep track of all your evergreen posts and have them scheduled on a continuous loop, use a social media tool like SocialBee.

SocialBee posting schedule

Create evergreen content categories where all your posts get reposted regularly on your social media channels. 

Start your 14-day trial today and start using SocialBee for free!

Aside from promoting your case study on social media, you can also feature it in your newsletter that you can create using email newsletter software , include it as a pop-up on your website, and even create a separate landing page dedicated to your customer study.

SocialBee blog CTA box visual

Share Your Case Study on Social Media with SocialBee!

Get to writing your own case study.

What do you think? Is writing a case study easier than you thought? We sure hope so.

Learning how to write a case study is a simple process once you understand the logical steps that go into it. So make sure you go over the guide a couple of times before you start documenting your customer success stories.

And remember that the goal of your case study is to attract more leads . Therefore you need to include tangible results and valuable details that will compel your audience to invest in your products and services.

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How to Write a Case Study: The Basics

The purpose of a case study is to walk the reader through a situation where a problem is presented, background information provided and a description of the solution given, along with how it was derived. A case study can be written to encourage the reader to come up with his or her own solution or to review the solution that was already implemented. The goal of the writer is to give the reader experiences similar to those the writer had as he or she researched the situation presented.

Several steps must be taken before actually writing anything:

  • Choose the situation on which to write
  • Gather as much information as possible about the situation
  • Analyze all of the elements surrounding the situation
  • Determine the final solution implemented
  • Gather information about why the solution worked or did not work

From these steps you will create the content of your case study.

Describe the situation/problem

The reader needs to have a clear understanding of the situation for which a solution is sought. You can explicitly state the problem posed in the study. You can begin by sharing quotes from someone intimate with the situation. Or you can present a question:

  • ABC Hospital has a higher post-surgical infection rate than other health care facilities in the area.
  • The Director of Nursing at ABC Hospital stated that “In spite of following rigid standards, we continue to experience high post-surgical infection rates”
  • Why is it that the post-surgical infection rate at ABC Hospital  higher than any other health center in the area?

This sets the tone for the reader to think of the problem while he or she read the rest of the case study. This also sets the expectation that you will be presenting information the reader can use to further understand the situation.

Give background

Background is the information you discovered that describes why there is a problem. This will consist of facts and figures from authoritative sources. Graphs, charts, tables, photos, videos, audio files, and anything that points to the problem is useful here. Quotes from interviews are also good. You might include anecdotal information as well:

“According to previous employees of this facility, this has been a problem for several years”

What is not included in this section is the author’s opinion:

“I don’t think the infection review procedures are followed very closely”

In this section you give the reader information that they can use to come to their own conclusion. Like writing a mystery, you are giving clues from which the reader can decide how to solve the puzzle. From all of this evidence, how did the problem become a problem? How can the trend be reversed so the problem goes away?

A good case study doesn’t tell the readers what to think. It guides the reader through the thought process used to create the final conclusion. The readers may come to their own conclusion or find fault in the logic being presented. That’s okay because there may be more than one solution to the problem. The readers will have their own perspective and background as they read the case study.

Describe the solution

This section discusses the solution and the thought processes that lead up to it. It guides the reader through the information to the solution that was implemented. This section may contain the author’s opinions and speculations.

Facts will be involved in the decision, but there can be subjective thinking as well:

“Taking into account A, B and C, the committee suggested solution X. In lieu of the current budget situation, the committee felt this was the most prudent approach”

Briefly present the key elements used to derive the solution. Be clear about the goal of the solution. Was it to slow down, reduce or eliminate the problem?

Evaluate the response to the solution

If the case study is for a recent situation, there may not have been enough time to determine the overall effect of the solution:

“New infection standards were adopted in the first quarter and the center hopes to have enough information by the year’s end to judge their effectiveness”

If the solution has been in place for some time, then an opportunity to gather and review facts and impressions exists. A summary of how well the solution is working would be included here.

Tell the whole story

Case study-writing is about telling the story of a problem that has been fixed. The focus is on the evidence for the problem and the approach used to create a solution. The writing style guides the readers through the problem analysis as if they were part of the project. The result is a case study that can be both entertaining and educational.

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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 Mastery: Examples & Step-by-Step Templates

Master case study: Uncover key strategies to conduct & present findings that influence decisions charachters.

What's Inside?

Understanding and sharing success stories in the business management world is crucial for grasping the growth journey of a business.

In this article, we will delve into the concept of a business management case study, exploring its definition, benefits, limitations, step-by-step process, types, and essential elements.

What is a Case Study?

A case study research is a detailed analysis of a particular subject, often a real-world situation or scenario, to draw insights and conclusions. It serves as a valuable tool for learning from successful strategies, identifying challenges, and making informed decisions.

case study

Key Characteristics of a Case Study:

Specific Focus: Case studies concentrate on a particular subject, narrowing down the scope to delve deeply into specific aspects.

Real-world Context: Unlike theoretical studies, case studies are grounded in the real world. They often involve the examination of actual events, circumstances, or challenges.

Comprehensive Exploration: Case studies involve a thorough investigation of multiple facets of the chosen subject. This may include collecting and analyzing data, conducting interviews, and reviewing relevant documents.

case studies

Contextualization: Each case study is set within a context, providing background information to help readers or viewers understand the circumstances surrounding the case.

Problem-Solving Orientation: While exploring the intricacies of a case, case studies often aim to identify problems, challenges, or opportunities. They can be used as tools for problem-solving and decision-making.

In-depth Analysis: The analysis in a case study goes beyond surface-level observations. It involves a detailed examination of factors contributing to the situation, allowing for a nuanced understanding.

Presentation of Findings: A case study concludes with the presentation of findings, insights, and conclusions. Leveraging a visually compelling presentation plays a vital role for a case study to speak out.


Why You Should Write a Case Study?

Writing a case study offers several compelling reasons for individuals and businesses alike:

Demonstrate Success: A case study allows you to showcase your achievements and successes. It provides tangible evidence of your capabilities, helping build trust and credibility with potential clients, customers, or collaborators.

Demonstrate Success

Educate and Inform: Use case studies to share valuable insights, lessons learned, and best practices. By documenting your experiences, you contribute to the collective knowledge within your industry, positioning yourself as an authority and resource.

Problem-Solving Showcase: If your case study revolves around overcoming challenges, it highlights your problem-solving abilities. This can be particularly impactful in industries where complex issues require innovative solutions.

Engage Your Audience: Well-crafted case studies are engaging and resonate with your audience. They tell a story, making information more relatable and memorable. This storytelling aspect can captivate readers and enhance their understanding of your work.

Engage Your Audience

Build Brand Awareness: Case studies provide an opportunity to promote your brand in a context that goes beyond traditional marketing. Through real-world examples, you can reinforce your brand message and values.

Attract New Opportunities: A compelling case study can attract new opportunities, whether it be clients, partnerships , or collaborations. It serves as a powerful marketing tool, showcasing your expertise and capabilities to a wider audience.

Validate Your Methods: For businesses, case studies serve as a validation of their methods and strategies. Employing a robust case study methodology is a way to demonstrate the effectiveness of your products, services, or approaches to potential clients or customers through a thorough research process.

Internal Learning: Writing a case study requires reflection on your processes and approach case outcomes. This internal learning process can contribute to continuous improvement within your organization , fostering a culture of innovation and adaptability.

Internal Learning

SEO Benefits: Case studies can be optimized for search engines, contributing to your online visibility. Including relevant keywords and internal links in your case studies can improve your website's SEO , attracting more organic traffic.

Differentiation: In competitive industries, a well crafted case study sets you apart from the competition. It allows you to highlight what makes your approach unique and why clients or customers should choose your products or services.

Benefits and Limitations of Case Studies

 Limitations of Case Studies

Benefits of Case Studies:

  • Evident Success Stories: Case studies serve as tangible evidence of a business's success, allowing them to showcase real-world achievements and build credibility with potential clients or customers.
  • Effective Marketing Tool: They function as powerful marketing tools by providing in depth insights into a business's capabilities , differentiating it from competitors, and influencing the decision making process of potential clients.
  • Client Relationship Building: Through detailed case studies, businesses can strengthen relationships with existing clients by demonstrating their commitment, problem solving abilities, and delivering measurable results.
  • Versatile Content: Case studies offer versatile content that can be repurposed across various marketing channels, including websites, social media, presentations, and promotional materials.
  • Educational Value: Businesses can use case studies to educate their target audience about their industry, innovative solutions, and best practices, positioning themselves as thought leaders.

Limitations of Case Studies:

  • Resource Intensive: Creating comprehensive case studies demands significant resources, including time, effort, and potential costs, making them resource-intensive for businesses.
  • Limited Generalization: Findings from a specific case study may not be universally applicable, limiting their generalizability to other scenarios or industries.
  • Potential Bias: There is a risk of bias in the selection and presentation of information, as businesses may be inclined to emphasize positive outcomes and downplay challenges.
  • Confidentiality Concerns: Businesses may face challenges in sharing detailed information, especially if it involves sensitive data or strategies, raising concerns about confidentiality.
  • Difficulty in Replication: The unique circumstances of a case study may make it challenging to replicate the same success in different contexts, limiting the broader applicability of the insights gained.

How to Conduct a Case Analysis: Step-by-step

1. define the objective:.

  • Clearly outline the purpose of the case study. What do you aim to achieve or understand through this analysis?

purpose of the case study

2. Select the Case:

  • Identify a relevant and specific case that aligns with your objective. For an important case study this could be a real-world situation, event, or phenomenon.

3. Background Research:

  • Gather background information about the case. This may include historical context, key players involved, and any existing literature on the subject.

Background Research

4. Identify Key Issues or Questions:

  • Formulate specific research questions or highlight key issues you want to address through the case study.

5. Choose the Research Method:

  • Decide on the case study method or approach for data collection. A case study research method could involve qualitative methods such as interviews, observations, or document analysis.

6. Develop Data Collection Plan:

  • Outline a detailed plan for collecting data. Specify sources, methods, and tools you will use to gather relevant information.

Develop Data Collection Plan

7. Data Collection:

  • Execute the data collection plan. Conduct interviews , observe events, and analyze documents to accumulate necessary data.

8. Data Analysis:

  • Apply appropriate analytical techniques to interpret the gathered data. This may involve coding, categorizing, and identifying patterns or themes.

9. Construct the Case Study Narrative:

  • Organize the findings into a coherent and structured narrative. Develop sections that cover the introduction, background, analysis, and conclusion.

Construct the Case Study Narrative

10. Draw Conclusions:

  • Based on your analysis, after you conduct case study , draw conclusions that address the research questions or objectives. Consider the implications of your findings.

11. Peer Review or Feedback:

  • Seek feedback from colleagues, mentors, or peers to ensure the validity and reliability of your case study.

12. Finalize the Case Study:

  • Incorporate feedback and make necessary revisions. Finalize the case study, ensuring clarity, coherence, and adherence to ethical guidelines.

13. Document and Share:

  • Prepare the case study for publication or presentation and take advantage of Decktopus AI, a user-friendly and efficient presentation generator powered by AI. Easily convert your case study insights into a visually compelling deck.

Decktopus AI

  • Decktopus ensures your case studies are presented in a format that engages your audience, making your narratives more impactful and memorable. Explore the benefits of Decktopus AI to elevate your case study presentations effortlessly.

What are the Components of a Case Study

The format of a case study typically comprises several key components to present information in a structured and comprehensive manner. While variations may exist based on the context and purpose, a standard case study format often includes the following elements:

1. Introduction:

Provide a brief overview of the case and set the stage for the reader. Outline the main objectives and establish the context of the study.


2. Background:

Present relevant background information about the subject of the case. This may include the history, industry context, or any pertinent details necessary for understanding the situation.


3. Problem Statement or Objectives:

Clearly state the problem or the main objectives of the case study. Define the issues or challenges that the study aims to address.

Problem Statement or Objectives

4. Analysis:

Dive into the analysis of the case. This section often comprises multiple sub-sections, each exploring different aspects such as market conditions, internal factors, external influences, etc.


5. Solution or Action:

Propose solutions or actions to address the identified problems. Detail the steps taken or recommended strategies based on the analysis.


6. Results:

Present the outcomes of the solutions or actions taken. Include any measurable results, impacts, or changes observed.


7. Conclusion:

Summarize the key points, outcomes, and lessons learned. Revisit the problem statement and emphasize the significance of the study, highlighting how the research design shaped the results.


Types of Case Studies

Case study examples, 1. marketing case study template.

marketing case study

The Marketing Case Study Template is tailored for marketers, highlighting successful marketing strategies . Uncover the methods employed, target audience engagement, and measurable outcomes.

Ideal for marketing professionals seeking insights into effective campaign executions. With Decktopus AI , spending your precious time perpetually recreating your product's presentation has become an ancient practice.

Along with our collection of case-study templates, with our one-click platform, you can easily create beautiful presentations for yourself or your clients.

Also check out: creative marketing case study template .

2. Sales Case Study Template

 Sales Case Study Template

The Sales Case Study Template is designed for salespeople to present and discuss case studies in sales meetings. With its professional look and engaging layout, your clients will be impressed with the level of detail you put into your analysis.

This professionally designed template is easy to use and easy to customize, making it the perfect way to show off your small business expertise.

So whether you're looking to wow potential clients or just need a little more confidence in your sales meetings, our client case study template will help you make an impact.

Also check-out: case study template for sales teams .

3. Design Case Study Example: UI Case Study Template

ui case

The UI Case Study Template is specifically designed for UI designers, making it easy to discuss your design process and findings. Present your design case studies like a pro with our target-spesific case study templates. With our design case study template , you'll be able to showcase your work in a clear, professional manner.

Looking to create a stunning case study presentation for your next client meeting? Look no further than our case study templates! Our professional and easy-to-use templates are perfect for designers of all experience levels, and will help you showcase your work in a clear and concise way.

Also check out: Art Case Study Template .

Explore More Case Study Templates

Case Study Templates

Discover a vast collection of case study templates from various fields, including marketing, sales, and design, in our dedicated Case Study Examples Blog. Gain insights into diverse business scenarios and find inspiration for your own projects.

Case Study Presentation Creation with Decktopus AI

Streamlining the creation of engaging visual case studies has never been easier than with Decktopus AI . This innovative platform offers a seamless experiencensimply write your input, and Decktopus takes care of the rest, ensuring that your templates not only boast a polished visual appeal but also integrate relevant and impactful content effortlessly.

Discover how easy it is to create engaging case study templates using Decktopus AI . Our platform ensures your templates look great and contain relevant content. With the help of our AI assistant, you not only get support during presentations but also receive tips, facilitate Q&A, and increase overall engagement.

Explore the unique storytelling format that Decktopus offers, making your case studies more relatable. For a step-by-guide on how to easily create a visually stunning case study with Decktopus, see our case study examples blog.

Decktopus AI

This approach allows you to present information in a narrative style, connecting better with your audience. Find practical tips for smoother case study presentations, from effective storytelling to engaging your audience. Improve your presentation experience with Decktopus AI , where simplicity meets interactivity and storytelling for effective communication.

It features, practical design, mobilizing easy principles of marketing ecosystem platform design. Making it by far the easiest thing to use in your daily practice of mobilizing marketing ecosystems through platform strategies.

Frequently Asked Questions

1) what is a marketing case study.

A marketing case study is a concise analysis of a business's marketing strategy, showcasing its objectives, challenges, tactics, and outcomes. It offers practical insights into real-world marketing applications, serving as a valuable learning tool for understanding successful practices and lessons learned in achieving specific marketing goals.

2) What is a case study?

A case study, or case report, is a concise examination of a specific subject, often real-world situations or problems, providing detailed insights and analysis for learning or decision-making purposes.

3) How should you write a case study?

To create an impactful case study, define objectives, choose a relevant case, gather key information, and use Decktopus for a polished presentation. Employ data analysis, construct a clear narrative, and offer actionable recommendations.

Validate findings and consider broader implications. Decktopus streamlines this process, providing a user-friendly platform for creating compelling case study presentations effortlessly.

background information in case study example

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16 case study examples (+ 3 templates to make your own)

Hero image with an icon representing a case study

I like to think of case studies as a business's version of a resume. It highlights what the business can do, lends credibility to its offer, and contains only the positive bullet points that paint it in the best light possible.

Imagine if the guy running your favorite taco truck followed you home so that he could "really dig into how that burrito changed your life." I see the value in the practice. People naturally prefer a tried-and-true burrito just as they prefer tried-and-true products or services.

To help you showcase your success and flesh out your burrito questionnaire, I've put together some case study examples and key takeaways.

What is a case study?

A case study is an in-depth analysis of how your business, product, or service has helped past clients. It can be a document, a webpage, or a slide deck that showcases measurable, real-life results.

For example, if you're a SaaS company, you can analyze your customers' results after a few months of using your product to measure its effectiveness. You can then turn this analysis into a case study that further proves to potential customers what your product can do and how it can help them overcome their challenges.

It changes the narrative from "I promise that we can do X and Y for you" to "Here's what we've done for businesses like yours, and we can do it for you, too."

16 case study examples 

While most case studies follow the same structure, quite a few try to break the mold and create something unique. Some businesses lean heavily on design and presentation, while others pursue a detailed, stat-oriented approach. Some businesses try to mix both.

There's no set formula to follow, but I've found that the best case studies utilize impactful design to engage readers and leverage statistics and case details to drive the point home. A case study typically highlights the companies, the challenges, the solution, and the results. The examples below will help inspire you to do it, too.

1. .css-1l9i3yq-Link[class][class][class][class][class]{all:unset;box-sizing:border-box;-webkit-text-fill-color:currentColor;cursor:pointer;}.css-1l9i3yq-Link[class][class][class][class][class]{all:unset;box-sizing:border-box;-webkit-text-decoration:underline;text-decoration:underline;cursor:pointer;-webkit-transition:all 300ms ease-in-out;transition:all 300ms ease-in-out;outline-offset:1px;-webkit-text-fill-color:currentColor;outline:1px solid transparent;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='ocean']{color:#3d4592;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='ocean']:hover{color:#2b2358;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='ocean']:focus{color:#3d4592;outline-color:#3d4592;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='white']{color:#fffdf9;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='white']:hover{color:#a8a5a0;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='white']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='primary']{color:#3d4592;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='primary']:hover{color:#2b2358;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='primary']:focus{color:#3d4592;outline-color:#3d4592;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='secondary']{color:#fffdf9;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='secondary']:hover{color:#a8a5a0;}.css-1l9i3yq-Link[class][class][class][class][class][data-color='secondary']:focus{color:#fffdf9;outline-color:#fffdf9;}.css-1l9i3yq-Link[class][class][class][class][class][data-weight='inherit']{font-weight:inherit;}.css-1l9i3yq-Link[class][class][class][class][class][data-weight='normal']{font-weight:400;}.css-1l9i3yq-Link[class][class][class][class][class][data-weight='bold']{font-weight:700;} Volcanica Coffee and AdRoll

On top of a background of coffee beans, a block of text with percentage growth statistics for how AdRoll nitro-fueled Volcanica coffee.

People love a good farm-to-table coffee story, and boy am I one of them. But I've shared this case study with you for more reasons than my love of coffee. I enjoyed this study because it was written as though it was a letter.

In this case study, the founder of Volcanica Coffee talks about the journey from founding the company to personally struggling with learning and applying digital marketing to finding and enlisting AdRoll's services.

It felt more authentic, less about AdRoll showcasing their worth and more like a testimonial from a grateful and appreciative client. After the story, the case study wraps up with successes, milestones, and achievements. Note that quite a few percentages are prominently displayed at the top, providing supporting evidence that backs up an inspiring story.

Takeaway: Highlight your goals and measurable results to draw the reader in and provide concise, easily digestible information.

2. Taylor Guitars and Airtable

Screenshot of the Taylor Guitars and Airtable case study, with the title: Taylor Guitars brings more music into the world with Airtable

This Airtable case study on Taylor Guitars comes as close as one can to an optimal structure. It features a video that represents the artistic nature of the client, highlighting key achievements and dissecting each element of Airtable's influence.

It also supplements each section with a testimonial or quote from the client, using their insights as a catalyst for the case study's narrative. For example, the case study quotes the social media manager and project manager's insights regarding team-wide communication and access before explaining in greater detail.

Takeaway: Highlight pain points your business solves for its client, and explore that influence in greater detail.

3. EndeavourX and Figma

Screenshot of the Endeavour and Figma case study, showing a bulleted list about why EndeavourX chose Figma followed by an image of EndeavourX's workspace on Figma

My favorite part of Figma's case study is highlighting why EndeavourX chose its solution. You'll notice an entire section on what Figma does for teams and then specifically for EndeavourX.

It also places a heavy emphasis on numbers and stats. The study, as brief as it is, still manages to pack in a lot of compelling statistics about what's possible with Figma.

Takeaway: Showcase the "how" and "why" of your product's differentiators and how they benefit your customers.

4. ActiveCampaign and Zapier

Screenshot of Zapier's case study with ActiveCampaign, showing three data visualizations on purple backgrounds

Zapier's case study leans heavily on design, using graphics to present statistics and goals in a manner that not only remains consistent with the branding but also actively pushes it forward, drawing users' eyes to the information most important to them. 

The graphics, emphasis on branding elements, and cause/effect style tell the story without requiring long, drawn-out copy that risks boring readers. Instead, the cause and effect are concisely portrayed alongside the client company's information for a brief and easily scannable case study.

Takeaway: Lean on design to call attention to the most important elements of your case study, and make sure it stays consistent with your branding.

5. Ironclad and OpenAI

Screenshot of a video from the Ironclad and OpenAI case study showing the Ironclad AI Assist feature

In true OpenAI fashion, this case study is a block of text. There's a distinct lack of imagery, but the study features a narrated video walking readers through the product.

The lack of imagery and color may not be the most inviting, but utilizing video format is commendable. It helps thoroughly communicate how OpenAI supported Ironclad in a way that allows the user to sit back, relax, listen, and be impressed. 

Takeaway: Get creative with the media you implement in your case study. Videos can be a very powerful addition when a case study requires more detailed storytelling.

6. Shopify and GitHub

Screenshot of the Shopify and GitHub case study, with the title "Shopify keeps pushing ecommerce forward with help from GitHub tools," followed by a photo of a plant and a Shopify bag on a table on a dark background

GitHub's case study on Shopify is a light read. It addresses client pain points and discusses the different aspects its product considers and improves for clients. It touches on workflow issues, internal systems, automation, and security. It does a great job of representing what one company can do with GitHub.

To drive the point home, the case study features colorful quote callouts from the Shopify team, sharing their insights and perspectives on the partnership, the key issues, and how they were addressed.

Takeaway: Leverage quotes to boost the authoritativeness and trustworthiness of your case study. 

7 . Audible and Contentful

Screenshot of the Audible and Contentful case study showing images of titles on Audible

Contentful's case study on Audible features almost every element a case study should. It includes not one but two videos and clearly outlines the challenge, solution, and outcome before diving deeper into what Contentful did for Audible. The language is simple, and the writing is heavy with quotes and personal insights.

This case study is a uniquely original experience. The fact that the companies in question are perhaps two of the most creative brands out there may be the reason. I expected nothing short of a detailed analysis, a compelling story, and video content. 

Takeaway: Inject some brand voice into the case study, and create assets that tell the story for you.

8 . Zoom and Asana

Screenshot of Zoom and Asana's case study on a navy blue background and an image of someone sitting on a Zoom call at a desk with the title "Zoom saves 133 work weeks per year with Asana"

Asana's case study on Zoom is longer than the average piece and features detailed data on Zoom's growth since 2020. Instead of relying on imagery and graphics, it features several quotes and testimonials. 

It's designed to be direct, informative, and promotional. At some point, the case study reads more like a feature list. There were a few sections that felt a tad too promotional for my liking, but to each their own burrito.

Takeaway: Maintain a balance between promotional and informative. You want to showcase the high-level goals your product helped achieve without losing the reader.

9 . Hickies and Mailchimp

Screenshot of the Hickies and Mailchimp case study with the title in a fun orange font, followed by a paragraph of text and a photo of a couple sitting on a couch looking at each other and smiling

I've always been a fan of Mailchimp's comic-like branding, and this case study does an excellent job of sticking to their tradition of making information easy to understand, casual, and inviting.

It features a short video that briefly covers Hickies as a company and Mailchimp's efforts to serve its needs for customer relationships and education processes. Overall, this case study is a concise overview of the partnership that manages to convey success data and tell a story at the same time. What sets it apart is that it does so in a uniquely colorful and brand-consistent manner.

Takeaway: Be concise to provide as much value in as little text as possible.

10. NVIDIA and Workday

Screenshot of NVIDIA and Workday's case study with a photo of a group of people standing around a tall desk and smiling and the title "NVIDIA hires game changers"

The gaming industry is notoriously difficult to recruit for, as it requires a very specific set of skills and experience. This case study focuses on how Workday was able to help fill that recruitment gap for NVIDIA, one of the biggest names in the gaming world.

Though it doesn't feature videos or graphics, this case study stood out to me in how it structures information like "key products used" to give readers insight into which tools helped achieve these results.

Takeaway: If your company offers multiple products or services, outline exactly which ones were involved in your case study, so readers can assess each tool.

11. KFC and Contentful

Screenshot of KFC and Contentful's case study showing the outcome of the study, showing two stats: 43% increase in YoY digital sales and 50%+ increase in AU digital sales YoY

I'm personally not a big KFC fan, but that's only because I refuse to eat out of a bucket. My aversion to the bucket format aside, Contentful follows its consistent case study format in this one, outlining challenges, solutions, and outcomes before diving into the nitty-gritty details of the project.

Say what you will about KFC, but their primary product (chicken) does present a unique opportunity for wordplay like "Continuing to march to the beat of a digital-first drum(stick)" or "Delivering deep-fried goodness to every channel."

Takeaway: Inject humor into your case study if there's room for it and if it fits your brand. 

12. Intuit and Twilio

Screenshot of the Intuit and Twilio case study on a dark background with three small, light green icons illustrating three important data points

Twilio does an excellent job of delivering achievements at the very beginning of the case study and going into detail in this two-minute read. While there aren't many graphics, the way quotes from the Intuit team are implemented adds a certain flair to the study and breaks up the sections nicely.

It's simple, concise, and manages to fit a lot of information in easily digestible sections.

Takeaway: Make sure each section is long enough to inform but brief enough to avoid boring readers. Break down information for each section, and don't go into so much detail that you lose the reader halfway through.

13. Spotify and Salesforce

Screenshot of Spotify and Salesforce's case study showing a still of a video with the title "Automation keeps Spotify's ad business growing year over year"

Salesforce created a video that accurately summarizes the key points of the case study. Beyond that, the page itself is very light on content, and sections are as short as one paragraph.

I especially like how information is broken down into "What you need to know," "Why it matters," and "What the difference looks like." I'm not ashamed of being spoon-fed information. When it's structured so well and so simply, it makes for an entertaining read.

Takeaway: Invest in videos that capture and promote your partnership with your case study subject. Video content plays a promotional role that extends beyond the case study in social media and marketing initiatives .

14. Benchling and Airtable

Screenshot of the Benchling and Airtable case study with the title: How Benchling achieves scientific breakthroughs via efficiency

Benchling is an impressive entity in its own right. Biotech R&D and health care nuances go right over my head. But the research and digging I've been doing in the name of these burritos (case studies) revealed that these products are immensely complex. 

And that's precisely why this case study deserves a read—it succeeds at explaining a complex project that readers outside the industry wouldn't know much about.

Takeaway: Simplify complex information, and walk readers through the company's operations and how your business helped streamline them.

15. Chipotle and Hubble

Screenshot of the Chipotle and Hubble case study with the title "Mexican food chain replaces Discoverer with Hubble and sees major efficiency improvements," followed by a photo of the outside of a Chipotle restaurant

The concision of this case study is refreshing. It features two sections—the challenge and the solution—all in 316 words. This goes to show that your case study doesn't necessarily need to be a four-figure investment with video shoots and studio time. 

Sometimes, the message is simple and short enough to convey in a handful of paragraphs.

Takeaway: Consider what you should include instead of what you can include. Assess the time, resources, and effort you're able and willing to invest in a case study, and choose which elements you want to include from there.

16. Hudl and Zapier

Screenshot of Hudl and Zapier's case study, showing data visualizations at the bottom, two photos of people playing sports on the top right , and a quote from the Hudl team on the topleft

I may be biased, but I'm a big fan of seeing metrics and achievements represented in branded graphics. It can be a jarring experience to navigate a website, then visit a case study page and feel as though you've gone to a completely different website.

The Zapier format provides nuggets of high-level insights, milestones, and achievements, as well as the challenge, solution, and results. My favorite part of this case study is how it's supplemented with a blog post detailing how Hudl uses Zapier automation to build a seamless user experience.

The case study is essentially the summary, and the blog article is the detailed analysis that provides context beyond X achievement or Y goal.

Takeaway: Keep your case study concise and informative. Create other resources to provide context under your blog, media or press, and product pages.

3 case study templates

Now that you've had your fill of case studies (if that's possible), I've got just what you need: an infinite number of case studies, which you can create yourself with these case study templates.

Case study template 1

Screenshot of Zapier's first case study template, with the title and three spots for data callouts at the top on a light peach-colored background, followed by a place to write the main success of the case study on a dark green background

If you've got a quick hit of stats you want to show off, try this template. The opening section gives space for a short summary and three visually appealing stats you can highlight, followed by a headline and body where you can break the case study down more thoroughly. This one's pretty simple, with only sections for solutions and results, but you can easily continue the formatting to add more sections as needed.

Case study template 2

Screenshot of Zapier's second case study template, with the title, objectives, and overview on a dark blue background with an orange strip in the middle with a place to write the main success of the case study

For a case study template with a little more detail, use this one. Opening with a striking cover page for a quick overview, this one goes on to include context, stakeholders, challenges, multiple quote callouts, and quick-hit stats. 

Case study template 3

Screenshot of Zapier's third case study template, with the places for title, objectives, and about the business on a dark green background followed by three spots for data callouts in orange boxes

Whether you want a little structural variation or just like a nice dark green, this template has similar components to the last template but is designed to help tell a story. Move from the client overview through a description of your company before getting to the details of how you fixed said company's problems.

Tips for writing a case study

Examples are all well and good, but you don't learn how to make a burrito just by watching tutorials on YouTube without knowing what any of the ingredients are. You could , but it probably wouldn't be all that good.

Writing a good case study comes down to a mix of creativity, branding, and the capacity to invest in the project. With those details in mind, here are some case study tips to follow:

Have an objective: Define your objective by identifying the challenge, solution, and results. Assess your work with the client and focus on the most prominent wins. You're speaking to multiple businesses and industries through the case study, so make sure you know what you want to say to them.

Focus on persuasive data: Growth percentages and measurable results are your best friends. Extract your most compelling data and highlight it in your case study.

Use eye-grabbing graphics: Branded design goes a long way in accurately representing your brand and retaining readers as they review the study. Leverage unique and eye-catching graphics to keep readers engaged. 

Simplify data presentation: Some industries are more complex than others, and sometimes, data can be difficult to understand at a glance. Make sure you present your data in the simplest way possible. Make it concise, informative, and easy to understand.

Use automation to drive results for your case study

A case study example is a source of inspiration you can leverage to determine how to best position your brand's work. Find your unique angle, and refine it over time to help your business stand out. Ask anyone: the best burrito in town doesn't just appear at the number one spot. They find their angle (usually the house sauce) and leverage it to stand out.

In fact, with the right technology, it can be refined to work better . Explore how Zapier's automation features can help drive results for your case study by making your case study a part of a developed workflow that creates a user journey through your website, your case studies, and into the pipeline.

Case study FAQ

Got your case study template? Great—it's time to gather the team for an awkward semi-vague data collection task. While you do that, here are some case study quick answers for you to skim through while you contemplate what to call your team meeting.

What is an example of a case study?

An example of a case study is when a software company analyzes its results from a client project and creates a webpage, presentation, or document that focuses on high-level results, challenges, and solutions in an attempt to showcase effectiveness and promote the software.

How do you write a case study?

To write a good case study, you should have an objective, identify persuasive and compelling data, leverage graphics, and simplify data. Case studies typically include an analysis of the challenge, solution, and results of the partnership.

What is the format of a case study?

While case studies don't have a set format, they're often portrayed as reports or essays that inform readers about the partnership and its results. 

Related reading:

How Hudl uses automation to create a seamless user experience

How to make your case studies high-stakes—and why it matters

How experts write case studies that convert, not bore

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Hachem Ramki

Hachem is a writer and digital marketer from Montreal. After graduating with a degree in English, Hachem spent seven years traveling around the world before moving to Canada. When he's not writing, he enjoys Basketball, Dungeons and Dragons, and playing music for friends and family.

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

background information in case study example

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

What Is a Case Study?

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

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

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

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

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

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

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

Types of Case Studies

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

Types of Case Studies

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

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Case Study Format

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

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

How to Write a Case Study

Let's discover how to write a case study.

How to Write a Case Study

Setting Up the Research

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

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


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

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

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Case Study Outline

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


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

Writing a Case Study Draft

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

How to Write a Case Study

  • Your draft should contain at least 4 sections: an introduction; a body where you should include background information, an explanation of why you decided to do this case study, and a presentation of your main findings; a conclusion where you present data; and references.
  • In the introduction, you should set the pace very clearly. You can even raise a question or quote someone you interviewed in the research phase. It must provide adequate background information on the topic. The background may include analyses of previous studies on your topic. Include the aim of your case here as well. Think of it as a thesis statement. The aim must describe the purpose of your work—presenting the issues that you want to tackle. Include background information, such as photos or videos you used when doing the research.
  • Describe your unique research process, whether it was through interviews, observations, academic journals, etc. The next point includes providing the results of your research. Tell the audience what you found out. Why is this important, and what could be learned from it? Discuss the real implications of the problem and its significance in the world.
  • Include quotes and data (such as findings, percentages, and awards). This will add a personal touch and better credibility to the case you present. Explain what results you find during your interviews in regards to the problem and how it developed. Also, write about solutions which have already been proposed by other people who have already written about this case.
  • At the end of your case study, you should offer possible solutions, but don’t worry about solving them yourself.

Use Data to Illustrate Key Points in Your Case Study

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

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

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

Finalizing the Draft: Checklist

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

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

Problems to avoid:

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

How to Create a Title Page and Cite a Case Study

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

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

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

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

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

Citation Example in MLA ‍ Hill, Linda, Tarun Khanna, and Emily A. Stecker. HCL Technologies. Boston: Harvard Business Publishing, 2008. Print.
Citation Example in APA ‍ Hill, L., Khanna, T., & Stecker, E. A. (2008). HCL Technologies. Boston: Harvard Business Publishing.
Citation Example in Chicago Hill, Linda, Tarun Khanna, and Emily A. Stecker. HCL Technologies.

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National Academies Press: OpenBook

Guidelines for Ferry Transportation Services (2012)

Chapter: part 1 - background information and case studies.

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Background Information and Case Studies P A R T 1

Background The purpose of this research is to investigate the state of ferry transit operations in North America and to develop practitioners’ guidance for the planning, marketing, operation, and management of ferry transportation systems. The research is intended to present a uniform un- derstanding of the status of ferries as well as options for how to approach planning and opera- tional activities. This guidebook is intended for use by operators large and small, in publicly or privately owned operations, for the development of ferry operations as a solution to a transporta- tion need. This research was developed through literature searches of previous studies, reviews of exist- ing government and state documents, telephone interviews with a broad selection of ferry oper- ators, in-depth case studies of eight ferry operators/ferry systems geographically dispersed across the North American continent, and peer review of the interim documents. The main body of this report contains the case studies and a guidebook. Two appendices pro- vide additional information to support the work documented within the main body of the re- port. Appendix A provides a listing of literature review sources, and Appendix B documents the results of a survey of ferry operators that was developed and implemented in this research. Objectives and Methodology The overall purpose of the research reported herein was to develop guidance for selecting water/ferry transit as the appropriate solution to an access requirement and guidance for oper- ating ferry services. An initial task was to develop a definition of ferry service in order to focus the practice guide- lines. Additional tasks focused on segmenting ferry service types, identifying appropriate roles for ferry service, and spotlighting operational practices to ensure well-operated and safe ferry systems. The end result is a list of criteria that decisionmakers and potential ferry operators can use to test the viability of potential services and operations. An important output of the research is a ferry service development process work flow that out- lines the steps necessary to take a ferry project from conception to initiation (see Figure 1-1). 3 S E C T I O N 1 Introduction

4 Guidelines for Ferry Transportation Services Assessment of All Transit Alternatives - Incorporation of Goals, Criteria, and Measures Analysis of Ferry Alternative Problem Identification Develop Finance and Capital Plan Select Procurement Model Assess Economic and Financial Impacts Determine Efficiency and Effectiveness Go/No-Go Decision No-Go Decision Go Decision Contractor Develops Operating Plan for Approval Publicly Sponsored Contract Select Contract Operator Develop Contract Management Plan Develop Marketing Plan Initiate Operations Direct Operation Select and Procure Vessels Develop Marketing Plan Initiate Operations Develop Operating Plan and Budget St ra te gi c Pl an P ro ce ss Bu si ne ss P la n Pr oc es s Figure 1-1. Ferry service development process.

Report Organization This report is divided into two parts. Part 1 provides background information on ferry service and presents case studies of ferry service. Part 2 presents guidance for practitioners and policymakers. Part 1 includes Sections 1 through 5. Following Section 1 (this section), which introduces the study, is Section 2, which provides a definition of the ferry services considered herein. Section 3 identifies ferry service typologies, and Section 4 lists the stakeholders and institutions affecting ferry services in the United States. Section 5 presents case studies of eight ferry operators (whose experiences and findings impact the report guidance). Part 2 includes Sections 6 through 9. Section 6 is an introduction to and summary of the prac- titioners’ guide to ferry services. Section 7 focuses on strategic planning issues. Section 8 expands on Section 7 by providing discussion of the key issues (often logistical) in ferry management and operations and approaches to these issues. Section 9 discusses ferry services within an overall strategy (either a corporate, private-sector strategy or a metropolitan or statewide transporta- tion strategy) and then provides guidance on developing a business plan for the ferry operation. Introduction 5

An important initial task is to define the ferry operations considered in this guidance. In the context of this research, ferry transportation is a transportation route similar to that provided by a highway or a railway. Definitions Merriam-Webster’s Collegiate Dictionary defines the noun form of the word “ferry” as “a place where persons or things are carried across a body of water (as a river) in a boat” (Merriam-Webster Inc., 2003), and The New Oxford Dictionary of English defines ferry as “a boat or ship that carries people, vehicles and goods across a river or across a narrow part of the sea” (Oxford University Press, 1998). The Random House Unabridged Dictionary defines a highway as “any public road or waterway” (Random House, 1997). Government legal definitions take this ordinary language and refine the definition of ferry service more specifically to be a transportation service using a boat or vessel as a common car- rier for passengers or passengers and vehicles (as a highway is open to all users), in a highway use (for purposeful travel between two points), within a specific “narrow” waterway. A vessel, there- fore, traveling from New York to Lisbon, is not a ferry because it is not a narrow waterway. A freight-only service is also not a ferry. Given these definitions, this research considers ferry ser- vice as a passenger transportation service that can also provide vehicle transportation, but that does not include non-point-to-point sightseeing marine services or freight shipping. Marine services that serve purposeful travel to and from recreational areas are considered ferries. The Bureau of Transportation Statistics (BTS) of the U.S. Department of Transportation ac- knowledges two types of ferry public transit modes: Ferry Transit (BTS Ferry Transit) and Ferry Intercity (BTS Ferry Intercity). BTS Ferry Transit is defined as scheduled ferry service running between points within a city or the same metropolitan area while BTS Ferry Intercity is defined as scheduled ferry service running between points that are not within the same metropolitan area or are not located in any metropolitan area (RITA, accessed April 8, 2010). In at least two states (North Carolina and Washington) and one territory (U.S. Virgin Islands), the state ferry systems are considered as part of the overall state highway system, as they provide critical linkages as part of the state’s transportation system. On April 8, 2010, the U.S. Maritime Administration (MARAD) released its final rule defining the new Marine Highway Program that was originally established on October 9, 2008. While the term “marine highway” has been loosely used to describe ferry transit service, the new MARAD rule firmly defines the term “marine highway” to refer exclusively to short sea transportation. Thus, the term “marine highway” does not refer to ferry transit, but the word “highway” can be 6 S E C T I O N 2 Definitions and Types of Ferry Services

used to refer to ferries within a state’s highway system. In the states of Washington and North Carolina, the state-operated ferry systems are considered as part of the states’ highway system, waterway routes that are an extension of the roadway system. In this instance, ferry routes are part of an overall highway system. Based on the U.S. government documents discussed above and on the case studies developed for this project, ferry service can be categorized into the following: • Transit (no vehicle access): – Ferry Urban—consisting of scheduled service between points within a city or metropoli- tan area (Under the BTS scheme, this would be BTS Ferry Transit). – Ferry Intercity—consisting of scheduled service between metropolitan areas (Under the BTS scheme, this would be BTS Ferry Intercity). • Highway – Ferry Essential—consisting of scheduled service between points outside a metropolitan area or between metropolitan areas and providing vehicle access (primarily BTS Ferry In- tercity although some are categorized as BTS Ferry Transit) almost always in areas without direct roadway access. Types of Ferry Service Varying types of ferry service are provided across the country. As defined in the second edition of the Transit Capacity and Quality of Service Manual (Kettleson & Associates, Inc., et al., 2003), the various service configurations include water taxis, passenger ferries, and automobile ferries. Water Taxis Water taxis are small watercraft that typically serve short cross-waterways or waterway circu- lation routes. Water taxis do not operate on fixed routes or use time-based schedules; rather, they operate on an on-demand basis, with service being variable throughout the day, depending on demand. (Because water taxis do not operate on a fixed route, they are not considered in this research. There are some marine services that have all the other aspects of ferry services— scheduled service, purposeful trips, and so forth—which are marketed as water taxis; however, in this study they are considered ferries.) Passenger Ferries Passenger ferries are larger vessels that have higher passenger capacities and speeds than water taxis and that typically serve short- to moderate-length routes. This kind of ferry service will be referred to as “ferry transit” in this report. Passenger ferries operate on fixed routes with time- based schedules. Examples of passenger ferries operating within a metropolitan area include the New York Harbor cross-Hudson ferries, operated by NY Waterway, NY Water Taxi, and other carriers using 120–150 passenger-only vessels. Some passenger-only ferries operate between metropolitan areas or provide access to rural areas. These are categorized as Ferry Intercity, and examples include the U.S. Virgin Island fer- ries, the Victoria Clipper from Seattle, Washington, to Victoria, British Columbia, and the var- ious ferry services operating between Cape Cod and Martha’s Vineyard in Massachusetts. Automobile Ferries Automobile ferries—also known as roll-on, roll-off (RO-RO) ferries—transport vehicles as well as passengers. They are typically used on longer routes across major bodies of water and on Definitions and Types of Ferry Services 7

low-volume rural roads crossing rivers. Automobile ferries operate on fixed routes with time- based schedules. Examples of automobile ferries include state ferry systems in North Carolina, Washington State, and in British Columbia. Some of these services can be categorized as BTS Ferry Transit (i.e., the Washington State ferry system, which connects Kitsap County to Seattle with ferry routes as short as 10 miles), but most are BTS Ferry Intercity since they generally con- nect areas that are distinct metropolitan areas or connect metropolitan areas to rural areas. For the purposes of this report, any vessel on a fixed route that carries automobiles will be referred to as “ferry highway.” 8 Guidelines for Ferry Transportation Services

This research included a literature review of research on ferries over the last 20 years. This work identifies current ferry industry practices and procedures based on the literature review and an extensive survey of ferry operators that was developed for this report. The 2008 National Census of Ferry Operators (from BTS) reported that ferries operated on more than 350 routes spanning 37 states and three U.S. territories, as well as connecting to seven international destinations. BTS estimates that more than 100 million passengers use U.S. ferries annually. The largest ferry systems were the Staten Island Ferry, which carried 23 million pas- sengers, and the Washington State Ferry, which carried 13 million foot passengers and 11 mil- lion vehicles and vehicle passengers (RITA, accessed April 8, 2010). Ferry Functions Ferries provide three basic transportation functions in the United States within the definition of ferry service. These functions are the fundamental backbone of ferry service, with a hierarchy of importance in relation to regional landside transportation networks (Norris, 1994): • Essential ferry routes with no viable land-based alternatives (called Ferry Essential in this report). These are essential ferry routes that provide year-round service to island or water- isolated areas that cannot be reached by road, bridge, or tunnel. These routes typically are operated by a public entity that is part of the regional transportation network, although they may be operated by private entities under government authorization. The routes are seen as marine highways to offshore communities that provide passenger, vehicle, and freight trans- fer to the mainland. Examples include the North Carolina Ferry System, Washington State Ferry, British Columbia Ferry System and the U.S. Virgin Island ferries, among others. • Complementary ferry routes that are more efficient than land-based alternatives. These routes compete aggressively with automobile and potentially other public transit modes for time savings and accessibility. These routes are often commuter oriented. A good example is the Staten Island Ferry in New York, which provides a direct, 5-mile connection between Manhattan and Staten Island. The corresponding automobile trip is about 16 miles. • Optional ferry routes with equivalent land-based alternatives. Optional ferry routes provide alternatives to automobile travel that may represent some time savings, exhibit greater relia- bility, and provide more amenities. The main goal of increased travel options is to provide al- ternatives to roadways, bridges, and tunnels that may be congested and overcrowded, thereby encouraging people to change travel modes. In the San Francisco Bay Area, the Vallejo Ferry operates on a 30-mile route between downtown Vallejo, a redeveloping industrial town, and downtown San Francisco. Both the ferry route and the parallel Interstate 80 are about the same distance to downtown San Francisco. However, during the peak period, Interstate 80 is extremely 9 S E C T I O N 3 Ferry Service Typologies

congested, with travel times approaching about 70 minutes, while the trip on the 34-knot (39-mph/63-kph) ferry is scheduled to be about 55 minutes, a savings of about 20 percent (Vallejo Baylink Ferry, accessed December 3, 2010). Ferry service can be further divided by geography. A typical ferry route is, on average, 11 to 30 minutes, although routes exceeding 2 hours are also common (up to about 40 miles or 65 kilometers). Ferries travel on waterways that are intercoastal (along the coastline), intra- coastal (lakes, rivers, bays, and sounds), and international. These waterways cross urban, coastal, and rural regions (Norris, 1994): • Urban areas. Services provide trips within a metropolitan commuting area, with fixed sched- ules, sometimes with consistent “clock” headways, but sometimes with inconsistent frequen- cies. Often, fixed-frequency schedules vary daily to accommodate commuters. Services include point-to-point transit (e.g., across a harbor), linear service with multiple stops (e.g., along a waterfront), circulator service (e.g., fixed route but not fixed schedule), and water taxi service (e.g., fixed landings with passenger pickup on demand). One example is the San Francisco Bay Area where six ferry routes connect the suburbs with downtown San Francisco. Other exam- ples include New York, where 21 weekday routes provide scheduled service across the Hudson and the East River into Manhattan. In addition, Seattle and Boston use commuter ferries within highly urbanized areas and Vancouver has a ferry connecting North Vancouver to the central business district (the SeaBus). • Coastal areas. Services provide intercity and inter-island trips on saltwater and large fresh- water lakes. Travel times range from 1 hour to 1 day. Service frequency ranges from daily to weekly and may vary seasonally. Examples include the Lake Express and the Lake Michigan Car Ferry, operating from Michigan to Wisconsin across Lake Michigan; the ferries connect- ing Connecticut to Long Island, New York (Cross Sound and Port Jefferson Ferries); as well as the Washington State Ferry System and the British Columbia Ferry Services (BC Ferries). • Rural areas. Services provide transportation across rivers and lakes where the construction of bridges is not warranted. Typically, these routes are short, carry a limited number of vehicles, and accommodate pedestrians and bicycles, and sometimes even operate on demand. Exam- ples include the Bluewater Ferry operating between Marine City, Michigan, and Sombra, Ontario; the Cave-in-Rock Ferry between Kentucky and Illinois; the Washington Island Ferry in Door County, Wisconsin; and ferry services in North Carolina. Ferry systems can also be categorized according to other characteristics, including the follow- ing (Norris, 1994): • Commuter and recreational/tourism ferry. Many ferry systems historically have operated a combination of commuter and recreational service, especially private operators who want to optimize the use of their vessels. Public operators also offer off-peak and weekend service in addition to commuter routes. • High-volume routes. These routes operate frequently, either as highway ferries or as transit passenger ferries, but do not represent a large number of services. • Low-volume highway or transit link. The vast majority of the ferry routes operating in the United States are relatively small routes with low volumes that serve as substitutes for bridges or tunnels or provide service between islands and the mainland. • International, interstate, intrastate, or intercity operations. Most systems operate within one jurisdiction. Systems that cross state or country boundaries typically have different oper- ating characteristics than those of commuter and recreational/tourism ferries. Systems in Alaska and Washington are examples where additional amenities and services are provided for longer journeys. • Public, private, or public/private operations. In the United States, there are three types of operations that provide waterborne transportation. Public systems provide ferry service where 10 Guidelines for Ferry Transportation Services

there is a gap in the transportation network. Private systems operate in the same fashion but without public subsidies; therefore, they tend to be located in places where demand is high enough to generate a profit. A public/private system is one in which a public entity subsidizes the operation of a private contractor. • Existing, expanding, or new ferry systems. Systems can be categorized according to whether they are expanding operations (adding more trips or routes to an existing service), launch- ing a new service, or maintaining an existing level of service (e.g., the Staten Island Ferry in New York). Ferry Route Typology This report uses three “identifiers” for ferry routes—Ferry Urban, Ferry Intercity, and Ferry Essential —and then uses a further typology that can be applied to the ferry route identifiers. Given the wide range of ferry services operating in the United States, understanding the different markets for ferry systems is important for making planning decisions about new routes and services. These markets can be considered part of a typology including the follow- ing (Norris, 1994): • Ferry in lieu of bridge or tunnel. While bridges and tunnels have replaced many ferry sys- tems, some systems have not been replaced. More recently, ferry systems have been initiated to avoid constructing a new bridge or tunnel. The ferry service is seen as a lower cost, more efficient alternative to costly infrastructure projects. Good examples include the Washington State Ferry System, where the state purchased the existing private ferry operators until fixed links could be built. A few years later, policymakers decided to abandon new bridges in favor of continuing the ferry system. • Ferry in lieu of parallel highway or rail. Where land availability is constrained or building a new highway or rail route is too costly, the decision to maintain or implement a ferry service is selected. BC Ferries Inland Passage service between Prince Rupert and Port Hardy serves isolated coastal and island communities including Bella Coola, Bella Bella, Klemtu, and Shearwater and is an example of this type of service. The Alaska Marine Highway System also operates on the Alaska portion of the Inland Passage from Prince Rupert to Skagway, with about a dozen stops along the routes (BC Ferries, 2010). • Ferry to island(s). One of the fundamental tasks of ferry systems is to serve areas without other means of access. Connecting islands with the mainland is a common service of many ferries in the United States and is also the backbone for many systems that provide other commuter- oriented routes. Examples include ferry service to Martha’s Vineyard and Nantucket (MA), Washington Island (WI), and Mackinac Island (MI), and ferry service in the U.S. Virgin Islands. • Ferry in addition to parallel bridge or tunnel. Water transportation services often operate in parallel with existing bridges or tunnels. Older systems rely on ridership gained from years of operation, while newer systems can be implemented to provide additional commuting op- tions when bridges and tunnels are congested. The best example of this policy decision is the Golden Gate Ferry System. More than 40 years ago, the Bridge District directors decided to increase corridor capacity by instituting a ferry system rather than adding highway and bridge capacity. Today the ferry services provide about 1,600 seats during the peak hour, or the same capacity as about three-quarters of a highway lane. New York implemented a similar policy in the mid-1980s, using ferries to increase cross-Hudson capacity rather than adding new high- way lanes. Also in New York, the Staten Island Ferry continues to operate despite the opening of the Verrazano-Narrows Bridge in the 1960s. The Staten Island Ferry continues to provide a direct and fast trip relative to the less direct highway. • Ferry in addition to parallel highway or rail. Similar to ferries that operate along with a par- allel bridge or tunnel, ferry service may be introduced parallel to highway or rail to provide Ferry Service Typologies 11

congestion relief, to encourage alternative forms of transportation to the automobile, or to be a mitigation measure for landside developments. A pilot project to operate ferries between Oceanside and San Diego in California was attempted in 2003, but was terminated due to low ridership. Both parallel rail service and a high-speed freeway served the same corridor. • RO-RO ferry as highway link. RO-RO ferries provide connections for automobiles and trucks between roads and highways on opposite sides of water bodies without bridges or tunnels. Ser- vices are initiated in areas where traffic volume is too low to warrant a bridge or environmen- tal concerns preclude a road crossing. Examples include the Connecticut-to-Long Island ferry services, BC Ferries, Alaska Marine Highway System, and Washington State Ferries. Table 3-1 summarizes ferry service and planning characteristics as identified in previous research and studies and synthesizes them into an approach that is used in this report. 12 Guidelines for Ferry Transportation Services In Lieu of Bridge/ Tunnel In Lieu of Parallel Highway/Rail To Islands In Addition to Parallel Bridge/Tunnel In Addition to Parallel Highway/Rail Transit Ferry Urban Ferry Intercity Highway Ferry Essential Primary Characteristics Secondary Characteristics Fe rr y Se rv ic e D ef in iti on Service and Planning Characteristics Table 3-1. Ferry service definitions and characteristics.

In the United States, ferries have been regulated and chartered due to their historic status as com- mon carriers and “highways.” Many of these regulations include state utilities commission “certifi- cates of necessity” establishing routes. Sometimes this economic regulation includes approval of fares and tariffs; other times, states either operate directly or contract for ferry operations as part of their state highway systems, such as when there is no bridge connecting a state highway. Securing landing rights is another ferry service requirement that usually involves the coopera- tion and often the approval of a state or local government. The breadth and scope of state regula- tion varies from little oversight to broad requirements requiring the approval of a regulating body. In addition to state involvement, the federal government also provides safety oversight and financial support. Federal Regulatory Agencies Each of the agencies described below has different involvement with ferries, including provid- ing funding, regulation, and oversight as well as ensuring safety and security onboard vessels and at ferry terminals. U.S. Department of Transportation The U.S. DOT develops and coordinates policies that provide an efficient and economical national transportation system, with due regard for need, the environment, and the national defense. It is the primary agency in the federal government with responsibility for shaping and administering policies and programs to protect and enhance the safety, adequacy, and effi- ciency of the transportation system and services. Within the U.S. DOT, the Office of the Secre- tary, FHWA, MARAD, and FTA all can provide oversight and assistance for ferry services. In addition, RITA provides multimodal research for U.S. DOT (Habib et al., 1980). Federal Highway Administration FHWA coordinates highway transportation programs primarily in cooperation with states. As part of this mission, FHWA also funds ferries through traditional highway programs and spec- ified ferry funding grants. Maritime Administration MARAD promotes development and maintenance of an adequate, well-balanced, United States merchant marine. MARAD also administers the Title XI ship financing program, which provides federally guaranteed loans for shipbuilding projects. Ferries are eligible for the Title XI program and have been financed through the program in the past. 13 S E C T I O N 4 Stakeholders and Institutions Affecting Ferry Services

Federal Transit Administration FTA can provide financial assistance for passenger (generally Ferry Transit Urban) ferry services as part of grant programs. Eligible costs include planning, design, and construction (and some- times operating expenses related to preventative maintenance). Transit systems are required to submit a variety of operational and financial data annually for insertion into the National Tran- sit Database (this reporting affects the formula allocations to transit agencies around the country), and, as part of this reporting, ferry routes are given the same consideration as fixed-rail routes. Research and Innovative Technologies Administration During deliberations for the Transportation Equity Act for the 21st Century (TEA-21) in 1998, Congress identified a gap in the understanding of how to evaluate federal funding requests for fer- ries. To remedy this gap, Congress commissioned a ferry study in 2000 that was carried out by RITA and was called The National Ferry Study. The study included a detailed inventory of all ferry oper- ations and reported on the potential for new ferry operations, fast ferry opportunities, and alterna- tive fuels. The study allowed various ferry-related government agencies and departments to form a partnership in which different agencies had specific tasks and roles. Ferry-related planning, fund- ing, and construction had previously been shared among local, state, and national agencies. The study provided, perhaps for the first time, a clear delineation of agency roles and responsibilities. U.S. Department of Homeland Security DHS was created through the Homeland Security Act of 2002. Ferry operators and systems interface with DHS primarily through the U.S. Coast Guard and TSA. International operators also are subject to Immigration and Customs Enforcement (ICE). U.S. Coast Guard USCG is an agency under DHS, but can also become a branch of the United States military. The USCG is a maritime, military, and multimission service unique among the military branches for having domestic (and international) maritime law enforcement duties and also being a federal mar- itime safety and regulatory agency. USCG provides safety oversight for all vessels, including ferries, and conducts annual vessel inspections. All vessels must be USCG certified, and maritime operat- ing personnel require USCG licenses. USCG also mandates safety procedures for crew members and vessel operations and can conduct vessel escorts, security patrols, and other actions to ensure that vessels operating in the United States comply with domestic security standards. Ferries are often included as components of USCG’s maritime security plans for urban harbors. Transportation Security Administration TSA provides security for the movement of people and commerce in and to the United States. TSA administers the Transportation Worker Identification Credential (TWIC) program, which is a common identification credential for all personnel requiring unescorted access to secure mar- itime areas and vessels and all mariners holding USCG-issued credentials. Congress directed TSA to issue a biometric security credential to individuals with unescorted access to secure areas of fa- cilities and vessels and all mariners holding USCG-issued credentials or qualification documents. Other Federal Agencies U.S. Army Corps of Engineers The U.S. Army Corps of Engineers (USACE) is a federal agency and a major Army command made up of civilian and military personnel. In the United States, USACE builds waterways and 14 Guidelines for Ferry Transportation Services

flood protection projects, which are often used for vessel operation. In addition, USACE regu- lates some aspects of navigable waters, including enforcing environmental regulation through dredging permits and wetlands protection. U.S. Environmental Protection Agency EPA is the federal agency that regulates discharges of pollutants into the water, ground, and air. Ferry operators are subject to EPA regulation on their discharges and emissions. In addition, the EPA administers grant programs that provide new technology designed to reduce emissions and improve efficiency. U.S. Fish and Wildlife Service (U.S. Department of the Interior) The U.S. Fish and Wildlife Service is a part of the U.S. Department of the Interior. The U.S. Fish and Wildlife Service may have jurisdiction over ferry docks and landings due to their potential impact on habitat. State and Local Agencies State and local agencies exercise regulatory control over shorelines and waterfronts and some- times exercise economic control over routes, fares, and schedules. The case studies presented in Section 5 of this report indicate a broad range of state and local agencies that impact ferry ser- vice. Such impact includes, for example, towns that through their zoning ordinances regulate terminals and other landside facilities, as well as states that regulate state-owned tidelands and control access to state resources such as personnel, funds, and lands. Funding Sources It should be noted that funding is fluid, as budgets and funding programs can change annu- ally. The purpose of the following discussion is to identify the range of funding sources currently in use at federal, state, and local levels. Federal At the federal level, funding for ferries can come from sources of highway and transit funding as well as from federal loan guarantees, federal tax deferral, and the American Recovery and Reinvest- ment Act (ARRA). Highway Federal funding for ferry vessels, terminals, and other ferry-related expenditures is available under various federal funding categories, including ferry-only funding, transit funding, and, in some cases, highway funding. For example, federal law has allowed states to use non-Interstate funds to build ferry infrastructure (including access roads and other facilities) when the route is part of a designated federally eligible highway (except Interstates). Beginning with the Inter- modal Surface Transportation Efficiency Act of 1991 (ISTEA), the Ferry Boat Discretionary Pro- gram has provided additional and separate funding for the construction of ferry boats and ferry terminal facilities. The Ferry Boat Discretionary Program was continued through the Trans- portation Equity Act for the 21st Century (TEA-21) and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). More recently, the 2009 federal Stakeholders and Institutions Affecting Ferry Services 15

stimulus bill, officially known as ARRA, authorized several ferry funding programs prior to Congress considering the next transportation appropriations bill. Transit FTA can fund ferry boats through its normal formula and discretionary funding sources. FTA funding has been used for vessels, terminals, and other facilities that provide for an urban, mass transit passenger ferry service. Federal Loan Guarantees Both MARAD and FHWA (through the Transportation Infrastructure Financing Innovations Act, TIFIA) can provide loan guarantees for ferry operators to purchase vessels. In addition, TIFIA can also fund ferry facilities and other landside projects. These programs are not grants, however, and the funds must be repaid or the government repossesses the assets. As a result, both programs have strict credit and business-plan criteria. While MARAD can finance 90 percent of a vessel, TIFIA is limited to one-third of the project cost. Federal Tax Deferral The capital construction fund program (CCF) is a program created to encourage reinvestment by U.S. maritime companies. The fund is not direct assistance, but rather allows the maritime entity (including ferry operators) to defer a portion of tax monies that would otherwise be paid to the U.S. Treasury during the tax year. Like a maritime IRA, the CCF program allows the mar- itime entity to accumulate and use otherwise taxable earnings for the purposes of acquiring, con- structing, or reconstructing vessels built and documented in the United States and operated in the United States foreign, Great Lakes, or noncontiguous domestic trade and in the fisheries. The program is administered through MARAD (for private ferry operators) and requires a contract between the operator and MARAD. American Recovery and Reinvestment Act ARRA appropriated millions of federal dollars for the ferry industry to be disbursed through a number of different transportation-related agencies for a number of different purposes. Exam- ples of how the ferry monies were distributed through the various agencies and the types of allocations are the following: • The Ferry Boat Discretionary Program received $60 million to be dispersed for ferry boat and terminal construction. • Through the FHWA, ferries could qualify for some of the $27.5 billion stimulus funds as intermodal connectors, bridge improvements, and pavement construction. • Under the FTA, $323 million was set aside especially for ferries. • The EPA has set aside $32 million for diesel emission reductions in port areas that ferries may qualify for. • The U.S. Department of the Interior has $20 million designated for ferries providing improved access to national parks. • DHS has $150 million in a port security grant to support the TWIC program. Ferry operators can be supported in this grant. State and Local Programs Several metropolitan agencies and authorities, as well as states, provide funding for ferry oper- ations and capital improvements. These sources vary from state to state, but they include many of the following: • Toll revenues. Often ferries are either part of a larger toll crossing authority or are cross- subsidized to provide supplemental capacity in a bridge corridor. 16 Guidelines for Ferry Transportation Services

• General transit revenues (often including gas taxes). These revenues are provided to fund the ferry service as part of the overall transit system. • Port revenues. Some ports and port authorities subsidize ferries to generate additional traffic and support waterfront real estate development. • Development revenues. Some ferries are financed through either special taxes or real estate fees to provide access to remote development sites or areas poorly served by other transporta- tion services. Stakeholders and Institutions Affecting Ferry Services 17

Eight ferry operators were carefully selected for case studies to represent the wide breadth of the ferry business. The selected operators include small Midwestern vehicle and passenger fer- ries, passenger-only ferries in New York Harbor, and ferries in the U.S. Virgin Islands and the Pacific Northwest. Initial Survey of Ferry Operators The case studies were guided by the initial findings from a survey of more than 40 ferry operators, which led into focusing on narrower topics for further development in the research program. The survey was conducted through telephone interviews from May through July 2009. The telephone interviews covered the same topics as the literature review: • Ferry planning • Ferry operations • Ferry funding • Ferry disaster response, safety, security, and risk • Ferry environmental assessment, planning, and mitigation • Ferry marketing The survey sample included representatives of the full range of ferry operators, from very small operators to those operators that carry more than a million passengers, from seasonal operators to year-round operators, and from privately owned and operated systems to publicly operated systems at the federal, state/provincial, and local levels. The sample also included operators from various geographic regions. The survey was designed to allow for multiple respondents from the same operator to answer questions, which occurred during interviews with larger operators. A $100 incentive was offered to encourage participation so that the desired number of interviews would be completed. Forty-three interviews were completed. The survey respondents answered anonymously dur- ing the reporting process. Characteristics of the respondents include the following: • Of the fifteen publicly owned ferries surveyed, one is a federal agency, seven are state or provincial governments, and seven are local operators. • Twenty of the ferry operators surveyed are privately owned and operated, while seven are pub- licly owned but operated by private companies under contract. • Fourteen ferries are seasonal, while sixteen operate year-round. • The number of passengers carried annually ranged from less than 500 to 2 million. 18 S E C T I O N 5 Ferry Case Studies

• Twenty-five respondents operated one to two lines, ten respondents had three to six lines, and six respondents had seven or more lines. The complete results of the survey are included in Appendix B. About the Case Studies Based on the findings from the ferry operator survey, the research team focused on in- depth case studies of eight ferry systems or operators. In some cases, the case study focused on one operator; in other cases, entire systems comprising multiple operators in one region were considered. The eight ferry systems/operators selected for the case studies were • Connecticut–Long Island (New York) ferry services • New York Harbor ferries • North Carolina Department of Transportation Ferry Division • U.S. Virgin Islands ferry services • Washington Island Ferry Line (Wisconsin) • Seattle Metropolitan Ferry System (Washington) • Hawaii Superferry Service • BC Ferries (British Columbia, Canada) It should be noted that the Hawaii Superferry system was not implemented; however, as a case study, it provides important examples of actual and potential causes of failure. Based on both the case studies and on the earlier survey of ferry operators, ferry services in North America can be broadly categorized as either passenger systems in primarily metropolitan/urban areas or as essential highway extensions in more rural areas and island and coastal communities. Within these categories, the planning, marketing, and expectations of each type of service are dissimi- lar, even while the actual operations of the vessels are similar. Each of the eight case studies opens with “Quickfacts,” a table listing basic data about the ser- vice including service category, number of routes, number of vessels, annual number of passen- gers, annual number of vehicles, and the age of the fleet. Each case study continues with sections describing the ferry operator/system history, organizational structure, operational structure, financial structure, and planning issues. Connecticut–Long Island (New York) Ferry Services Ferry Case Studies 19 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Port Jefferson Ferry Highway–Ferry Essential 1 3 1,000,000 380,000 7–24 Cross Sound Ferry Highway–Ferry Essential/ Transit–Ferry Intercity 1 8 1,300,000a 450,000 21–69 Viking Ferry Linesb Transit–Ferry Intercity 1 1 ~2,000 n/ac 5 aIncludes 195,000 fast-ferry passengers. bPlease note that because Viking Ferry Lines has limited service (only on weekends during the summer), limited analysis is provided below. cNot applicable. Quickfacts

History Modern daytime ferry service between Connecticut and Long Island began in 1884 when the Bridgeport & Port Jefferson Steamboat Company (Port Jefferson Ferry) began operation from the Connecticut shore to the midpoint of Long Island, New York. While other maritime services had operated (often on a weekly or twice-weekly schedule), the new daily scheduled service (dur- ing all seasons except winter when service was provided 3 days per week) transported Long Island farmers and their agricultural products to Connecticut and allowed Bridgeport merchants to sell products to farmers in turn (Sheahan & Conniff, 1983). The Port Jefferson Ferry began with one vessel; in 1889, the owners purchased a larger, 600- passenger vessel. When automobiles became common, the Port Jefferson vessels were retro- fitted to carry them, and this became an increasingly important revenue source for the company. By the 1920s, traffic had increased enough to require a second vessel. The Depression caused traf- fic to drop, but with World War II passenger and freight traffic increased. In the late 1960s, the company had purchased a used vessel to add to the fleet. While there was recurring considera- tion of bridging Long Island Sound, the projects never occurred, and the Port Jefferson Ferry continued to be the primary access from Central Long Island to Connecticut. In the 1980s, the company added two new, faster vessels: the Grand Republic and the Park City. Two additional vessels were purchased in 1999 and 2003. Service from Stonington, Connecticut, to Greenport, New York (terminal of the Long Island Railroad), began in the mid 1800s. By the 1940s, the service evolved into the New London (Con- necticut) to Orient Point (New York) route that currently operates (Cambridge Systematics, Inc., et al., 2005). In 1975, John Wronowski purchased the New London Freight Lines ferry service and changed the name of the ferry service operating between New London and Orient Point to Cross Sound Ferry Services Incorporated. Starting with three vessels purchased from the previous operator, Cross Sound began an incremental but consistent capital improvement program. In 1978, the company developed a new ferry terminal just to the north of the existing New London Amtrak Station. New vessels were purchased in 1977, 1979, and 1983, and in 1984, the company pur- chased and rebuilt an existing vessel. In 1989, 1998, 1999, and 2003 additional vessels were added to the fleet (Cross Sound Ferry Service, Inc., 2008). In 1995, Cross Sound added a high-speed ferry to complement its conventional vehicle ferry. The Connecticut casinos had increased walk-on passengers to the point where the existing pas- sengers were being inconvenienced. The Sea Jet 1 is a wave-piercing catamaran designed in Aus- tralia and built in Washington state. Both the ride-control system and the water jets were ini- tially unreliable, but over a period of about 5 years, Cross Sound staff brought the vessel to a high level of service reliability (Interview with Cross Sound Ferry, January 7, 2010). Both Cross Sound and the Port Jefferson Ferry report that passenger volumes have declined by about 10 to 15 percent and vehicular volumes are about 10 to 25 lower than 2004, which rep- resents the highest year. In addition, both carriers noted that truck volumes, which are prima- rily agricultural and construction related, declined by as much as 40 percent Organizational Structure Both the Port Jefferson Ferry and Cross Sound Ferry Service are privately owned and are part of larger maritime enterprises. The Port Jefferson Ferry was purchased in 1961 by the McAlllister Towing and Transporta- tion Company, which operates 70 tugboats and 24 tractor tugs in 12 ports. The Port Jefferson Ferry owns the terminal in Port Jefferson but leases a terminal in downtown Bridgeport from the Bridgeport Port Authority. 20 Guidelines for Ferry Transportation Services

Cross Sound Ferry Service is part of the Wronowski Marine Companies, which includes Thames Towboat Company, Thames Shipyard & Repair, and Block Island Ferry Services. The Wronowski enterprises employ up to 400 people and have an annual payroll of approximately $16 million. All facilities used by Cross Sound Ferries, including terminals and vessels, are owned by the company. It should be noted that the company has received public funding to repower its vessels to reduce fuel consumption and emissions. Operational Structure System/Service Routes Three private operators provide service across Long Island Sound, as shown in Table 5-1 and Figure 5-1. Ferry Case Studies 21 Table 5-1. Connecticut–Long Island ferry system routes. Operator Route Service Season Service Schedule Crossing Time Port Jefferson Ferry Bridgeport–Port Jefferson Year-Round Departures 60 min—peak season and peak days 90 min—other times 75 min Cross Sound Ferry New London– Orient Point Year-Round Departures 60 min 90 min Viking Fleet Ferries New London– Montauk Seasonal Selected sailing days 60 min Figure 5-1. Connecticut–Long Island ferries route map.

Bridgeport–Port Jefferson Ferry. The Bridgeport–Port Jefferson route is operated by Port Jefferson Ferry. The crossing time between Bridgeport, Connecticut, and Port Jefferson, New York, is about 75 minutes one way. Port Jefferson Ferry uses three vessels to provide ferry service: the Grand Republic, the P. T. Barnum, and the Park City. Figures 5-2 and 5-3 show photographs of Port Jefferson ferries. The Bridgeport ferry terminal is located in downtown Bridgeport and is adjacent to the Bridge- port train station. Bridgeport is Connecticut’s largest city and is about 60 miles east of New York City. The company leases about 3.5 acres, including the terminal and dock, from the Bridgeport Port Authority. The facility provides space for automobile queuing, as well as limited kiss-and- ride capacity. The Bridgeport Port Authority is planning to build an onsite garage for the ferry ter- minal; in the meantime, automobile parking is also available in structured parking on the other side of the train tracks and freeway. There is a large structured lot close to the ferry terminal, and ferry passengers are allowed to use it on weekdays and on weekends when there are no stadium/ 22 Guidelines for Ferry Transportation Services Figure 5-2. Port Jefferson ferry approaching the Long Island terminal. Figure 5-3. Port Jefferson ferry vehicle deck.

arena events. The Bridgeport ferry terminal provides good intermodal connectivity between com- muter and intercity rail and local and intercity bus service and good vehicular access from the Connecticut Turnpike. The parking access is limited, and the pedestrian path from the structured parking into the terminal is not attractive. The elevated Interstate highway and railroad structures create a large visual and physical barrier between the ferry terminal (and the waterfront) and the downtown. Cross Sound Ferry. Cross Sound Ferry operates a ferry route across Long Island Sound from New London, Connecticut, to Orient Point, New York. The New London–Orient Point Ferry operates year-round from the New London train/bus station to the far northern tip of Long Island at Orient Point. The one-way crossing time is 75 to 80 minutes. During the summer, ser- vice operates every 90 minutes; on Fridays, Sundays, and holidays, ferries operate as frequently as hourly. In the winter, service is reduced to seven round trips on weekdays. Cross Sound Ferry has a fleet of seven conventional ferries that operate at speeds between 12 and 15 knots and can carry from 22 to 120 automobiles and from 130 to 1,000 passengers. In addition to the conventional ferries, during the spring and summer, Cross Sound also oper- ates a high-speed (30-knot) ferry on the same route (Sea Jet 1). This ferry seats 400 passengers but carries no vehicles. The Sea Jet1 can sail between Long Island and New London in about 40 minutes and operates up to six round trips daily. Both the New London Ferry Terminal and the Orient Point Terminal are owned by Cross Sound Ferry. In New London, the ferry terminal is adjacent to downtown and the train station and intercity bus station and also has connections to the local transit system. About 11 Amtrak trains serve the train station in each direction daily. However, the railroad has an at-grade cross- ing, which creates an awkward pedestrian path connecting downtown, the train, and the ferry. Automobile parking for ferry passengers is available in a municipal garage nearby. Shuttle buses operate to the Foxwoods Casino, and New England colleges often shuttle students to the New London Ferry Terminal when school sessions begin and end. The New London Ferry Terminal is located on a 30-acre site at the mouth of the Thames River, with queuing areas leading to the conventional automobile ferry and a separate dock for the high-speed catamaran. The terminal uses an Internet-based reservations system that provides the customer with the ability to print a bar-coded boarding pass. Orient Point is located at the east end of Long Island’s North Fork. Access from the west is via NY Highway 25, a two-lane rural road. The terminal has a queuing area for the conventional vehicle ferries and a parking lot with space for about 250 automobiles. The Long Island Railroad (LIRR) terminal in Greenport is about 7 miles to the west. Monday through Saturday bus ser- vice is provided hourly during daytime periods and connects Orient Point with Greenport and Riverhead. During 2003–2004, Long Island Sound communities studied the potential of ferry service between Connecticut and Long Island and between Connecticut and Manhattan. More than 50 possible sites were investigated for possible service and were ranked based on community acceptance, land use compatibility, and technical and market feasibility. The study identified six fast ferry routes (including two routes already operated by conventional craft) as viable, and two new conventional ferry routes in the first screening. However, after further technical review and comments from local governments, the study recommended only one new Connecticut to Long Island service and three Connecticut to Manhattan services. Several water taxi services were also recommended for further study. Viking Fleet Ferries. During the summer season, Viking Fleet Ferries operates a ferry service from Montauk, New York, to Cross Sound’s New London Terminal. This service only operates on Ferry Case Studies 23

Friday and Sundays and some holidays. The crossing time from Montauk to New London is about one hour. Viking Fleet uses a 225-passenger monohull to provide this service. Viking Fleet is pri- marily a party fishing operator but also operates daily scheduled ferry service from Montauk to Block Island, Rhode Island. Facility and Vessel Maintenance Bridgeport–Port Jefferson Ferry. The Port Jefferson Ferry vessels carry 85 to 120 automo- biles and 1,000 passengers. Over the last several years, the ferry company has received federal funding to repower its vessels with more modern and fuel-efficient (and less carbon-intensive) engines. Not only have emissions been reduced by about 13 percent, but power has been increased to 1,000 horsepower, and the engines operate with less vibration and noise. At Bridgeport, Port Jefferson Ferry pays a rent of about $150,000 annually (including the util- ities), which includes dock access, the queuing area, and a modest terminal structure. In addi- tion, the Port Authority charges about $1 per passenger, which is, in effect, a passenger facili- ties charge. This charge has been litigated between the Port Authority and Bridgeport–Port Jefferson Ferry and is currently in court for final disposition. In response to the Port Author- ity’s passenger tariff, the ferry company has proposed to relocate to another site, away from downtown Bridgeport. On Long Island, Port Jefferson Ferry owns the ferry terminal and about 280 linear feet of shoreline to perform maintenance work and administrative functions at the Port Jefferson Ter- minal. The Town of Brookhaven and the Village of Port Jefferson provide several parking lots, totaling about 200 spaces, within walking distance of the Port Jefferson terminal. The LIRR sta- tion, which has service to New York City, is about a mile south of the ferry terminal. Local bus ser- vice is provided between the ferry terminal and the LIRR station on four routes, with a combined frequency of about every 20 to 30 minutes. Highway access to the ferry dock is via non-grade- separated state highways and local roads. The ferry terminal is about 10 miles from Interstate 495 in Medford on Central Long Island. Cross Sound Ferry. Over the last several years, Cross Sound Ferry, like the Port Jefferson Ferry, has received federal funding to repower its vessels with more modern and fuel-efficient (and less carbon-intensive) engines. Cross Sound Ferry has achieved a 20-percent reduction in emissions and fuel consumption with this retrofit. The company also maintains its vessels and rebuilds engines at its own shops and provides commercial repair services to other vessel operators. Cross Sound esti- mates that its largest ferry, the John H., which carries 120 automobiles and 1,000 passengers, burns about 190 gallons of fuel on each one-way trip. The Sea Jet 1, a 30-knot, 400-passenger-only fast ferry, burns about 130 gallons of fuel on each trip (Adam Wronowski, Cross Sound Ferry, personal communication, March 22, 2010). Staffing Levels Bridgeport–Port Jefferson Ferry. Port Jefferson Ferry employs about 175 people during the peak season and about 125 in the off-peak periods. Many of the employees have master’s licenses, and all maritime employees have licenses. In addition, the company spends about $140,000 annu- ally on security training and monitoring and uses a variety of methods to ensure safe operation. Some of this expense is reimbursed by DHS funding. Cross Sound Ferry. Cross Sound employs about 300 employees in the peak season and about 150 in the off-peak season. The company hires almost all its employees at an entry level, trains the personnel, and encourages all of its maritime employees to become licensed masters. Cross Sound Ferry, like most ferry operators, takes security concerns seriously and has an active training pro- 24 Guidelines for Ferry Transportation Services

gram. Employees are trained to be aware and participate in drills and exercises. In addition, the company used federal funds to purchase lighting and surveillance equipment to provide addi- tional security. Financial Structure All ferries providing service between Connecticut and Long Island are privately owned and operated. The only government funding they have received has been for engine upgrades (relat- ing to emissions reductions) and security enhancements. These amounts are minor compared to their passenger and vehicle revenues, which exceed $50 million annually. For Connecticut–Long Island route fares, see Table 5-2. Fares Both Port Jefferson Ferry and Cross Sound Ferry use variable pricing in peak periods. The peak periods for these services are generally on weekends and holidays. During these periods, some discounts—such as unlimited automobile passengers and discounts on trailers/buses, and so forth—are not available. In addition, commuter tickets are also available. Both the Port Jefferson Ferry and the Cross Sound Ferry have vehicle reservation systems. These systems provide the ability to manage vessel capacity and ensure the capacity is well used throughout the day. Market studies conducted by each company indicate that the majority of ferry passengers live on Long Island. For the Bridgeport–Port Jefferson and Cross Sound Ferry services, about 55 to 60 percent of the passengers originate on Long Island. Most Cross Sound Ferry passengers reside in Suffolk County (the easternmost county). The other 45 percent of passengers are distributed throughout Central and Eastern New England. In addition, Port Jefferson Ferries reports that about 70 percent of its walk-on, return-day-trip passengers originate in Bridgeport (these trips make up about 20 percent of their total passengers). Funding Sources As all of the operators in this case study are privately owned, each garners revenues from a vari- ety of sources. Cross Sound Ferry and Port Jefferson Ferry obtain revenues through passenger fares, onboard and terminal concession stands, and restricted federal emission grants. Viking Ferries also has a large charter and private rental business that supplements their passenger ferry service. Ferry Case Studies 25 Table 5-2. Connecticut–Long Island ferry system route fares. Route Operator Automobile Ferry Fare Adult Walk-on Child Walk-on Automobile Bicycle Motorcycle Bridgeport–Port Jefferson Port Jefferson Ferry $17.00 Free $51 Free $29.75 New London– Orient Point (Automobile Ferry) a Cross Sound Ferry $14.51 $6.00 $47.67 (includes $2 Port tax) $4.15 $27.98 New London– Orient Point (Sea Jet 1)b $20.21 $6.22 n/ac n/a New London– Montauk Viking Fleet Ferries $40.00 $25.00 n/a $7 n/a aCross Sound charges a floating “surcharge” against a base fare that reflects changes in fuel prices. bThis is a passenger-only ferry. cNot applicable.

Planning Issues Both Cross Sound Ferry and Port Jefferson Ferry have large, well-established operations. In interviews, their executives expressed comfort with their maritime operations, their ability to maintain and operate vessels, and their ability to provide necessary capital enhancements needed to maintain market share. Both operators, however, identified government leadership and public policy as important to enhancing the ability of the marine transportation mode to divert automobiles from the highway system and to create more sustainable transportation systems. Both Cross Sound Ferry and Port Jefferson Ferry have experienced challenges in expanding their services due to local concerns and the high financial expense and permitting maze of investing in terminal facilities. Environmental and Regulatory Issues From a systems perspective, both Cross Sound Ferry and Port Jefferson Ferry noted that fer- ries could decrease energy consumption and help achieve other public policy goals. However, there is not a consistent recognition of the importance of and the opportunities provided by a marine highway system. The Long Island Sound Waterborne Transportation Plan (2005) esti- mated that ferries captured about 23 percent of the Long Island–Connecticut travel. Ferries carry about 2.3 million passengers annually, which means that approximately 7.7 million passengers between Connecticut and Long Island use highway modes annually (or about 25,000 trips daily) (Cambridge Systematics, Inc., et al., 2005). Travel between Connecticut and Long Island can be accomplished via ferry or automobile. The ferry operators think of their catchment areas as an oblong circle where their Long Island terminals are located west of the midpoint. Trips within that oblong are ferry-competitive but trips outside are not. For comparison, Table 5-3 provides data for the trip from Huntington, New York, to Bridgeport, Connecticut, on highway and ferry. Table 5-4 shows the change in travel time and fuel use with a fast-ferry option. Table 5-5 provides data for a different trip from Long Island to New London via either high- way or ferry. As ferry speeds increase (or highway travel times decrease), the ferry catchment area increases because the ferry travel times become more competitive than the highway travel times. In all cases, using the ferry results in fuel usage reductions of about 15% to 25%, depending on automobile occupancy (the lower the automobile occupancy, the higher the fuel savings from ferries). In congested corridors, ferry travel times to the ferry terminal are com- 26 Guidelines for Ferry Transportation Services Table 5-3. Huntington (NY) to Bridgeport (CT)—automobile vs. ferry travel. Mode Miles Travel Time Cost Per Vehicle Fuel Used Highway—Clear 75 80 min $40 4 gala Highway—Congested 75 120 min $45 5 gal Automobile to Ferry— Ferry to Bridgeport 25 130 min $70 3 gal per auto carried including ferry fuel used aAutomobile cost based on 55 cents per mile operating cost. This is the IRS allowance.

petitive with automobile travel times. Conventional ferries allow for automobile use at either terminal, but the passenger-only, fast-ferry market is limited by the need to complete trips beyond the immediate ferry terminal area. As a result, while using passenger-only fast ferries could be more fuel efficient than driving (per Table 5-4), the market for these trips may be limited and hence not financially viable. Land Use Issues Cross Sound Ferry and Port Jefferson Ferry mentioned that their Long Island host communi- ties are sensitive to increases in service and expansion of terminal facilities. However, both com- panies recognize that there is latent demand that cannot currently be accommodated and that results in additional highway trips and vehicle miles traveled. In New London, the town is interested in developing a multimodal center where ferries are one piece of the puzzle. The multimodal center is seen as an economic catalyst for redevelop- ment in the town center. Bridgeport is faced with urban design issues that limit the ability to create optimal pedestrian and bicycle environments that encourage movements between the train station and ferry termi- nal. It is unlikely that changes in the urban infrastructure scheme will change in the near future to allow for redevelopment to occur. Port Jefferson and Orient Point communities have both restricted land use growth around the ferry terminals. Emergency Response After the attacks of September 11, 2001, ferries provided the only transportation from Long Island. While there is no formal emergency response system that the ferry operators work with, a more structured arrangement is being considered by local and state authorities. Ferry Case Studies 27 Table 5-4. Huntington (NY) to Bridgeport (CT)—automobile vs. fast-ferry travel. Mode Miles Travel Time Cost Total Fuel Useda Highway—Clear 75 80 min $40 1,600 gal Highway—Congested 75 120 min $45 2,000 gal Automobile to Fast Ferry 25 70 min $30 730 galb a Calculation assumes 400 vehicles traveling from Huntington to Bridgeport. Fast-ferry alternative assumes a 25 mile drive to ferry terminal and then walk-on passengers. bBased on 1.5 passengers per automobile, 22 mpg per automobile, and $20 fast ferry fare per passenger Table 5-5. Riverhead (NY) to New London (CT)—automobile vs. ferry travel. Mode Miles Travel Time Cost Per Vehicle Fuel Used Highway—Clear 200 220 min $110 10 gal Highway—Congested 200 300 min $120 12 gal Automobile to Ferry 30 140 min $70 3 gal per auto carried including ferry fuel used

New York Harbor Ferries 28 Guidelines for Ferry Transportation Services Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) New York Waterway Transit– Ferry Urban 16 34 9,855,000 n/aa 8–25 New York Water Taxi Transit– Ferry Urban 1? 11 438,000 n/a 3–9 Statue Cruises Transit– Ferry Urban 1 1 146,000 n/a 17 Seastreak Transit– Ferry Urban 2 4 1,095,000 n/a 6–9 Staten Island Ferries Transit– Ferry Urban 1 10 23,725,000 n/a 5–45 aNot applicable Quickfacts History Birth, Growth, and Decline The history of scheduled ferry service in New York Harbor extends back more than 200 years. Rowboats connected Manhattan with Brooklyn before the Revolution. Service to Staten Island began in the 1820s. New York City records indicate that by 1860 eight ferries were authorized to operate across the Hudson River to New Jersey. After the Civil War, as both commerce and rail- way traffic increased, ferry traffic also continued to grow. The railroads built large ferry termi- nals in New Jersey to serve New York City—Erie Terminal, Central Terminal of New Jersey, Pennsylvania Terminal in Jersey City, the Lackawanna Terminal in Hoboken, and the West Shore Railroad Terminal in Weehawken. The first fixed link across the Hudson River was developed by the Manhattan & Hudson (now Port Authority Trans-Hudson [PATH]) urban trains and linked Jersey City, Hoboken, and Man- hattan. The Hudson Tubes opened in 1908 and immediately diverted passengers from the ferry services, although the Pennsylvania Railroad continued to operate its ferries from Jersey City. The Hudson Tubes carried almost 50 million passengers annually just a few years after opening and now carry about 85 million passengers. In 1910, the Pennsylvania Railroad opened Pennsylvania Station on 34th Street, a terminus for rail connections to New Jersey, through an extensive network of commuter trains and two under- water tunnels. These tunnels now carry about 45 million passengers annually under the Hudson. In 1927, the states of New Jersey and New York opened the Holland Tunnel, the first vehic- ular access into Manhattan from New Jersey. About 34 million vehicles annually now use the Holland Tunnel. In 1931, the George Washington Bridge opened between New Jersey and Manhattan and soon carried more than 5 million vehicles annually. In the late 1930s, the Port Authority opened the first bores of the Lincoln Tunnel into the midtown area of New York City. In 1950, the Port Authority Bus Terminal (PABT) opened near Times Square. The Lincoln Tunnel now carries more than 42 million vehicles annually, and the PABT handles about 200,000 passengers daily. The George Washington Bridge serves more than 106 million vehicles each year. Ferries also crossed the East River and connected Manhattan to Brooklyn and Queens. These ferries were among the first to cease operations when the city built the Brooklyn and the Williamsburg Bridges. In 1920, the Long Island Railroad was extended into Pennsylvania Sta- tion connecting Manhattan to Brooklyn and Queens directly with fast electric trains.

As a result of these new fixed links, ferry service dwindled. Passengers either took direct trains into Manhattan or drove their automobiles into the city. The last scheduled ferries operated from Hoboken to Manhattan in 1967 (Wikipedia, accessed March 4, 2010). Only the New York City- operated Staten Island Ferry continued to operate. Revival, Growth, and Stabilization By the early 1980s, the cross-Hudson fixed links were straining to keep up with demand. At the same time, industrial brownfield sites on the New Jersey side of the Hudson River became available as industry moved to new locations and factories became obsolete. The sites were large, which allowed for master planning and dense, efficient development. Additionally, these sites had views of Manhattan and direct access to the Hudson River. What they did not have was easy access from the mainland. Arthur Imperatore, the President of NY Waterway, credits Regional Plan Association staff with inspiring the New Jersey Waterfront reuse vision, which combined residential and com- mercial development with access improvements. The two major access improvements were direct ferry connections to Manhattan from multiple New Jersey terminals and a light rail sys- tem operating along the waterfront from Bayonne to Weehawken, which created a development spine and linked ferry terminals, PATH stations, and the NJ Transit’s Hoboken Terminal (Inter- view with Arthur Imperatore, New York Waterway, January 10, 2010). This vision has resulted in more than 6,000 housing units being developed on the west side of the Hudson between 1990 and 2000, with additional units developed over the last 10 years, along with millions of square feet of commercial space (U.S. Census Bureau). Mr. Imperatore’s related firms initiated service from Weehawken, where he had purchased 350 acres of old railroad yards in the mid-1980s. Ferries operated from Port Imperial to West 38th Street in New York City. Within a year, approximately 1,500 daily passengers were rid- ing the Weehawken ferry (Regional Plan Association, 2006). Concurrently, the Port Author- ity was experiencing significant capacity issues in its tunnels, at the PABT, and on PATH. The Port Authority considered extending PATH station platforms to allow longer trains, but this alternative was too costly. Instead, the agency decided to try ferries. In the mid-1980s, the Port Authority issued a Request for Proposals from parties interested in providing ferry service from the NJ Transit’s Hoboken Terminal to lower Manhattan (Interview with Port Authority, January 10, 2010). A 2006 Regional Port Authority white paper summed up the contemporary role of ferries in New York harbor: Over the last 100 years or more [ferries have] gone from essential to non-existent (with the excep- tion of the Staten Island Ferry) and then in the last twenty years to a role that might best be described as “niched.” These niches include ferry services that are either part of intermodal connections or in other ways complement existing transit modes, services that provide better options than the existing ground modes, and services that can open up new development opportunities. When searching for additional ferry service opportunities, it is these characteristics to be kept in mind. (Regional Plan Asso- ciation, 2006) New York Harbor now has 21 ferry routes serving Manhattan operated by six different ferry operators (five private operators and one public agency). Most routes are 3 to 5 miles long and take 10 to 15 minutes. More than 30,000 daily passengers use private ferry services from 13 New Jersey ferry terminals to four Manhattan landings. These trips make up about 4 percent of daily travel into Manhattan from New Jersey (New York Metropolitan Transportation Council, 2008). Additional service is provided from Brooklyn and Queens to Manhattan. The iconic Staten Island Ferry carries about 65,000 passengers daily into Manhattan at Whitehall. Ferry Case Studies 29

Organizational Structure New York Harbor ferries are primarily private-sector businesses and are similar to the Amer- ican aviation system—government provides the infrastructure while the private sector is respon- sible for the planning, design, financing, and operation of ferry services. This unique metropolitan arrangement was greatly influenced by two government actions: • The Mayor’s Waterborne Transportation Policy, adopted in 1986, which established the pub- lic and private sector roles: – The City and other public agencies will encourage ferry services. – No operating subsidies will be provided to ferry operators (including subsidies for vessels). – The City would consider making City land available for landing sites and would set up a reasonable regulatory framework (i.e., landing permits). – The City would not object to premium fares (Interview with Alan Olmstead, New York City Department of Transportation, January 10, 2010). • The Port Authority’s Request for Proposals for privately operated ferry services (service initi- ated in 1989) between Hoboken and Battery Park City, with the private sector assuming the operating risk and the Port Authority providing the fixed facilities. In effect, the arrangement was a free market system with the freedom to enter the market and the freedom to fail. As a result, there was significant experimentation with new service to Pier 11 near Wall Street, East 34th Street, West 38th Street (later replaced by Pier 79), and to Battery Park City. Fees charged to ferry operators funded operating and maintenance expenses for the fixed facilities, and the City and Port Authority continued to build terminal capacity as private oper- ators incrementally expanded service. During this period, the public sector invested more than $350 million in trans-Hudson ferry facilities (Interview with Alan Olmsted, New York City Department of Transportation, January 10, 2010). New York Waterway was selected by the Port Authority to provide the Hoboken–Battery Park City Ferry Service and, by June 2001, was serving more than 10,000 passengers daily. The route now serves about 4,000 passengers daily, with another 2,000 passengers using the Hoboken Ferry Terminal to access other Manhattan destinations. Ridership incrementally expanded and, by 2001, about 35,000 passengers were using privately operated ferries in addition to the 65,000 passengers using the Staten Island Ferry. After the attacks of September 11, 2001, with the PATH World Trade Center Station destroyed, private ferry ridership surged to more than 65,000 daily. In 2003, PATH resumed service to lower Manhattan and ferry ridership dropped back to the levels preceding the attacks of September 11, 2001. Fuel costs put financial pressure on ferry providers because fuel costs are a much larger part of overall costs for ferry operators than fuel costs are for operators of other modes. Ferry operators increased fares as a result, and ridership dropped again to about 30,000. Some industry observers note that the New York policy model, as detailed in the Mayor’s Waterborne Transportation Policy, is being challenged as operators experience financial stress caused by competition from subsidized operators, increases in costs, and decreases in ridership resulting from higher fares and the recession. There have been calls for ferries to be subsidized, just as other modes of transportation are subsidized. Operational Structure System/Service Routes In New York Harbor, aside from the publicly operated Staten Island Ferry, five private operators provide service to 4 Manhattan terminals, 13 New Jersey locations, and 6 Queens/Brooklyn sites. 30 Guidelines for Ferry Transportation Services

New York Waterway. The largest operator is New York Waterway, which operates 16 ferry routes, including eight operated for BillyBey Ferries. Until 2005, all of these routes were under the direct control of New York Waterway, but following financial challenges, the company spun off the routes south of NJ Transit’s Hoboken Terminal (including that route and the Port Authority contract) to BillyBey for the assumption of $19 million in debt. BillyBey then con- tracted with New York Waterway to provide the service on their behalf. New York Waterway routes carry about 17,000 passengers (not including the Belford route in Monmouth County), while the BillyBey routes carry about 10,000 daily passengers. Most of the access to the New Jersey ferry terminals is by walking or other transit. While a few ter- minals have large parking lots, ferries were often developed to encourage dense, urban development. (See a photo of New York Waterway’s Weehawken Terminal in Figure 5-4). New York Waterway operates free shuttle buses connecting Pier 78 to Manhattan—serving 57th Street, 49th Street, 42nd Street, and 34th Street, as well as a special Downtown loop. Five peak period routes operate, and, in the midday and at night, a separate set of five routes oper- ates in longer loop routes (one route also connects to the World Financial Center Terminal). On the New Jersey side, a combination of shuttle buses and free transfer arrangements on one NJ Transit route provide local access. New York Water Taxi. The next largest private ferry operator is New York Water Taxi. Until 2011, the company operated service from Manhattan to Brooklyn and Queens, locations that tend to be distant from subway lines (these services are now operated under public agency contract by New York Waterway). New York Water Taxi currently operates a contract service for the IKEA store in Red Hook (Brooklyn), which provides access to the store from Manhattan (see photos of this service in Figure 5-5). Weekend service was initially required as a condition of IKEA’s City approvals. However, eventually IKEA chose to extend and expand the service under a contract with New York Water Taxi; the service now operates daily. On some days, IKEA ridership has reached 5,000 passengers. Seastreak. Ferry service to Monmouth County, New Jersey, is a distinct niche, catering to residents in a high-income residential area that will pay premium fares for shorter travel times as compared to highway or train. Seastreak uses four high-speed vessels to provide this service Ferry Case Studies 31 Figure 5-4. New York Waterway Weehawken Terminal.

from Atlantic Highlands and Highlands, New Jersey, while New York Waterway serves Belford, New Jersey, with one high-speed vessel. Both operators terminate in Manhattan at Pier 11. Even though the monthly passenger fare approaches $600, the services are well sub- scribed. Seastreak carries about 3,000 daily, while New York Waterway carries about 1,600. The niche for ferries in this market is speed—the journey is less than half the distance by water than by highway or train, and the travel time is about 50 minutes compared to at least a 75-minute automobile trip and a 90-minute train trip. In contrast to the other New Jersey ferry terminals, the Monmouth County terminals have large park-and-ride lots to serve a dispersed ridership. Seastreak notes the importance of park-and-ride lots in attracting and maintaining market share (Halcrow Interview with Jim Barker of Seastreak, on behalf of Port Authority, December 8, 2009). 32 Guidelines for Ferry Transportation Services Figure 5-5. New York Water Taxi to Ikea in Brooklyn.

Staten Island Ferry. Finally, the Staten Island Ferry continues to provide service between Manhattan and Staten Island and carries about 65,000 passengers daily, making it the busiest ferry operation in North America. Service is provided by large, 1,200- to 6,000-passenger ferries oper- ating every 15 minutes in the peak period and every 30 minutes at other times. The 5-mile route takes about 25 minutes, and there is no fare. In 1997, the Staten Island Ferry became a free ser- vice, in conjunction with the Metropolitan Transportation Authority’s switch to free transfers on other New York City transit services (including subway to bus and commuter rail to subway). In addition, Statue Cruises operates one commuter service between Liberty Landing Marina in New Jersey and Battery Park City in New York City. About 400 people daily use the service. Tables 5-6 and 5-7 show the various routes, services, and crossing times/locations, by operator in New York Harbor. See Figures 5-6 and 5-7 for route maps. Facility and Vessel Maintenance Ferry operators employ a variety of vessels, which has resulted in the development of ferry ter- minals that can serve vessels that board from the side or the bow. Nonetheless, bow loading is the predominant docking arrangement in New York Harbor because it allows the vessel opera- tor to avoid excessive maneuvering into a dock; instead, the vessel bumps against the dock and a gangway is lowered onto the deck. Approach and boarding are faster because the gangway allows several streams of passengers to board at once. Furthermore, because the dock and vessel have the same freeboard, a separate ramp is not required, and capital costs are reduced. This design also facilitates emergency responses. Marine Log noted that on September 11, 2001, “Because of their bow-loading design, NY Waterway’s [New York Waterway’s]ferries were pressed into service as waterborne ambu- lances. . . . With all of Manhattan’s arteries shut down and its subways at a standstill, NY Water- way put 22 of its 24 ferries in ‘load and go’ service at piers in lower and Midtown Manhattan, taking a total of 158,506 evacuees to points in Jersey City, Hoboken and Weehawken, N.J., as well as Brooklyn and Queens” (Snyder, 2001). Safety is a high priority, and ferry operators report that their conflicts are primarily with kayaks, jet skis, and swimmers. In addition, the waterways can sometimes be closed for digni- taries, thereby creating schedule concerns. New York Waterway. New York Waterway operates 34 vessels, mostly small 149-passenger catamarans with three crew members, operating at 15 knots. The company directly operates large terminals at Port Imperial and Hoboken in New Jersey and Pier 79 and the World Financial Cen- ter in New York City. New York Water Taxi. New York Water Taxi operates 10 vessels, including five 149-passenger, 26-knot vessels and five 75-passenger, 21-knot vessels. Seastreak. Seastreak uses four high-speed vessels to provide service from Atlantic Highlands and Highlands, New Jersey, while New York Waterway serves Belford, New Jersey, with one high-speed vessel. Staten Island Ferry. Service for the Staten Island route is provided by large, 1,200- to 6,000- passenger ferries. Staffing Levels Each ferry operator has a unique culture and different approaches for hiring and retaining ves- sel crews. Most of the private operators hire locally, at entry level, and then gradually promote employees into higher levels of responsibility. Some operators hire personnel with fishing boat Ferry Case Studies 33

34 Guidelines for Ferry Transportation Services Table 5-6. New York Waterway ferry services. Route Service Season Service Schedule Crossing Time Crossing Location Manhattan Midtown/W. 39th– Belford/Harbor Way Year-round Departures Once per day 60 to 67 min Raritan Bay/Lower New York Bay Manhattan Midtown/ W. 39th–Edgewater Ferry Landing Year-round Departures Every 30 min 15 to 20 min Hudson River Manhattan Midtown/W. 39th– Hoboken 14th Street Year-round Departures Every 20 min 10 min Hudson River Manhattan Midtown/ W. 39th–Lincoln Harbor/Weehawken Year-round Departures Every 15 min 7 to 8 min Hudson River Manhattan Midtown/ W. 39th–Newport Year-round Departures Every 30 min 10 to 15 min Hudson River Manhattan Midtown/ W. 39th–Paulus Hook Year-round Departures Every 30 min 15 min Hudson River Manhattan Midtown/ W. 39th–Port Imperial/ Weehawken Year-round Departures Every 20 min 8 min Hudson River Manhattan Pier 11/ Wall Street–Belford/ Harbor Way Year-round Departures Every 15 min 40 to 55 min Raritan Bay/Lower New York Bay Manhattan Pier 11/ Wall Street–Hoboken/ NJ Transit Terminal Year-round Departures Every 10 to 20 min 12 min Hudson River Manhattan Pier 11/ Wall Street–Liberty Harbor/Marin Blvd Year-round Departures Every 15 min 15 min Hudson River Manhattan Pier 11/ Wall Street–Paulus Hook Year-round Departures Every 15 min 8 min Hudson River Manhattan Pier 11/ Wall Street–Port Imperial/Weehawken Year-round Departures Every 10 to 20 min, no service between 10 a.m. and 4 p.m. 18 to 22 min Hudson River Manhattan Pier 11/ Wall Street–Port Liberte Year-round Departures Every 40 min 20 min Hudson River Manhattan World Financial Center– Belford/Harbor Way Year-round Departures Every 30 min 40 to 55 min Raritan Bay/Lower New York Bay Manhattan World Financial Center– Hoboken/14th Street Year-round Departures Every 30 min 8 min Hudson River Manhattan World Financial Center– Hoboken/NJ Transit Terminal Year-round Departures 10 to 30 min 8 min Hudson River Manhattan World Financial Center–Liberty Harbor/Marin Blvd Year-round Departures Every 24 min 12 min Hudson River Manhattan World Financial Center– Paulus Hook Year-round Departures 7 to 8 min 8 min Hudson River Manhattan World Financial Center–Port Imperial/Weehawken Year-round Departures 20 to 40 min 14 to 15 min Hudson River Paulus Hook – Belford/Harbor Way Year-round Departures 20 to 75 min, 5:45 a.m. to 9:30 a.m., 30 to 120 min 2:40 p.m. to 8:55 p.m. 55 to 60 min Raritan Bay/Lower New York Bay Haverstraw–Ossining Year-round Departures 30 min until 8:42 a.m., one departure at 4:12 p.m. Every 30 to 40 min in the p.m. from Haverstraw 15 min Hudson River Newburgh–Beacon Year-round Departures 30 to 40 min in a.m., 10 to 15 min in p.m. 9 min Hudson River East River Route Year-round Departures 2 a.m. departures, 3 p.m. departures 55 to 60 min East River

Ferry Case Studies 35 Table 5-7. New York Water Taxi, Statue Cruises, Seastreak, and Staten Island Ferry services. New York Water Taxi Statue Cruises Seastreak Staten Island Ferry Route Ikea Express Liberty Landing Marina–World Financial Terminal Connors Highlands–East 35th Street Staten Island– Manhattan Service Season Year-round Departures Year-round Departures Year-round Departures Year-round Departures Service Schedule Every 20 min weekdays from 2:40 p.m. to 7:20 p.m. Every 30 min weekdays from 6:00 a.m. to 8:45 p.m. a.m. and p.m. peak-hour service only from Connors Highlands, 30 to 75 min from Manhattan 15 to 60 min Crossing Time 15 min 10 min 60 min 25 min Crossing Location East River Hudson River Hudson River New York Harbor Figure 5-6. Hudson River and East River crossings to Manhattan. experience or even maritime academy training, but, in general, new employees begin as deckhands. Crew training and coordination with the Coast Guard is continuous for all ferry operators. New York Waterway. New York Waterway employs about 130 people as crew members and administrative staff.

New York Water Taxi. New York Water Taxi employs 50 to 100 employees depending on the season. Staten Island Ferry. The Staten Island Ferry employs about 625 staff, two-thirds of which are vessel crew. Financial Structure Fares Fares for New York Waterway, New York Water Taxi, Seastreak, and Staten Island Ferry are shown in Tables 5-8 and 5-9. Funding Sources Other than the Staten Island Ferry and a handful of demonstration services, the New York Harbor ferries do not receive operating subsidies. Public agencies have built ferry docks along the waterfront using municipal, regional, state, and federal funds, and, in general, the guidance provided by the Mayor’s 1986 Waterborne Transportation Policy continues to be followed. New York Harbor ferries now routinely carry 30,000 passengers each weekday (not including the Staten Island Ferry), with most of the use occurring on the trans-Hudson corridor. In this 36 Guidelines for Ferry Transportation Services Figure 5-7. Manhattan–New Jersey Shore map.

Ferry Case Studies 37 Table 5-8. Fares for New York Waterway. Route Fare Adult Child 6 to 11 years Senior Bicycle 10 Trip Monthly Student Monthly Manhattan Midtown/W. 39th– Belford/Harbor Way $20.00 $9.00 $16.50 $3.00 $190.00 $605.00 $455.00 Manhattan Midtown/ W. 39th–Edgewater Ferry Landing $9.50 $6.00 $8.75 $1.25 $78.00 $272.00 $214.00 Manhattan Midtown/W. 39th– Hoboken 14th Street $8.50 $5.50 $7.75 $1.25 $70.25 $252.00 $210.00 Manhattan Midtown/ W. 39th–Lincoln Harbor/Weehawken $8.50 $5.50 $7.75 $1.25 $70.25 $252.00 $210.00 Manhattan Midtown/ W. 39th–Newport $7.25 $3.75 $6.25 $1.00 $72.50 $252.00 $180.00 Manhattan Midtown/W. 39th– Paulus Hook $7.25 $3.75 $6.25 $1.00 $72.50 $252.00 $180.00 Manhattan Midtown/ W. 39th–Port Imperial/Weehawken $8.50 $5.50 $7.75 $1.25 $70.25 $252.00 $210.00 Manhattan Pier 11/ Wall Street– Belford/Harbor Way $20.00 $9.00 $16.50 $3.00 $190.00 $605.00 $455.00 Manhattan Pier 11/ Wall Street– Hoboken/NJ Transit Terminal $6.50 $3.25 $6.00 $1.00 $65.00 $214.00 $155.00 Manhattan Pier 11/ Wall Street–Liberty Harbor/Marin Blvd $6.50 $3.25 $6.00 $1.00 $65.00 $214.00 $155.00 Manhattan Pier 11/ Wall Street–Paulus Hook $6.50 $3.25 $6.00 $1.00 $65.00 $214.00 $155.00 Manhattan Pier 11/ Wall Street–Port Imperial/Weehawken $12.00 $7.00 $11.00 $1.25 $100.00 $332.00 $263.00 Manhattan Pier 11/ Wall Street–Port Liberte $9.25 $4.75 $8.25 $1.00 $92.50 $312.00 $225.00 Manhattan World Financial Center– $20.00 $9.00 $16.50 $3.00 $190.00 $605.00 $455.00 Belford/Harbor Way Manhattan World Financial Center– Hoboken/14th Street $10.00 $6.00 $9.00 $1.25 $80.00 $282.00 $220.00 Manhattan World Financial Center– Hoboken/NJ Transit Terminal $5.50 $2.75 $5.00 $1.00 $55.00 $181.00 $130.00 Manhattan World Financial Center– Liberty Harbor/Marin Blvd $5.00 $2.50 $4.50 $1.00 $50.00 $166.00 $124.50 Manhattan World Financial Center– Paulus Hook $5.50 $2.75 $5.00 $1.00 $55.00 $181.00 $130.00 Manhattan World Financial Center– Port Imperial/Weehawken $12.00 $7.00 $11.00 $1.25 $100.00 $332.00 $263.00 Paulus Hook – Belford/Harbor Way $20.00 $9.00 $16.50 $3.00 $190.00 $605.00 $455.00 Haverstraw– Ossining $3.00 $2.75 $2.00 n/a a $27.00 $100.00 n/a Newburgh–Beacon $1.00 $0.50 $0.50 n/a $9.00 n/a n/a a Not applicable.

corridor, ferry service has encouraged the development of thousands of New Jersey residential units and has also contributed toward economic development on the west side of the Hudson. Ferries have also helped relieve overcrowding on the region’s fixed links, including the Holland Tunnel, the Lincoln Tunnel, and the PATH services. There is some concern that the 1986 model is fraying. All operators report some level of financial stress related to providing commuter services. The financial challenges result from high fixed costs and highly peaked service patterns that limit the ability of operators to spread costs out over the entire day—about 75 percent of ferry ridership occurs in the 4-hour peak periods (New York Metropolitan Transportation Council, 2008). While public agencies, through their ownership of the terminals, have removed a significant capital expense from the operators, the carrying costs of vessels are still assumed by the ferry companies and are significant. A $3-million ferry would likely require $300,000 annually in financing costs, rep- resenting the fares of about 60,000 passengers annually or 230 passengers each day. In addi- tion, diesel fuel costs in the mid-Atlantic area roughly doubled between 2000 and 2009 (com- pared to inflation which increased about 25 percent over that period) (U.S. Department of Energy, accessed April 14, 2010), changing the financing assumptions that the pre-2001 ferry system was based upon. Several New York Harbor ferry operators report data to the National Transit Database. In 2009, these ferry operators reported combined operating costs totaling about $43 million, result- ing in an average hourly cost of about $575. These costs include vessel capital expenses. It is likely that if the vessel costs were considered a public capital expense and were removed from the oper- ating expenses, operating expenses would be reduced by 15 to 20 percent (National Transit Data- base, 2010a, 2010b, 2010c). Planning Issues In spite of the current financial challenges facing ferry operators, City policy continues to encourage expansion of waterborne transit services. The public benefits of such services are eco- nomic development, congestion relief, and improved emergency response. New York City pro- vides a good example of the public benefits of patient, incremental expansion of ferry service under private control. The emerging paradigm for New York Harbor Ferries is as a transit service • Available for emergency response. • For areas that have few or poor transit options. 38 Guidelines for Ferry Transportation Services Table 5-9. Fares for New York Water Taxi, Statue Cruises, Seastreak, and Staten Island Ferry. Routes Fares Adult Child (6 to 11) Senior Bicycle 10 Trip Monthly Student Monthly New York Water Taxi Ikea Express $5.00 n/aa n/a n/a n/a n/a n/a Statue Cruises Liberty Landing Marina–World Financial Terminal $7.00 $5.00 $6.00 n/a $55.00 $220.00 n/a Seastreak Connors Highland–East 35th Street $23.00 $16.00/ $9.00 n/a $5.00 $192.00 $625.00 n/a Staten Island Ferry Staten Island– Manhattan Free aNot applicable.

• That is supplemental to overburdened parallel systems. • That may require modest public subsidies not exceeding other transit modes. • That provides a time savings relative to other alternatives. • That serves land uses and associated development that will help to attract sufficient ridership to support cost of vessel operation (Interview with David Hopkins, New York City Economic Development Corporation, April 12, 2010). One ferry operator mentioned that “build it and they will come” is not a model that works. However, interviews with a broad range of operators revealed that this model might eventually work, but it may take up to a decade for individual ferry routes to become profitable, and dur- ing this period public assistance is necessary. Land Use Issues Experience with New York ferries suggests that creating a density of travel, either through land development (or because of it) or by connecting with other transit services is an imperative. New York has the benefit of having very short ferry crossings—most are less than 10 minutes—allowing for one vessel to make three or four trips in an hour. Filling up the vessels requires passengers, and when ferries operate at full capacity they are a very efficient mode of transport. The City is currently identifying prime infill development sites along the East River, and all sites require good transit to succeed. Some of the best sites are at a distance from existing transit, and the best option for good transit could be fast and frequent ferry service. Emergency Response While the New York ferry resurgence was initially based on trans-Hudson congestion relief and Hudson River shore economic development, the system also became an important public safety service during the evacuation of Manhattan on September 11, 2001. Since then, emergency response has become an important public benefit of providing and maintaining ferry service. This benefit was reinforced during the power blackout in the Northeast United States in August 2003, during the New York City Transit strike in 2005, and when ferries evacuated US Airways Flight 1549 after its emergency landing in the Hudson River in January 2009 (Interview with Port Authority, January 10, 2010). As part of this expanded role, ferry operators participate in numerous training programs, Homeland Security initiatives, and practice drills to ensure that the ferry system can perform during an emergency. These are mandated costs to the ferry operators; however, except for some minor equipment grants, these costs are not reimbursed by an agency. In addi- tion, when an emergency does occur, the costs incurred are often reimbursed many months later or may never be paid. These requirements place additional financial stress on the ferry operators. North Carolina Department of Transportation Ferry Division Ferry Case Studies 39 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) North Carolina Department of Transportation Ferry Division Highway– Ferry Essential 7 21 2,100,000 950,000 5–25 Quickfacts

History North Carolina has a long history of using ferries as a form of transportation, especially in areas that are otherwise inaccessible by roads or are lacking easy road access. The current North Carolina Department of Transportation Ferry Division evolved from the state’s practice of acquiring private ferry routes that began around 1934. The first ferry route to eventually become part of the state’s ferry network connected Oregon Inlet with Whalebone Junction (North Carolina Department of Transportation, n.d.). Initiated as a private tug and barge conveyance system and later as a wooden trawler ferry, in 1934, the North Carolina State Highway Commission (Commission) began subsidizing the crossing to reduce the toll rates. Over time, the crossing gained in popularity and users and, in 1942, the Commission instituted fixed reimbursement for the ferry operator so as to discontinue tolls completely. New ferry routes came on line during the 1940s and 1950s, operated both by private entities and by the Commission. Concurrent to the expanding ferry system, the paving of Highway 12 allowed for greater access to the Outer Banks area, leading to increased demand on the ferry system. During the early 1940s, ferry service across the Croatan Sound was operated by a private entity before being acquired by the state in 1946. The Croatan Sound service continued until 1956, when the Governor Umstead Bridge was completed, thereby ending the Croatan Sound ferry operation. Highway 12 brought new demand for a ferry service between Hatteras and Ocracoke Island. The new ferry service was started by a private operator before being purchased by the state in 1957. The Alligator River crossing, the first ferry service constructed and operated by the state, began in 1947 and operated until 1962, when the Alligator River was bridged (North Carolina Department of Transportation, n.d.). Between 1940 and 1977, the North Carolina ferry system evolved as new services were added and then retired when new bridges replaced existing ferry service. During that 30-year span, ferry ser- vices were started and retired at Croatan Sound, Alligator River, Oregon Inlet, and Bogue Sound. In 1960, the Commission created a State Ferry Operations office independent of the Highway Division Administration in the town of Manteo. The State Ferry Operations department was charged with maintaining the ferry fleet, as well as managing all personnel. By 1964, the fleet had grown to a point where the state created the Marine Maintenance Facility, separate from ferry oper- ations, to more efficiently manage the two divisions. The Operations office moved to Morehead City to be more centrally located. In 1974, on the recommendation of a specially formed committee, the governor combined the State Ferry Operations and the Marine Maintenance Facility under one department, the Ferry Division, which would exist at the Highway Division level and be responsi- ble for all aspects of the state ferry system (North Carolina Department of Transportation, n.d.). Organizational Structure The current incarnation of the Ferry Division in North Carolina lives within the state depart- ment of transportation (DOT). The ferry routes and vessels that operate on these routes are con- sidered an extension of the state highway system, although the Ferry Division is on the same administrative level as the Highway Division within the DOT. As a public entity, all funding sources, budgetary decisions, and operational service are approved at the state’s highest level through the state DOT and by the governor. Legislative influence extends to yearly budgets and federal and state funding sources. The governor has the ultimate approval through the annual state budget process. North Carolina operates a statewide ferry system along its coast from the Knotts Island cross- ing near the Virginia/North Carolina border to the Fort Fisher crossing near the South Carolina/ 40 Guidelines for Ferry Transportation Services

North Carolina border. While the ferry system is operated by the state, the routes are a mixture of free and tolled crossings. Most of the shorter crossings are free for all users, with longer- distance routes charging one-way fares. The state has discouraged the implementation of tolling across all routes except for the long-distance routes with the understanding that the ferry system is part of the state highway system and thus is provided free to all users. This notion may be chal- lenged as the global economic downturn has begun to affect long-term budget allocations. In addition to the statewide ferry system, there are a few ferries that provide service to national parks located in the Outer Banks. These ferries are provided free of charge to park visitors. The National Park Service provides ferries to manage the number of people visiting the parks while maintaining the integrity of the park conditions. In 2009, the ferry system reduced service as a response to budget shortfalls and increased expenses. The Coast Guard mandate requiring additional crew aboard vessels forced North Carolina to remove some vessels from service in order to redistribute staff to the more heavily patronized routes. The governor recently announced that the service cutbacks were temporary, and service would be restored to previous levels in 2010 (Interview with North Carolina Ferry Division, January 14, 2010). Operational Structure System/Service Routes Currently, North Carolina is the second largest state-owned and -operated ferry system in the country, with service operating 365 days a year and offering over 200 daily departures during the summer season and 150 daily departures during the winter season. The system has seven ferry routes that provided service for nearly 1 million vehicle trips and 2.1 million passenger trips during the 2008–2009 fiscal year (North Carolina Department of Transportation, 2009). The North Carolina routes have developed organically, with implementation guided by demand for service. North Carolina began the ferry service through purchasing existing services from private operators with the aim of preserving or creating low-cost or free service. As demand for ferry service grew over the years, more routes were added, but in most cases bridges were seen as the permanent solution to providing access. The practice of replacing ferry service with bridges continued until most ferry routes that could be reasonably replaced were (as is documented with ferry routes that once existed across Croatan Sound, Alligator River, Oregon Inlet, and Bogue Sound). The ferry routes that remained are a collection of services for areas where bridges were either unwarranted or unwanted, such as Ocracoke Island. Table 5-10 highlights the current routes in the North Carolina ferry system. Figure 5-8 provides a route map. Facility and Vessel Maintenance North Carolina owns and operates all of its waterside facilities and vessels (Interview with North Carolina Ferry Division, January 19, 2010). Water landings and vessels were either pur- chased or built during the state ferry expansion. Some vessels were purchased directly from pri- vate operators and were folded into the agency, while others were acquired in conjunction with the United States Department of the Interior, which had established the Cape Hatteras National Seashore Park. Still other vessels were commissioned directly by the state to satisfy increasing ferry service demand. (See Figure 5-9 for a photo of a typical North Carolina ferry vessel.) North Carolina operates RO-RO ferries on all of their routes. The vessels are a mix of River Class and Sound Class ferries, of which the Sound Class ferries have specially designed hulls and propulsion systems to handle tricky sea conditions; some ferries are double-ended ferries. In total, the system has 21 vessels in its fleet, and there is one vessel on order (Interview with North Carolina Ferry Division, January 14, 2010). Ferry Case Studies 41

The state also owns and operates a vessel for dredging and piling work, the Dredge Carolina, and three tugs that assist it (Interview with North Carolina Ferry Division, January 14, 2010). The Dredge Carolina does work during the permitted time period allowed by regulators and is equipped for workers to live on board during the working season. North Carolina maintains all of its vessels at its central maintenance facility located at Manns Harbor. Maintenance is conducted by in-house engineers and technicians. They complete all required haul-outs, engine repowers, painting, and handle any vessel breakdowns. Maintenance 42 Guidelines for Ferry Transportation Services Table 5-10. North Carolina ferry routes. Route Service Season Service Schedule Crossing Time Crossing Location Bayview– Aurora Year-round Departures Every 1.5 h 30 min Pamlico River Currituck– Knotts Island Year-round Departures Every 2 to 3 h 45 min Currituck Sound Swan Quarter– Ocracoke Year-round Departures Every 3 to 6 h 2.5 h Pamlico Sound Cedar Island– Ocracoke Year-round Departures Every 2 to 3 h 2.25 h Pamlico Sound Hatteras– Ocracoke Jan 1–May 11, Sept 29–Dec 31 Hourly 40 min Hatteras Inlet Cherry Branch– Minnesott Beach Year-round Departures Every 30 min 20 min Neuse River Southport– Fort Fisher Year-round Departures Every 45 min to 2 h 35 min Cape Fear River Figure 5-8. North Carolina ferry routes.

parts are stored in a facility adjacent to the central maintenance facility, with usually approxi- mately $1.8 million worth of parts kept onsite (Interview with North Carolina Ferry Division, January 14, 2010). Maintenance parts are trucked to the three satellite facilities as needed. The three satellite facilities handle lighter-duty repairs to allow the vessels to return to duty within a short period of time. In addition to maintaining its own vessels, the state performs its own dredging, piling, and clus- ter work to maintain clear waterways within the various sounds. The state works closely with the United States Army Corps of Engineers to determine the optimal time for dredging allowance. When the dredging season is over, maintenance crews work to improve pilings and other water- side improvements and maintenance. North Carolina is one of the very few operators that provide 100 percent of maintenance in house (Interview with North Carolina Ferry Division, January 14, 2010). The state completed a new state-of-the-art maintenance facility at Manns Harbor that can handle the necessary capac- ity needed for vessels in dry dock. The centralized maintenance facility also enables the Ferry Division to effectively manage maintenance tasks, such as parts inventory, for a fleet that is sep- arated across many miles. Staffing Levels The ferry system has approximately 500 to 525 employees during the low season (November to April) and 575 to 600 employees during the high season (May through October) (Interview with North Carolina Ferry Division, January 14, 2010). Administrative staff is split between Manns Harbor, where the main maintenance facility is located, and Morehead City, where the previous State Ferry Operations department was located. Due to the great distance separating the various routes from the maintenance facility and head administrative office, there are three satellite maintenance facilities. These facilities are located at Cherry Branch, Cedar Island, and Hatteras. Vessel crew also report directly to their route loca- tions. Crews work seven-on/seven-off shifts, with two crews for each vessel. Coast Guard regu- lations require a minimum number of crew members on board at any one time, which has forced North Carolina to increase its crew staffing. Ferry Case Studies 43 Figure 5-9. Typical ferry vessel–North Carolina Department of Transportation Ferry Division.

As a majority of the ferry routes serve the Outer Banks, a well-known vacation destination, the cost of living for staff members is significantly higher than the cost of living in other parts of the state, especially the interior. The condition of the state’s resources and the Ferry Division’s budget have prevented salaries from keeping pace with the cost of living in the Outer Banks. This circumstance has made it difficult for the Ferry Division to attract the necessary workforce. In response, the Ferry Division has completed a staff dorm where staff and crew can live during the work week; a second dorm is under construction. Two dorms are already operational at Hatteras. Room and board is provided free of charge. The intent is to reduce the cost for staff traveling from home in the interior part of the state and also to entice prospective workers with a benefit. It has so far proven to be very popular with the staff (Interview with North Carolina Ferry Division, January 14, 2010). Financial Structure Fares As North Carolina considers its ferry system an extension of the state highway system, most of the ferry routes are provided free to passengers, with the exception of its longer routes and the Southport–Fort Fisher route. Table 5-11 shows the fare breakdown by route. Reservations are offered only on the Cedar Island–Ocracoke and Swan Quarter–Ocracoke routes. All other routes are offered on a first-come/first-served basis. Motorists with reservations must claim their reservation at least 30 minutes prior to departure or it will be canceled. Funding Sources North Carolina receives its ferry funding through a combination of state revenues and federal funds or grant monies. The annual ferry budget is set through the state DOT, which portions out the state revenues accordingly. Federal grants and funds are applied for on a year-to-year basis, depending on the type of funding available. Most of the federal funds received are applied to cap- ital projects rather than operating needs. 44 Guidelines for Ferry Transportation Services Table 5-11. Ferry route fares. Route Fare Bayview–Aurora Free Currituck–Knotts Island Free Swan Quarter–Ocracoke Pedestrian–$1.00 Bicycle Rider–$3.00 Motorcycle–$10.00 Vehicle and/or other combination less than 20 ft–$15.00 Vehicle and/or other combination 20 to 40 ft–$30.00 Vehicle and/or other combination 40 to 65 ft–$45.00 Cedar Island–Ocracoke Pedestrian–$1.00 Bicycle Rider–$3.00 Motorcycle–$10.00 Vehicle and/or other combination less than 20 ft–$15.00 Vehicle and/or other combination 20 to 40 ft–$30.00 Vehicle and/or other combination 40 to 65 ft–$45.00 Hatteras–Ocracoke Free Cherry Branch–Minnesott Beach Free Southport–Fort Fisher Pedestrian–$1.00 Bicycle Rider–$2.00 Motorcycle–$3.00 Vehicle and/or other combination less than 20 ft–$5.00 Vehicle and/or other combination 20 to 40 ft–$10.00 Vehicle and/or other combination 40 to 65 ft–$15.00

There are only four tolls in the state of North Carolina, three of which are for ferry crossings. The state collects approximately $2 million annually in toll income (Interview with North Carolina Ferry Division, January 19, 2010). The operating budget for fiscal year 2009/2010 was $30 million, which comprises a mix of toll revenue, state transportation improvement funds, and supplemental federal funding grants. A typical federal grant size is $1.8 to $1.9 million, with a needs-matching grant from the state required. Implementing additional tolls on ferry routes has been politically infeasible in the past, with a high degree of opposition from both citizens and elected officials. The global economic down- turn has begun to change perceptions, as the annual ferry budget has continued to decrease— down 3 percent, 5 percent, and 7 percent over the past 3 years, respectively (Interview with North Carolina Ferry Division, January 19, 2010). The budget has decreased from $35 million in 2008/2009, to $30 million for 2009/2010, to a projected $27 million for 2010/2011. In the first 6 months of fiscal year 2009, the Ferry Division spent $17 million, over half of its annual budget, which contributed to service reductions to offset future budget shortfalls. The state indicated that to optimally run the system, an annual budget of approximately $38 to $48 million is necessary to maintain existing services and to continually improve the system (Interview with North Carolina Ferry Division, January 19, 2010). A study currently being conducted by North Carolina State University is examining how the ferry system can increase efficiency in a variety of ways. One option being looked at in the study is the effect on ridership and revenue of increasing tolls or implementing new tolls. A survey conducted as part of the study found that most people agree with the idea of paying a toll to help offset some of the budget reduction, although a proposed toll was not included as part of the study. Other forms of new tolling being studied include seasonal tolling or increased tolling prices. In 2008, the United States experienced rapidly rising fuel and gasoline prices during a short period of time. This affected not only the everyday layperson, but all industries with gasoline and fuel as primary operating expenses. Overall, the North Carolina DOT provides and pays for fuel for all of its departments, the Ferry Division included. The state spends $6 million annually on fuel, and the rapid rise in fuel prices in 2008 wiped out its “rainy day” fund for that year. The state indicates that there likely will be no change in operating procedure for purchasing and dis- tributing fuel among the different DOT departments, and individual departments will not be responsible for purchasing or budgeting for their own fuel. Planning Issues Environmental and Regulatory Issues The state of North Carolina complies with all state and federal environmental regulations, including the regulations of the Coast Guard and Homeland Security. Many of North Car- olina’s air quality regulations follow the California Air Resource Board Title 13 regulations for compliance. The Ferry Division is moving toward meeting the United States Environmental Protection Agency’s requirement for Tier 3 diesel engines after repowers. This is currently the extent to which the state is investigating new technologies and/or vessels. A new ferry is on order and is under construction at a ferry dock in Texas; its delivery is expected in 2011. A separate bid has recently been awarded for a second Sound Class ferry to be completed in 2012. Outside of regulation compliance, the state DOT and Ferry Division are engaged in environ- mental stewardship through an environmental policy, as well as programs such as the ferry- based water quality monitoring program. The environmental policy outlines the Ferry Division’s Ferry Case Studies 45

mission statement as well as goals for service and includes (North Carolina Department of Transportation, 2008): • Continuing [its] commitment to environmental stewardship and improvement, including a commitment to the prevention of pollution and the preservation of natural resources. The North Carolina DOT Ferry Division also strives to meet or exceed relevant environmental leg- islation, regulations, and other requirements. • Providing a framework for setting and reviewing objectives and targets via the development of relevant procedures. • Being cognizant of the ferry system’s impacts to land, air, and water resources and inhabitants of these resources. • Making this environmental policy available to the public, including those who work on behalf of the Ferry Division, on the web site. • Requiring Ferry Division employees whose work duties may significantly impact the environ- ment to review the Environmental Management System and become familiar with the ways that they can ensure environmental stewardship. The Ferry Division is also compliant with ISO: 14001, which is the international standard for environmental compliance. In addition to its environmental policy, the Ferry Division, in partnership with Duke Univer- sity and the University of North Carolina (UNC)–Chapel Hill, gather water quality data as part of a program called “FerryMon.” Ferries on the Neuse River/Pamlico Sound collect water on the ferries through a system located on board the vessels. The data are logged and downloaded by cell phone to computers at Duke and UNC–Chapel Hill. Through the gathering and logging of data, a database is being established that will help in monitoring water quality standards over time, as well as during natural events such as storms or hurricanes (Institute of Marine Sciences at UNC–Chapel Hill et al., n.d.). Land Use Issues Each ferry terminal in the North Carolina system consists mainly of a small terminal build- ing, a waiting area for vehicles and passengers, and a loading dock. Most terminals are located in areas where it made sense to establish a water crossing. Historically, there has been little effort to focus landside development immediately around the terminal areas. In some cases, the lack of development is encouraged, as the terminals are gateways or entry points to existing communi- ties such as on Ocracoke Island. Ferries are seen more as a form of transportation than a catalyst for landside development. In the past, ferry routes have given way to bridges, which tend to limit development along the shoreline. Most passengers using the ferries arrive by vehicle, as the ferries are just one link in an overall transportation trip. There is also little local transit coordination, as ferry routes often cross mul- tiple local jurisdictions and involve trips that are generally not conducive to transit. North Carolina experiences a dramatic high-season ridership during the summertime. The Outer Banks experiences both vehicular traffic and ferry traffic congestion as vacationers flock to the area. Given the capacity constraints of Highway 12, ferry users often experience one to two boat waits during the high season. While ridership had been falling over the past few years, the summers of 2009 and 2010 experienced a modest ridership increase during the high season. This increase was likely due to more vacationers staying in state or closer to home to save money dur- ing the economic downturn. Emergency Response The Outer Banks is vulnerable to large storms and hurricanes that can wipe out Highway 12, which is the major entrance and exit to the area. For some places along the Outer Banks, such as 46 Guidelines for Ferry Transportation Services

Ocracoke Island, the only access is via ferry. During an emergency, ferries from the Ferry Divi- sion are called to aid once the disaster warning has been released. Ocracoke Island has an onsite emergency coordinator and, as part of Hyde County, is part of an overall county emergency plan. During an emergency, the Ferry Division follows the protocols of Hyde County. U.S. Virgin Island Ferries Quickfacts Ferry Case Studies 47 Operator Service Category # of Routesa # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Transportation Services of St. John, Inc. Transit– Ferry Intercity 2 3 2,100,000 950,000 15–30 Varlack Ventures Transit– Ferry Intercity 2 3 aOnly franchised routes are considered in this case study. History The U.S. Virgin Islands are made up of three islands in the Caribbean Sea: Saint Thomas, Saint John, and Saint Croix. Charlotte Amalie, the territory’s capital, is located on Saint Thomas. The population of all three islands, according to a 2009 estimate (CIA Factbook, accessed March 20, 2010), is 109,825. Much of the population is split between Saint Thomas and Saint Croix, with Saint John functioning mostly as a tourist and resort destination. This is reflected in the distri- bution of government services, which are located mainly in Saint Croix and Saint Thomas. As a territory, the U.S. Virgin Islands system of government is similar to that of a state, with three branches of government: the Executive Branch, the Legislative Branch, and the Judicial Branch. The U.S. Virgin Islands are governed by the laws of the United States Constitution, as well as the Revised Organic Act of 1954 that further defined the laws and rights for citizens in the U.S. Virgin Islands (United States Virgin Islands, accessed March 21, 2010). Currently, the U.S. Virgin Islands have a proposed constitution that is before the United States Congress for review. Saint Croix, which is 83 square miles, is the largest of the three islands. Saint Croix is also the furthest distance from Saint Thomas and Saint John—40 miles south of Saint Thomas. Saint Thomas is the next largest island in the territory at 31 square miles. It is the closest island to Puerto Rico, another U.S. territory. Saint Thomas and Saint John are only separated by 4 miles (3.5 nautical miles). Saint John is the smallest of the three islands at 20 square miles. It is also the only island without an airport and is completely reliant on ferries for inter-island travel. Water travel is a necessity for residents of the islands of Saint Thomas, Saint John, and Saint Croix, and thus the U.S. Virgin Islands require a robust ferry service. Ferry service has tradition- ally been offered by small, private operators who met demand for travel between the main islands of Saint Thomas and Saint John, where most of the government services are located. In 1972, the government created a franchise agreement with two private ferry operators to maintain passenger- based ferry service between Saint Thomas and Saint John (Interview with Transportation Services, January 29, 2010). The franchise agreement gave the ferry operators the right to operate on approved routes between the two islands and regulated ferry fares through the public services commission. Only the two contracted ferry operators were given the right to provide ferry service between the two islands. The two ferries provide non-competition-based services dictated by the franchise. Other for-profit ferry services exist for vehicle transportation although services are not as frequent as the franchised service (United States Virgin Islands, accessed March 21, 2010).

Organizational Structure Under U.S. Virgin Islands Code Title 25, Chapter 3, regularly scheduled ferry service between Saint Thomas and Saint John shall be maintained in accordance with regulations by the Gover- nor (Virgin Islands Code, Title 25, Chapter 3). For the purpose of maintaining transportation facilities and services between the Islands of Saint Thomas and Saint John, the Governor shall contract for, purchase, or otherwise acquire all such equipment, labor, services, and facilities as are necessary or appropriate. Title 25 is the precursor to enacting the ferry franchise agreement. In 1986, the U.S. Virgin Islands enacted a franchise agreement to operate ferry services between Saint Thomas and Saint John, as well as bus services on Saint Thomas. The franchise agreement is part of Act No. 5168 of the 1986 Regular and Special Legislative Sessions. The fran- chise agreement exclusively gave the right to Transportation Services of St. John, Inc., and Var- lack Ventures to operate marine services between the two islands (Virgin Island Session Laws, Act No. 5186, 1986). The franchise agreement requires maintaining existing service levels from 1986 for the length of the 10-year franchise. The two franchises are on a temporary extension and as a result are still operating under their 1986 franchise agreements. As part of the franchise agreement, the two operators are considered as a public utility, to be regulated by the Public Ser- vices Commission. Ferry services between Saint Thomas and Saint John currently continue to operate under the franchise agreement established in 1986 by the same private ferry operators. Both operators pro- vide duplicate routes between the two islands, with demand split evenly between the two oper- ators. Because the franchise agreement eliminates competition between the two operators and fares are regulated by the Public Services Commission, the two operators in essence operate as one unit, although the internal functioning of the two entities remains independent. U.S. Virgin Islands Code Title 25, Chapter 3 mandated that vessels in service under the fran- chise agreement be under the auspices of the Governor. Since the franchise agreement was insti- tuted in 1986, the two contracted operators have continued to operate their own private vessels in service. Both operators own and operate similarly sized vessels, one vessel for each route plus one space boat, for a total of three boats for each operator. The two boats in daily service are approximately 300-passenger vessels. Operational Structure System/Service Routes The franchise agreement mandates ferry service between Saint Thomas and Saint John. Pills- bury Sound, which separates Saint Thomas from Saint John, is considered part of the federal high- way system; this classification of Pillsbury Sound is the basis of the franchise agreement and the government’s sponsorship of the route. By contrast, the crossing between Saint Thomas and Saint Croix is not considered part of the federal highway system, thus there is no franchise mandate. The two franchise operators provide identical service with identical service schedules and very similar fare structures. Passengers can board either ferry for passage between the two islands. The two terminals on Saint Thomas are located in the most populated areas on the island—the capital, Charlotte Amalie, and Red Hook on the eastern side of the island. Cruz Bay on Saint John is the main entry point to the island. As 75 percent of Saint John is part of the National Park Service, only one terminal is necessary. Table 5-12 outlines the ferry routes. Figure 5-10 shows a route map. Red Hook has more frequent service compared to ferries departing from Charlotte Amalie. This is due to the shorter travel time between Red Hook and Cruz Bay (approximately half the duration of one-way travel on the Charlotte Amalie–Cruz Bay route) and the fact that most of the local population lives closer to the Red Hook terminal. The Charlotte Amalie terminal pro- 48 Guidelines for Ferry Transportation Services

vides easy ferry access to tourists heading to Saint John, especially tourists who have arrived to the island via cruise boats. Both operators of ferry service between Saint Thomas and Saint John provide identical service with almost identical service headways. While ferry operation is non-competitive due to the fran- chise agreement, it is important to note the similar service schedules and ridership demand that allow for both entities to provide similar services. Ridership is generally split evenly between the two franchised operators, since fares and schedules are held constant. Together, the two opera- tors transport approximately 2 million passengers a year between Saint Thomas and Saint John (Interview with Transportation Services, January 29, 2010). Ridership experiences some seasonal peaks, notably during Carnival, when daily passenger loads spike to 10,000 to 15,000 passengers. Ferry Case Studies 49 Table 5-12. Ferry routes between Saint Thomas and Saint John. Route Service Schedule Service Frequency Trip Time Red Hook, Saint Thomas–Cruz Bay, Saint John 6:30 a.m. to 7:30 a.m., 8 a.m. to 12:00 a.m. 60 min 15 to 20 min Charlotte Amalie, Saint Thomas–Cruz Bay, Saint John 7:15 a.m., 9:15 a.m., 11:15 a.m., 1:15 p.m., 2:15 p.m., 3:45 p.m. (leaving Cruz Bay), 9:00 a.m., 11:00 a.m., 1:00 p.m., 3:00 p.m., 4:00 p.m., 5:30 p.m. (leaving Charlotte Amalie) 2 h 40 to 45 min Figure 5-10. U.S. Virgin Island ferry service routes.

Otherwise, daily ridership is generally constant throughout the year, as local residents depend heavily on the ferry service to travel to work and school and make daily foodstuff purchases. The U.S. Virgin Islands are a year-round tourist destination, so tourist patronage does not make up a large proportion of seasonal ridership. (Interview with Transportation Services, January 29, 2010). Ferry service between Saint Croix and Saint Thomas is not mandated by the government, and the route between the two islands is not a popular one. Unlike Saint John, Saint Croix is largely self-sustaining, with jobs and housing located on the island. In addition, the journey between Saint Croix and Saint Thomas by water is very uncomfortable because of rough water, and peo- ple prefer to travel by air. In this instance, inter-island air travel is more attractive than water travel. Travelers travel by seaplane for inter-island travel. Facility and Vessel Maintenance Both franchise operators own and operate their own vessels for the Saint Thomas–Saint John route. Until now, the island government has been unable to secure federal capital financing to purchase government-owned vessels for use on the route. The island government is currently working with the federal government to secure a $5-million capital funding grant that would be used to purchase two new ferry vessels, one for each franchise operator (Interview with Trans- portation Services, January 29, 2010). Both operators generally operate three vessels on the two routes. Because the Red Hook to Cruz Bay route has the more frequent service, there are two vessels in operation. There is one vessel on the Charlotte Amalie to Cruz Bay route. Both operators use similarly sized vessels, rang- ing from boats that can carry 149 passengers to boats that can carry more than 300 passengers. One operator uses a 149-passenger boat for the Charlotte Amalie run to Cruz Bay and two pas- senger boats that can each carry 280+ passengers for the Red Hook run. Daily vessel maintenance is conducted by each operator’s own maintenance staff. One fran- chise operator has four mechanics on staff to conduct daily checks on the vessels. The vessels are put in dry dock twice a year—one time for Coast Guard inspection and the second time for removal of barnacles from the bottom of the boat because they can affect vessel operation. Vessel replacement of boats on the franchise routes has been performed by the operators with their own resources and in accordance with individual requirements. The U.S. Virgin Islands received federal funding for new vessels in 2011 and expects to receive these vessels in the next several years. It is hoped that the new vessels on order with monies from the federal grant will arrive sometime in fall 2010. Staffing Levels Staff comprises crew members, mechanics, and administrative personnel. Both operators have a staff of 45 to 50 people. The staff comprises 4 or 5 mechanics and 25 crew members; the remain- der is administrative staff. Both ferry operators are family-owned enterprises. Financial Structure Fares Regular adult fares run between $7 and $11 per one-way trip, as shown in Table 5-13. Dis- counted trips are available for students, seniors, and government workers. The island govern- ment purchases tickets in bulk at a reduced price to distribute to its workforce. In contrast to the usual one-month ticket book, government-purchased bulk tickets are good for 90 days. Tickets can be purchased in advance (mail or online) or at the ferry terminal. A recent upgrade to the ticket collection system discontinued the practice of having an onboard ticket collector; 50 Guidelines for Ferry Transportation Services

now an outside ticket company distributes tickets and collects fares for both operators jointly. The U.S. Virgin Islands Port Authority is currently testing a turnstile pilot program where pas- sengers can use swipe cards for entry. This program will hopefully be spread to all the terminals once the testing phase is complete. Fares are set and approved by the Public Services Commission, which oversees all utilities on the islands. The franchise agreement creating the government-sponsored ferry routes deliber- ately states that fare increases or decreases must be approved by the Public Services Commission because ferry service is considered as a utility on the islands (Virgin Island Session Laws, Act No. 5186, 1986). Funding Sources Because the ferry is an integral part of residents’ daily travel, any increase in fares is met with intense public resistance. The private operators have been unable in the past few years to work out an agreement with the Public Services Commission to raise fares. This dispute has caused the operators to threaten to go to the court, as they allege that they are continually losing money (Interview with Transportation Services, January 29, 2010). Another source of discontent between the franchise operators and the government is the cur- rent use of private vessels when the government is mandated to use publicly purchased vessels on the Saint Thomas–Saint John ferry routes. Federal funding is the main source of capital proj- ects, and federal funding of over $5 million is scheduled to be granted for new ferry boats (Inter- view with Transportation Services, January 29, 2010). Planning Issues Environmental and Regulatory Issues The U.S. Virgin Islands follow current federal standards and regulations. The territory does not have its own set of environmental compliance regulations. The increase in the cost of fuel that began in 2008 has forced the ferry operators to begin to investigate new technologies to reduce fuel consumption. At least one operator has started to welcome overtures from companies selling new technologies, such as fuel additive, that are pur- ported to reduce the amount of fuel burned by the engines. Fuel can be purchased from only a few purveyors on the island and because the operators lack space to store large amounts of fuel, they pay for fuel at prices listed on the day that the vessels fill up (Interview with Transportation Services, January 29, 2010). Land Use Issues On Saint Thomas and Saint John, ferry terminals are located in well-established areas. Charlotte Amalie is the island’s government seat, while Red Hook and Cruz Bay are points of local devel- opment and commerce. The majority of the ferry service between the two islands is passenger day travel, with residents using ferries as a commute mode. Ferry Case Studies 51 Table 5-13. Fare structure. Route Fare Franchise #1 Franchise #2 Red Hook, Saint Thomas– Cruz Bay, Saint John $7.00 adult one way, $2.00 child fare, $2.00 senior rate, $3.00 luggage charge $6.00 one way Charlotte Amalie, Saint Thomas–Cruz Bay, Saint John $11.00 one way, $3.00 luggage charge $12.00 one way

Emergency Response The U.S. Virgin Islands experience the threat of hurricanes every season. Emergency evacua- tion plans are in place for each island should a natural disaster occur. In an emergency, there is the possibility that vessels from Saint Thomas would have to assist in evacuating Saint Croix and in doing so navigate the rough waters between the two islands. For this reason, the ferry opera- tors in the U.S. Virgin Islands use monohull vessels. Washington Island Ferry Line (Wisconsin) Quickfacts 52 Guidelines for Ferry Transportation Services Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Washington Island Ferry Line Highway– Ferry Essential 1 5 200,000 n/a 7–40 History Washington Island is an island located 6 miles (5.2 nautical miles) from the tip of Door County, Wisconsin. It is a popular vacation destination as well as a year-round residence for approximately 700 people. Ferry service is an integral part of island life—many of the island’s daily goods arrive by boat. Supplies such as foodstuffs and heating products ensure that residents can live on the island year-round. Washington Island Ferry Line (WIFL) began service in 1940, when Arni and Carl Richter purchased two wooden ferries from an existing service that was run by Captain William Jepson and that had been in operation for 6 years. Upon acquiring United States Postal Ser- vice (USPS) contracts to deliver freight mail, what was once seasonal service transitioned to daily service to the island. Today, WIFL continues as a private ferry operation (Purinton, accessed April 1, 2010). As a family-owned and -operated business, the ferry service continues to provide a public ser- vice for both residents and visitors to the island. In addition, ferries shuttle commerce and goods between the mainland and the island. Although the ferry service is a wholly owned private entity, there are some aspects of operation that fall under government regulation and oversight. This regulation and oversight is provided mainly by the United States Coast Guard, as well as several state offices that oversee marine-based functions. Organizational Structure As a private operation, WIFL has the flexibility to modify and adjust to changing conditions, both environmental and social. The company owns all of its vessels, as well as the ramps, piers, and terminal facilities. Operational Structure System/Service Routes WIFL operates only one route between the mainland and Washington Island (see Figure 5-11 for route map). Approximately 200,000 people ride the ferry every year. The service operates 26 or 27 round trips a day during the summer, with service reduced to twice a day during the winter season due to severe weather and ice conditions. The summer months provide 75 to

80 percent of the year’s business. Summer travelers are mainly tourists, in-state visitors, and day-trippers (Interview with Washington Island Ferry Line, February 4, 2010). Few commuters use the service daily, since the dock is located far from the nearest town on the mainland and schedules are not set to accommodate a typical commuter schedule. Friday and weekend trips tend to have more passengers than a typical weekday because of seasonal property owners and vacationers heading to the island for the weekend. WIFL runs special trips on Friday, Saturday, and Sunday nights to satisfy the demand from weekend travelers (See Table 5-14 for service schedule). Travel time on the ferry route varies by the season. During the non-winter months, the cross- ing takes approximately 30 minutes. During the winter months, the crossing time can extend to 40 to 45 minutes. Severe weather such as icy conditions can extend a one-way trip to 4 hours. In this situation, an icebreaker is required to clear a path through the ice, either with the operation’s ferries that can break ice or with the assistance of the Coast Guard (Interview with Washington Island Ferry Line, February 4, 2010). Ferry Case Studies 53 Figure 5-11. Washington Island ferry route.

Facility and Vessel Maintenance WIFL operates a fleet of four RO-RO vessels. At full capacity, the vessels can carry 149 passen- gers, 18 to 21 vehicles, or 2 fully loaded semi trucks. In age, the vessels range from 7 to 40 years old. Two boats were recently sold due to age (Interview with Washington Island Ferry Line, February 4, 2010). Vessels are replaced based on a number of factors, including capacity demand, usefulness in the fleet, cost of modification, and payback period. As a private operator, WIFL undergoes a rigorous cost-benefit exercise to determine the short- and long-term implications of new vessel purchases, including changing technologies and new potential governmental regulation requirements. The spike in fuel costs in 2008 forced WIFL to find ways to limit the financial impact of the cost increases. WIFL began implementing new fueling strategies, purchased new fueling equip- ment, changed fueling vendors, and created a reserve fund. In addition, WIFL sought to lock in fuel prices by buying a bulk of 2009’s fuel in advance instead of at market rates. WIFL crew were also required to undergo spill containment training in the event of fuel leaks and reduced the amount of time spent idling. WIFL owns two docking facilities and leases two others. Wisconsin State Department of Transportation (WDOT) grants assisted in the construction of a mainland breakwall. WIFL con- ducts all of its daily maintenance needs in an onsite maintenance facility, although it does not have dry dock capability. Dry docking occurs at a facility 40 miles away. Staffing Levels WIFL is run with a staff of 12 to 14 people in the off season, with staff size expanding to 30 to 32 during the summer months. WIFL has not had difficulty recruiting crews and staff; it has more often been the case that more people are looking for marine-based work in the area than there is capacity to hire. In addition, 100 percent of the operation is island based—meaning that workers start and end their day on the island. Financial Structure Fares The fares charged by WIFL are shown in Table 5-15. Tickets can be purchased at the office and ticket booth. Tickets cannot be purchased in advance on WIFL’s web site. Discounted ticket 54 Guidelines for Ferry Transportation Services Table 5-14. Washington Island Ferry Line service frequency by season. Season Frequency–To Island Frequency–From Island Spring April 1, 2010–May 7, 2010 Hourly Hourly May 8, 2010–July 1, 2010 Hourly Hourly Summer July 2, 2010–August 15, 2010 30 to 45 min 30 to 45 min Fall August 16, 2010–October 24, 2010 Hourly Hourly Early Winter/Winter October 25, 2010–December 5, 2010 Hourly Hourly December 6, 2010–January 2, 2011 4 sailings per day 4 sailings per day January 3, 2011–March 31, 2011 Two times weekly (do not sail on Wednesdays) Two times weekly (do not sail on Wednesdays) Night Trips Friday Night Trips 30 to 60 min 30 to 60 min Saturday/Sunday Trips Once nightly Once nightly

books are available for regular riders, who often have a “house” account. Island school children also ride the ferry for free. Tickets are collected during boarding by crew members. Despite the financial difficulties of recent times, WIFL did not raise its rates for the season of April 2010 to April 2011. They expect to be able to maintain rates at the same level during the year. Funding Sources As a private operator, WIFL receives no public funding for day-to-day operating costs. Door County applied for grant funding from WDOT for the construction of docks and breakwalls. Planning Issues Planning, whether short- or long-term, is critically important to the continued operations of WIFL. As a private operation, WIFL must strive continually to maintain a balance of costs and expenditures. Some short-term goals identified to maintain the balance of costs and expendi- tures include the following (Interview with Washington Island Ferry Line, February 4, 2010): • Acquire new fueling equipment/fuel truck to avoid a fuel surcharge. • Change fuel supply vendors. • Undergo spill containment training. • Create a reserve fund in case of emergencies or unexpected expenditures. • Look closely at engine manufacturers to understand optimum fuel burn rate. • Reduce idling time. • Make decisions on future engine purchases based on the ability to reduce consumption but keep horsepower. • Undergo engine repowers and resell old engines. • Purchase new engines before new EPA emission requirements take effect. Long-term goals include the following: • Improve “value added” experience for passengers. • Include more deck space for passengers to move around on new boats. • Provide more education for crew and staff, especially for information sharing. • Provide more service at a lower cost. • Balance capital costs against the benefits of operating savings and environmental compliance. • Provide shore transportation alternatives. Environmental and Regulatory Issues Keeping abreast of current environmental issues and regulations pertinent to the WIFL oper- ation is a constant effort for the staff. Certain aspects of environmental regulations, such as safety and security for vessels, which are mandated by the Coast Guard, are well known because of their relevance to day-to-day operations. Other regulations and possible future regulations related to environmental contaminants, such as air pollution, require more nuanced response because of the complex nature of environmental pollution. Ferry Case Studies 55 Table 5-15. Fare structure (round trip). Passenger Type Fare Adult $11.50 Child (6–11 years) $5.50 Automobile (passengers not included) $25.00 Motorcycle $15.00 Bicycle $4.00 Island resident children Free

The state of Wisconsin does not have an independent environmental regulatory system sep- arate from the federal government, so WIFL maintains standards that meet federal requirements. WIFL is a member of the Passenger Vessel Association (PVA), a national association repre- senting the interests of owners and operators of passenger vessels, which provides a variety of services to assist in making daily operations possible. The PVA provides operators with informa- tion on environmentally related transportation issues such as emissions and energy and updates on issues expected to be important in the near future. In addition, operators have experts at their disposal through the PVA if there are any questions regarding new requirements and regulations that have been passed or implemented. This was identified as very helpful by WIFL as they do not have the capability in house to keep abreast of and understand all of the new rules and man- dates that come down from the government, often from different departments. Over the past few years, the water level in Lake Michigan has fallen drastically, enough so that WIFL needed to build a new ramp at the mainland dock as well as make modifications to the ter- minal on Washington Island. This is a concern since the drop in water level is a recent occur- rence; Lake Michigan’s water level had been stable for the previous 20 to 25 years. It is not known if Lake Michigan will return to its previous water level. WIFL spent $400,000 to make improve- ments to the docks, which are owned or leased exclusively by WIFL. Unforseen expenses have a significant impact on financial stability and overall business health. Land Use Issues Due to the relatively rural location of WIFL’s mainland dock, it is not expected that there will be any landside development around the ferry terminal. As the island’s population is relatively stable at around 700 year-round residents, it is not expected that the island will experience a dra- matic increase in traffic. Regulatory Issues Despite being a private operation, WIFL falls under the oversight of several different state departments. The fares WIFL charges, while not needing approval by the state, must be submit- ted each year to the Wisconsin State Office of the Commissioner of Railroads, which oversees all tariffs in the state. WIFL falls under the Railroads Commission because of its role as a carrier of intrastate commerce. In addition to the tariff oversight, the Wisconsin Department of Natural Resources (WDNR) regulates all permits for dock construction and dredging. WIFL docks are required to have WDNR permits under the same rules as marinas. WIFL docks are recognized as commercial maritime facilities with a strong public interest. WDNR has repeatedly placed conditions on WIFL permits that would require unlimited public access and use. In the past, WIFL has gone to court to contest regulations required by the state as part of a permit applica- tion for dock maintenance construction; WIFL settled one case out of court and won one case. The Coast Guard plays a large role in the continued operation of WIFL. The Coast Guard must certify each ferry as well as oversee all aspects of safety while the boat is in operation. WIFL’s working relationship with the Coast Guard has evolved over the last 10 years, developing into a respectful partnership. It was noted that the Coast Guard has become more customer service- oriented and more open to feedback from the operators, which has allowed the partnership to occur. A pending issue for WIFL is the upcoming Tier 2 engine standards soon to take effect. WIFL has come up with some strategies to ensure that all boats will be in compliance by the time the rule takes effect. Two of these strategies are (1) streamlining the emission systems and boat life- cycles (moving toward greater energy efficiency by reducing heat, lights, generators, and standby power) and (2) planning to repower two ferries before the new tier takes effect (Interview with Washington Island Ferry Line, February 4, 2010). 56 Guidelines for Ferry Transportation Services

Emergency Response WIFL is part of Washington Island’s emergency evacuation plan. In addition to emergency evacuations, WIFL also provides service for everyday emergencies, such as transporting ambu- lances or necessary supplies. WIFL is on call 24 hours a day for this service and charges after- hour rates to those users. Seattle Metropolitan Area Ferry System Quickfacts Ferry Case Studies 57 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Washington State Ferries Highway– Ferry Essential 10 23 22,500,000 10.1 1–64 Port of Kingston Transit– Ferry Urban 1 2 n/a n/a 5–30 Kitsap Transit Transit– Ferry Urban 2a 3 500,000 n/a Historic Mosquito Fleet– Newly Acquired King County Water Taxi Transit– Ferry Urban 2b 2 300,000 n/a 20–25 aKitsap Transit is currently undergoing planning for a new ferry route bForecast since King County has been in operation less than 1 year History Before roads and railroads were prevalent, ferry boats were the main mode of transportation for people traveling along Puget Sound. From the 1850s to the 1930s, so many steamboats tra- versed Puget Sound waterways that locals nicknamed the Sound’s fleet of ferries “the Mosquito Fleet,” because the steamboats often resembled a “swarm of mosquitoes” (The Free Online Ency- clopedia of Washington State History, accessed April 22, 2010). The Mosquito Fleet was not a unified fleet under one or a few owners—the ferries were often independently owned. At one time, over 2,500 individual steamboats were part of the Mosquito Fleet (The Free Online Encyclopedia of Washington State History, accessed April 22, 2010). Seat- tle’s central location within Puget Sound transformed the area into a major maritime transporta- tion hub, and the Mosquito Fleet moved both human and animal cargo, mail, machinery, and all goods necessary to supply and build the settlements that lined the coast from Olympia to Alaska (including Seattle). The emerging dominance of private automobiles that could not be accommodated on the steamboats signified the end of the Mosquito Fleet era. The completion of the San Francisco Golden Gate Bridge released a fleet of diesel-electric automobile ferries from San Francisco Bay ferry service that would soon arrive in Puget Sound and replace the Mosquito Fleet. The last scheduled run occurred in 1939 (The Free Online Encyclopedia of Washington State History, accessed April 22, 2010). Through World War II, ferries servicing Puget Sound remained a private enterprise. Ferry ser- vice had been consolidated under one main operator, Black Ball Line, although the Washington State Utilities and Transportation Commission regulated fare prices and increases. Rising ten- sions between Black Ball Line, the state, and the public over continued fare increases, shutdowns,

and strikes led to the state developing a ferry system under the Washington State Toll Authority in 1948 (The Free Online Encyclopedia of Washington State History, accessed April 20, 2010). In 1949, after a protracted public and private battle between the state and Black Ball Line, an agreement was reached allowing the state to purchase a majority of the equipment and opera- tions of Puget Sound Navigation Company, the parent company of Black Ball Lines. On June 1, 1951, Washington state entered the ferry business with reflagged Black Ball ferries (The Free Online Encyclopedia of Washington State History, accessed April 20, 2010). Today Washington State Ferries (WSF) is the largest ferry system in the United States, serv- ing eight counties within Washington State and the Province of British Columbia in Canada. WSF owns 22 vessels, stops at 20 different ports of call, and carries approximately 23 million people and 10 million vehicles annually. New state legislation has moved WSF away from passenger-only ferry service, which has led a number of local jurisdictions to take over or start new passenger-only ferry routes in Puget Sound. Ferry service is continually evolving to best serve the people in Puget Sound. Organizational Structure For this case study, four ferry operators were interviewed. While this does not cover all of the ferry operators in the area, the sampling of operators interviewed represents a broad swath of services and populations served by ferries. The four operators—Washington State Ferries, King County, Kitsap Transit, and Port of Kingston—are discussed below. Washington State Ferries WSF is a part of the Washington State Department of Transportation, reports to the Gov- ernor’s Office, and is funded by the Washington State Legislature. Considered an extension of the Washington state highways, WSF operates with the goal of moving people and automo- biles across the state’s waterways. It is the second largest public ferry operation in North Amer- ica, transporting over 22.5 million passengers and 10 million vehicles a year (Interview with Washington State Ferries, November 2, 2009). WSF recently ceased operating all passenger- only ferry services following state legislative direction that WSF provide statewide transpor- tation services as opposed to passenger-only services, which are viewed by the state as local transit services. King County In 2007, the King County Council created the King County Ferry District (KCFD) to operate two passenger-only ferry routes out of downtown Seattle. The KCFD funds and oversees the operations of two existing water taxi services. The KCFD contracts with the King County Marine Division for operations. Kitsap Transit Kitsap Transit is Kitsap County’s transit agency, providing routes, bus services, vanpools, and paratransit services in addition to passenger-only ferry service. The ferry service is contracted out to a private operator that operates and maintains the ferry boats. Kitsap Transit retains man- agement of the service and oversees all financial and funding concerns. Port of Kingston The Port of Kingston was established by the state legislature in 1919 as one of the original Mos- quito Fleet landing sites. The Port of Kingston is a municipal corporation governed by three directly elected commissioners. Currently, the Port of Kingston provides marina and dock ser- vices to Kingston. 58 Guidelines for Ferry Transportation Services

Operational Structure System/Service Routes See Figure 5-12 for a map of ferry routes discussed in this case study. Washington State Ferries. WSF operates nine ferry routes across Puget Sound and an inter- national route to Sidney, British Columbia, in Canada. Ferry routes provide highway connec- tions in the place of bridges or, in some cases, provide ferry service to locations such as the San Juan Islands and Vashon Island that don’t have roadway access. Routes vary in nature from 15-minute, low-volume crossings such as Point Defiance–Tahlequah to the 3-hour Anacortes–Sidney, British Ferry Case Studies 59 Friday Harbor Lopez Shaw Orcas Anacortes Coupeville Port Townsend Kingston Bainbridge Island Bremerton Port Orchard Annapolis Southworth Seattle West Seattle Vashon Clinton Mukilteo Edmonds Fauntleroy Tahlequah Port Defiance Sidney Figure 5-12. Puget Sound ferry routes.

Columbia, route. The heaviest commuter routes are in the Central Puget Sound area: Seattle– Bainbridge Island, Edmonds–Kingston, and Mukilteo–Clinton. These routes comprise about 60 percent of WSF’s ridership. Table 5-16 shows WSF ferry route information. King County. King County runs two ferry routes under the water taxi branding. The two routes provide year-round commuter service from downtown Seattle to Vashon Island and West Seattle. In the summer, additional service is provided on the West Seattle route. The Vashon route, which was transitioned to King County in September 2009, is a commuter route operat- ing Monday through Friday with three runs in the morning and three in the evening. The West Seattle route, which transitioned to King County in-house operations in April 2010, runs 7 days a week during the summer, with service hours between 11 and 16 hours a day. 60 Guidelines for Ferry Transportation Services Table 5-16. Washington State ferry routes. Route Service Season Service Schedule Crossing Time Crossing Location Seattle– Bremerton Year-round Seattle: 6 a.m. to 12:50 a.m. Bremerton: 4:50 a.m. to 11:40 p.m. 60 min Puget Sound Seattle– Bainbridge Island a Year-round Seattle: 5:30 a.m. to 1:35 a.m. Bainbridge: 4:45 a.m. to 12:55 a.m. 35 min Puget Sound Edmonds– Kingston Year-round Edmonds: 5:45 a.m. to 1:00 a.m. Kingston: 5:05 a.m. to 12:20 a.m. 30 min Puget Sound Mukliteo/Clinton –South Whidbey Island Year-round Mukliteo: 5:05 a.m. to 2:00 a.m. Clinton: 4:40 a.m. to 1:30 a.m. 20 min Puget Sound Pt. Townsend– Coupeville Year-round Pt. Townsend: 6:30 a.m. to 8:30 p.m. Keystone : 7:15 a.m. to 9:15 p.m. 30 min Puget Sound Fauntleroy – Southworth/ Vashon a Year-round Fauntleroy: 4:25 a.m. to 2:10 a.m. Southworth: 4:30 a.m. to 1:30 a.m. Vashon: 4:05 a.m. to 1:20 a.m. Fauntleroy – Southworth: 40 min (30 min for direct route) Fauntleroy – Vashon: 20 min (45 min via Southworth) Puget Sound Southworth – Vashon a Year-round Southworth: 4:30 a.m. to 1:20 a.m. Vashon: 4:00–5:00 a.m. to 2:40 a.m. 10 min (50 min via Fauntleroy) Puget Sound Pt. Defiance– Tahlequah Year-round Pt. Defiance: 5:05 a.m. to 10:30 p.m. Tahlequah: 5:30 a.m. to 10:55 p.m. 15 min Puget Sound Anacortes–San Juan Islands– Sidney, BC Year-round Anacortes: 4:25 a.m. to 12:35 a.m.; one daily trip between Sidney/Anacortes Friday Harbor: 5:55 a.m. to 11:35 p.m.; one daily trip between Sidney/Anacortes San Juan Islands San Juan Islands a Route has a different weekday and weekend schedule. Only the weekday schedule is shown

The Vashon route has been operating at approximately 13,000 to 14,000 passengers a month. The West Seattle route monthly passenger totals vary dramatically between peak and non-peak seasons, with ridership during the summer of nearly 40,000 and considerably lower ridership during the commute-only winter season. The winter of 2010/2011 is the first winter that the West Seattle service provided service on weekdays and during commute periods only. King County does not own any park-and-ride locations. There is no parking at the downtown Seattle site, which is leased from, and adjacent to, WSF (see photo of ferries at downtown Seattle terminal in Figure 5-13). In Vashon, the ferry terminal is collocated next to the WSF terminal, where scheduled Metro buses meet ferry arrivals. In West Seattle, there is limited street parking adjacent to the ferry terminal. The terminal is supported by a shuttle service, which offers a reduced transfer for ferry passengers. Table 5-17 provides information on the King County ferry routes. Kitsap Transit. Kitsap Transit contracts out for service the two ferry routes from Bremer- ton. The two routes are relatively short—the Annapolis–Bremerton route takes between 5 and 7 minutes, and the Port Orchard–Bremerton route takes 12 minutes. Overall, the system carries 500,000 annually, although ridership has seen a decline during the recent economic downturn Ferry Case Studies 61 Figure 5-13. Washington State Ferry–downtown Seattle terminal. Table 5-17. King County ferry routes. Route Service Season Service Schedule Crossing Time Crossing Location Vashon– Downtown Seattle Year-round Weekday: 6:10 a.m. to 6:30 p.m. 22 min Puget Sound West Seattle– Downtown Seattle Seasonal: April to October M–Th: 6:50 a.m. to 7:10 p.m.a F: 6:50 a.m. to 11:00 p.m. Sa: 8:30 a.m. to 11:00 p.m. Su: 8:30 a.m. to 7:00 p.m. 15 min Puget Sound/Elliot Bay aThe Friday extended schedule is operated on weekday home game nights for the Mariners or Sounders.

(Interview with Kitsap Transit, April 21, 2010). Kitsap Transit is also undergoing planning efforts for a Bremerton–Downtown Seattle route that is discussed in more depth later in this case study. Kitsap Transit has over 3,000 park-and-ride spaces sprinkled throughout its service territory that service the ferry terminals. Most park-and-ride lots are not near the ferry terminal, with the closest being approximately 1 to 2 miles away. Scheduled bus services feed passengers from the park-and-ride lots to the ferry terminals. The park-and-ride lots are a mix of free and paid lots, with some shared parking in downtown Bremerton and other lots located within easy access of major arterials. Most of the park-and-ride lots are free, although there are plans for some lots to become pay lots, especially those located closer to the ferry terminals. Table 5-18 summarizes information about the Kitsap Transit ferry routes. Port of Kingston. Similar to the Kitsap Transit route connecting Bremerton and downtown Seattle, the route from the Kingston to downtown Seattle by the Port of Kingston is a restart of a failed ferry route that previously had been operated by a private company. That route closed after 9 months due to a spike in fuel prices, inappropriately-sized boats for the ridership, and a lack of revenue to recoup operating losses (Interview with Port of Kingston, April 15, 2010). New service between Kingston and downtown Seattle began in late 2010 and is sponsored by the Port of Kingston. The service operates during the commute period, Monday through Friday, commuter service, with one trip in each peak direction. The Port of Kingston expected a starting ridership of 80 passengers a day, with ridership increas- ing to 120 to 130 passengers a day after a year in service (Interview with Port of Kingston, April 15, 2010). The new route to downtown Seattle offers a more direct commute and time savings for com- muters. Many commuters currently drive or take the bus to Bainbridge Island and then transfer to the WSF ferry to downtown Seattle. This commuting route can often take longer than 60 minutes. The new ferry route offers a 45-minute crossing time without the transfer penalty. The Port of Kingston does have dedicated parking for its marina services, which are managed separately from passengers parking for the ferry terminal. The operating plan relies on most pas- sengers using Kitsap Transit buses or kiss-and-ride drop-offs for access to the ferry terminal. The Port of Kingston expects most passengers to arrive for the ferry service via Kitsap Transit bus or drop-offs (Interview with Port of Kingston, April 15, 2010). Table 5-19 shows Port Kingston ferry route information. Facility and Vessel Maintenance Washington State Ferries. WSF has 23 ferries in its fleet: 21 automobile-passenger ferries and two passenger-only ferries. Due to WSF’s financial situation in the past decade, vessel replacement 62 Guidelines for Ferry Transportation Services Route Service Season Service Schedule Crossing Time Crossing Location Port Orchard– Bremerton Year-round Port Orchard: 4:30 a.m. to 8:30 p.m. Bremerton: 4:45 a.m. to 8:45 p.m. 12 min Sinclair Inlet Annapolis– Bremerton Year-round Annapolis: 6:00 a.m. to 5:47 p.m. Bremerton: 6:07 a.m. to 6:00 p.m. 5 min Sinclair Inlet Bremerton– Downtown Seattlea Year-round To be determined 30 min Puget Sound aRoute under development Table 5-18. Kitsap Transit ferry routes.

and new vessel procurement has been delayed in favor of maintaining existing boats in order to maintain level of service. Even with the retirement of four 80-year-old vessels in 2007, WSF has four vessels over 50 years old, with an additional five vessels that are 44 years old. Only three ves- sels are less than 25 years old. Currently, WSF has three, new, small, 64-automobile boats on order that can carry loads of 750 passengers. While these boats will supplement the fleet, it costs $55 to $115 million per boat to replace aging vessels with 64- to 144-car ferries (Interview with Wash- ington State Ferries, November 2, 2009). Not all boats are interchangeable within the system, as some routes are fairly short while the international route to Sidney, British Columbia, requires a boat designed for open water with safety-of-life-at-sea features. Other issues make interchangeability difficult, such as the uneven distribution of ridership on routes throughout the system and route distance and crossing times. WSF acknowledges the need for a few specialty vessels of small or large size but is seeking to increase the number of intermediate-sized 144-car vessels in order to improve interchangeabil- ity and vessel assignment flexibility. King County. King County is currently leasing two boats for its two water taxi routes. The leases are for two 77-foot catamarans that carry 150 passengers. King County does not have a designated maintenance facility for its leased vessels, and all daily maintenance is conducted at Pier 50, the passenger-only dock leased from WSF. Boats are also tied up overnight at Pier 50. King County is working to build a maintenance and moorage barge that can moor away from the passenger dock for overnight tie-downs and provide dedicated maintenance facilities (Inter- view with King County Metro, April 14, 2010). Kitsap Transit. Kitsap Transit owns one boat, which is a historic boat that is the last remain- ing passenger vessel from the famed Mosquito Fleet. The historic boat operates on the Port Orchard run, with a carrying capacity of 149 passengers. Kitsap Harbor Tours provides another boat for the Annapolis run, which is being stretched to increase passenger capacity from 85 to 115. The new boat purchased for the run from Bremerton to downtown Seattle will have a capacity of 120 passengers (Interview with Kitsap Transit, April 21, 2010). The new boat, currently undergoing test runs, is a low-wake, partial hydrofoil that sits 18 inches above water and has a carbon fiber wing. The 120-passenger vessel cost $5.2 million and is designed to get through the narrow Rich Passage at 37 knots, to meet the designated 30-minute crossing time without causing shore damage or erosion (Interview with Kitsap Transit, April 21, 2010). The boat is constructed of composite and aluminum, reducing the boat’s weight, which results in minimum wake and wash and thus little impact on the shoreline. As part of its contract with Kitsap Transit, Kitsap Harbor Tours does all daily maintenance and cleaning on the boats for both ferry routes. Kitsap Transit pays for the twice-yearly haul- outs and Coast Guard inspections. Kitsap Transit anticipates continuing this practice for the new route as well. Fuel is purchased 3 days a week in bulk, although part of Kitsap Transit’s long-term plan is to build three fueling stations to provide for their own vehicles. Kitsap Transit would own the fueling stations and the distribution system, using small trucks to bring fuel to the terminal. Kitsap Transit is currently finishing an environmental impact statement (EIS) on storage tanks that can hold 12,000 gallons of fuel. By building a storage tank, Kitsap Transit can reduce its fuel Ferry Case Studies 63 Table 5-19. Port Kingston ferry routes. Route Service Season Service Schedule Crossing Time Crossing Location Kingston– Downtown Seattle Year-round To be determined 45 min Puget Sound

costs by 30 cents a gallon. The storage tanks would be built using American Recovery Investment Act funds (Interview with Kitsap Transit, April 21, 2010). Port of Kingston. The Port of Kingston recently purchased two new vessels, the Spirit of Kingston and the Victoria Express. The Spirit is a 5-year-old, 65-foot catamaran with a 150-passenger load capacity. The Victoria is a 30-year-old boat that functions as the reserve for when the Spirit is out of commission. The Spirit cruises at about 25 knots to make the 45-minute crossing, burning approx- imately 80 to 85 gallons of fuel an hour. When the Victoria is in service, she burns 50 gallons of fuel an hour but at a slower speed (Interview with Port of Kingston, April 15, 2010). The Port of Kingston anticipates conducting all daily maintenance and haul-outs within its marina facilities (Interview with Port of Kingston, April 15, 2010). Included with the purchase of the new vessels are extended warranties on boat engines with the manufacturer. Haul-outs for repair and maintenance will likely occur at Port Townsend, and the Port expects to solicit bids for contract with a yard to complete the required haul-out work. System Infrastructure Washington State Ferries. WSF has 20 ports of call in its system. The sizes and types of terminals vary depending on the route and ridership. The downtown Seattle Colman Dock, Bremerton, Bainbridge, and Anacortes terminals have indoor passenger waiting facilities while other terminals have smaller or no covered waiting areas. Overhead passenger loading is used at six terminals; at all other terminals, foot passengers walk onto the vehicle deck, which increases the time it takes to load and offload the vessel. Other terminals, such as the Sidney, British Columbia, terminal, require special facilities for handling immigration and waiting areas. For a system that carries millions of vehicles every year, WSF’s terminal capacity is a major issue, especially during peak times. WSF has worked on updating and expanding its vehicle reser- vation system to reduce the waiting time for passengers with cars and eliminate waiting queues that extend beyond the holding areas at the terminals. WSF is looking into incentives and pro- grams that will encourage passengers to ride during off-peak periods. King County. King County is currently leasing the three terminals that service its two routes. The downtown Seattle terminal, Pier 50, is leased from WSF, as well as the Vashon terminal. King County recently built a new dock at the West Seattle terminal in Seacrest Park, which is owned by the City of Seattle. King County has a long-term use agreement with the City of Seattle to use the dock there (Interview with King County Metro, April 14, 2010). Kitsap Transit. Kitsap Transit owns the floats in Bremerton and Port Orchard and recently spent $4.5 million in improvements at Bremerton to install a new ramp and improve the Amer- ican with Disabilities Act (ADA) accessibility at the passenger terminal. A new terminal in Port Orchard cost approximately $3 million with upgraded ADA ramps. Kitsap Transit has applied for federal funding to improve the ADA ramps at the terminal in Annapolis (Interview with Kitsap Transit, April 21, 2010). The proposed ferry from Bremerton to downtown Seattle would dock at Pier 50, which is owned by WSF. There is currently a two-sided float for passenger ferries; one side is being used by King County Water Taxi. Kitsap Transit is considering a longer-term arrangement at Pier 57, which is adjacent to the Seattle Aquarium and owned by the park district. The agreement to lease Pier 57 would be funded through parking improvements made at the pier (Interview with Kitsap Transit, April 21, 2010). Port of Kingston. The Kingston terminal is located at the Port of Kingston. The passen- ger terminal is a semi-temporary space of several shipping containers welded together. There are windows installed for some natural lighting. The long-term plan for the Kingston termi- 64 Guidelines for Ferry Transportation Services

nal is to add in post and beams for a new waiting area with doors (Interview with Port of Kingston, April 15, 2010). The ferry would dock at Coleman Dock in downtown Seattle, shar- ing space with King County Water Taxi and Kitsap Transit’s proposed ferry from Bremerton to downtown Seattle. Staffing Levels Washington State Ferries. WSF employs more than 1,800 people in its agency, including crew members, maintenance staff, and administrative staff. A typical boat is crewed by a captain who is assisted by a chief mate, a quartermaster, and a bridge officer (Interview with Washing- ton State Ferries, November 2, 2009). King County. King County is currently operating at minimum crew levels; each boat has one captain and two deckhands. There is a small engineering staff of two engineers and two oil- ers. There are five administrative staff positions. As the operation has just launched, use is made of other King County Department of Transportation staff’s administrative time and expertise, but those staff members are paid for from the ferry budget (Interview with King County Metro, April 14, 2010). Kitsap Transit. Kitsap Transit does not have a staff dedicated to the ferry service, although some staff members have dedicated workloads that affect ferry service. At Kitsap Transit, there is one staff member dedicated to watching budgets and overhead spending and that person is responsible for the One Regional Card for All (ORCA) program. The operations and daily main- tenance are handled through the contract with Kitsap Harbor Tours (Interview with Kitsap Transit, April 21, 2010). Port of Kingston. The Port of Kingston will have a full-time crew of three to four people and a part-time crew of three to four people to handle fill-in needs and private chartering events. An engineer and deckhand will handle all daily maintenance on the boat. The Port of Kingston also anticipates hiring three to four people as administrative support staff, although these posi- tions have yet to be filled (Interview with Port of Kingston, April 15, 2010). Financial Structure Released on a limited basis in April 2009, the ORCA card is a contactless stored-value smart card used for payment of public transit fares in the Puget Sound region. Now fully launched within the region, the smart card system is the result of an agreement between seven public transit agencies— Sound Transit, King County Metro, Community Transit, Everett Transit, Pierce Transit, Kitsap Transit, and WSF. ORCA has eliminated intersystem paper fare transfer, although each individual agency still maintains a paper ticket system. While many public transit users are ORCA card users or are familiar with the system, implementing ORCA can be a major financial investment for smaller transit agencies joining the system (ORCA website, accessed April 26, 2010). Fares Washington State Ferries. WSF fares are divided into numerous categories, which are sum- marized in Table 5-20. There are differences in price for automobiles less than 20 feet long and less than 7.5 feet in height and automobiles less than 20 feet long and over 7.5 feet in height. Fares also increase per each additional 10 feet in automobile length. A peak season surcharge is applied to cover the costs of additional service and staff during the summer months, which is defined as May through October. WSF is planning the future rollout of an online registration system to manage demand, especially demand by passengers with vehicles during the peak season. The reservation system is seen as a mechanism to shift passenger demand and travel times to off-peak or slightly off-peak time periods Ferry Case Studies 65

since passengers know instantly if they can reserve a space on the boat. Instant information has also reduced somewhat the long queues that used to extend far beyond terminal waiting areas at some terminals. King County. The King County Water Taxi accepts cash (exact change) or the ORCA card for payment of fares. The King County Ferry District implemented the ORCA card system on its ferries. While the implementation cost is borne by the ferry district’s budget, it can use techni- cal assistance through King County Metro. Approximately 80 percent of the riders on the Vashon route use the ORCA card (Interview with King County Metro, April 14, 2010). By comparison, the West Seattle route handles many cash fares, with cash or tickets representing between 60 percent and 70 percent of the fares during the summer season. Fares are collected at the gangway, using a cash box for exact fare (no change is made) and portable ORCA card readers. Route fares are shown in Table 5-21. Kitsap Transit. Kitsap Transit is one of the original agencies to implement the ORCA card. The system has been installed in approximately 95 percent of the Kitsap Transit vehicles, includ- ing the ferries (Interview with Kitsap Transit, April 21, 2010). While most of the ORCA infrastruc- ture is in place, Kitsap Transit estimates that it will take approximately 20 years to earn back the 66 Guidelines for Ferry Transportation Services Table 5-20. WSF ferry route fares. Route Walk-on Automobile Bicycle Fare Peak Season Fare a Fare Peak Season Fare a Fare Peak Season Fare a Under 20 ft 20 ft to 80 ft Under 20 ft 20 ft to 80 ft Seattle– Bremerton $3.45 to $6.90 $3.45 to $6.90 $10.10 to $11.85 $17.80 to $94.80 $13.10 to $14.85 $22.30 to $118.80 $1.00 $1.00 Seattle– Bainbridge Island a $3.45 to $6.90 $3.45 to $6.90 $10.10 to $11.85 $17.80 to $94.80 $13.10 to $14.85 $22.30 to $118.80 $1.00 $1.00 Edmonds– Kingston $3.45 to $6.90 $3.45 to $6.90 $10.10 to $11.85 $17.80 to $94.80 $13.10 to $14.85 $22.30 to $118.80 $1.00 $1.00 Mukliteo/ Clinton–South Whidbey Island $2.05 to $4.10 $2.05 to $4.10 $5.95 to $7.00 $10.50 to $56.00 $7.70 to $8.75 $13.15 to $70.00 $1.00 $1.00 Pt. Townsend– Keystone $1.30 to $2.65 $1.30 to $2.65 $7.80 to $9.15 $13.75 to $73.20 n/a n/a $0.50 $0.50 Fauntleroy – Southworth/ Vashon a $3.20 to $4.45 $3.20 to $4.45 $12.95 to $15.20 $22.80 to $121.60 $16.75 to $19.00 $28.50 to $152.00 $1.00 $1.00 Southworth – Vashon a $3.20 to $4.45 $3.20 to $4.45 $12.95 to $15.20 $22.80 to $121.60 $16.75 to $19.00 $28.50 to $152.00 $1.00 $1.00 Pt. Defiance– Tahlequah $3.20 to $4.45 $3.20 to $4.45 $12.95 to $15.20 $22.80 to $121.60 $16.75 to $19.00 $28.50 to $152.00 $1.00 $1.00 Anacortes–San Juan Islands– Sidney, BC Fares vary from $6.70 to $17.50 for walk-on passengers and from $12.50 to $41.90 for standard automobiles, depending on trip length and destination. a Peak Season runs from May 1 through October 31. Table 5-21. King County ferry route fares. Route Cash Fare Transit Pass Senior Fare Youth Fare Vashon–Downtown Seattle $4.50 $3.75 $2.00 $2.75 West Seattle–Downtown Seattle $3.50 $3.00 $1.50 $2.25

capital cost of installing the system (Interview with Kitsap Transit, April 21, 2010). Despite the huge capital costs, Kitsap Transit believes that ORCA offers regional customer convenience and that Kitsap Transit’s integration into the regional transit system is a benefit to both customers and the agency. Route fares are shown in Table 5-22. Port of Kingston. The Port of Kingston is working to implement the ORCA system on its new ferry boats. Kitsap Transit is providing technical assistance to the Port of Kingston with installation of the ORCA system and advice regarding the purchase of infrastructure to imple- ment the system. Port of Kingston fares are shown in Table 5-23. Funding Sources Washington State Ferries. Funding for WSF comes through the state legislature. Histori- cally, WSF had dedicated tax funding through two sources: (1) the Motor Vehicle Excise Tax (MVET), which was the primary source of revenue, providing 20 percent of WSF’s operating funds and 75 percent of its capital funds, and (2) a portion of gas tax money (Interview with Washington State Ferries, November 2, 2009). In 2000, the MVET was eliminated by the Wash- ington State Legislature subsequent to a voter initiative in 1999. At this point, WSF lost its main source of dedicated tax revenue. In 2002, voters rejected Referendum 51, which would have provided $720 million for new fer- ries, terminals, and maintenance and service preservation. The state later approved two trans- portation packages that included $300 million for ferry vessel and terminal construction and $200 million over 16 years for ferry projects; however, the funding in these packages did not match the funding levels that Referendum 51 would have provided nor did it make up for the loss of the MVET. Washington state is provided with a dedicated $5 million annually from the Ferry Boat discretionary fund and also competes for other federal funds; however, the need is much greater (Washington State Transportation Commission, 2009). Since then, WSF has continued service through a combination of service reductions and fare hikes and deferred maintenance and vessel replacement. WSF’s capital program has been back- filled on a biennium basis from transfers from the highway side of WSDOT, which has to defer road projects that otherwise would have been built. The aging fleet and stepped-up hull inspec- tions resulted in deferred maintenance, leading to several unanticipated service interruptions. Rising fuel prices have raised the cost of operations and simultaneously depressed ridership and fare revenue. Although fuel costs have moderated in recent months, they remain a major point of uncertainty (Washington State Transportation Commission, 2009). A combination of rising fares, increased service disruptions, increased telecommuting, long- term elasticity of higher fares, and eliminated routes has led to decreasing ridership throughout Ferry Case Studies 67 Table 5-22. Kitsap Transit ferry route fares. Route Fare Port Orchard–Bremerton $2.00 regular/$1.00 reducedAnnapolis–Bremerton Table 5-23. Port of Kingston ferry route fares. Route Fare Port of Kingston–Downtown Seattle To be determined (estimates of $1.00–$15.00) Bicycles (estimate $3.00)

the WSF system. Between 1987 and 1999, WSF saw a 50-percent increase in ridership, from 18 million passengers to 27 million passengers annually (Washington State Transportation Commission, 2009). Ridership began dropping after 1999, first because of service cuts and then because of major fare increases—20 percent in 2001, 12.5 percent in 2002, and then an average of 5 to 6 percent from 2003–2006. Ridership had dropped about 10 percent by 2006, stabilized, and then dropped again in 2007 and 2008 due to service disruptions, high gasoline prices, and the economic downturn. By 2009, ridership had fallen from 27 million to around 22.5 million passengers annually (Interview with Washington State Ferries, November 2, 2009). Due to the severity of the funding crisis faced by WSF, the state legislature commissioned Long- Term Ferry Funding Study: Ferry Funding Recommendations Final Report (Washington State Transportation Commission, 2009) to evaluate strategies for meeting WSF’s long-term funding needs, as described in its Long-Range Plan, and to evaluate “state, regional, or local” funding options. The study’s findings and recommendations were released in September 2010. They include the following: • Finding: Long-term capital funding is the most critical need. • Finding: Ferry fares are not a viable source of capital funding. – Recommendation: Increase ferry fares and other operating revenues to close operating funding gap. • Finding: Challenges to local funding districts are substantial. – Recommendation: Use fare increases in lieu of local tax funding while leaving the option open for the future. • Finding: A statewide source is the most feasible means of meeting long-term capital needs of the WSF system. – Recommendation: Fund long-term capital needs with vehicle excise or similar tax. – Recommendation: Set state tax rate to allow elimination of administrative transfers. King County. In 2008, the King County Ferry District Board of Directors enacted a new property tax levy of five and a half cents on every $1,000 of assessed property value. The levy was intended to cover the operating and capital costs of the two existing ferry routes plus the addi- tion of demonstration routes outlined in the business plan created by the ferry district. As the effects of the recession hit during 2009, the Ferry District, whose board of directors is the nine members of the King County Council, reduced the levy to a level approximating one-third of one cent for every $1,000 in property tax and redirected the difference toward shoring up King County Metro’s budget (Interview with King County Metro, April 14, 2010). The reduction in the levy amount drastically changed the Ferry District’s outlook for implementing its business plan as originally developed, with the 2010 work plan limiting operations to only two routes. Currently, the Ferry District has three sources of revenue: the property tax levy, farebox recov- ery, and federal grants. The ferries do not currently have any concessions onboard, mainly due to short trip times that are not conducive to food and drink sales. The Ferry District is, however, looking into opportunities for concessions at the terminals or on the vessels. Kitsap Transit. Kitsap Transit provides a range of transit services throughout Kitsap County in addition to its passenger-only ferry service. The two existing routes between Port Orchard and Bremerton and Annapolis and Bremerton are operated and maintained by a privately contracted company, Kitsap Harbor Tours, LLC. Kitsap Transit owns one boat, and the private operator provides one boat for service. Due to the relatively short route distances for each of the ferry routes, operating costs are absorbed through the overall Kitsap Transit budget. Kitsap Harbor Tours runs the boats and provides daily maintenance for the boats and the ter- minals. Crew member wages are set within the contract, and all major maintenance haul-outs 68 Guidelines for Ferry Transportation Services

are conducted by Kitsap Transit. The contract has a 5-year term, with the option to add an addi- tional 5 years when Kitsap Harbor Tours sells Kitsap Transit its boat (Interview with Kitsap Tran- sit, April 21, 2010). Kitsap Transit is currently undergoing planning and environmental studies for a new ferry route between Bremerton and downtown Seattle. The new route was previously operated by WSF, but due to environmental concerns and civil litigation, the route was discontinued in 2003. Kitsap Transit will be restarting the route under their oversight and has secured $5.2 million in federal grants to build a new low-wake boat. While the federal grants cover the capital costs for ves- sel procurement, there is no guaranteed operating funding stream yet available. Kitsap Transit is awaiting the opportunity to bring a bond measure before voters that will likely be a large trans- portation package that includes Kitsap Transit’s funding needs. Kitsap Transit estimates that the new route will require an additional $5 to $6 million to operate. The agency does not anticipate a bond being put forth before the voters before 2012 (Interview with Kitsap Transit, April 21, 2010). Port of Kingston. The Port of Kingston is newly entering the ferry transit business, having never before operated a ferry route service. The Port of Kingston received a $3.5 million FTA grant that stipulated use toward purchasing vessels for future ferry service. In a 2010 interview, The Port of Kingston reported that it was developing its operating budget prior to service com- mencing in October 2010. Prior to starting service in October 2010, the Port planned to charter out its two vessels for the summer of 2010, by which the Port expected to generate a revenue stream of $400,000 to $500,000 to help fund the 2010–2011 operating budget (Interview with Port of Kingston, April 15, 2010). The Port anticipated that most of its operating revenue would be generated through a number of different sources including private boat chartering, route revenue, and advertising revenue. From the federal grant, the Port of Kingston purchased the Spirit of Kingston for $2.5 million and the Victoria Express for $650,000 (Interview with Port of Kingston, April 15, 2010). The monies left over from the purchase of the two ferry vessels, as well as the revenue generated from private boat charters prior to scheduled ferry service, are being applied to future operating budgets. Planning Issues Environmental and Regulatory Issues Washington State Ferries. WSF has been investigating various ways of reducing energy and fuel consumption. It has experimented with biofuels as an alternative fuel source as well as a means to reduce air emissions. WSF has also installed energy-efficient engines and fuel injectors to reduce fuel consumption. Operationally, slowing vessels down and operating vessels on fewer engines where possible is another tactic for conserving fuel. King County. King County performed a high-level environmental assessment when it restarted the water taxi service from Vashon Island to downtown Seattle. The vessels that King County has leased for this service generally create a smaller wake and consume less fuel than the vessels previously used on the route (Interview with King County Metro, April 14, 2010). Some environmental analysis was required at the terminals, but since this service was already in place, the Ferry District does not have to contend with any new water-based issues. King County is currently exploring the use of biodiesel, but is unsure what the cost or oper- ating implications are. King County will continue to investigate the best way to incorporate biodiesel into its fueling program. King County has secured several federal grants for new vessel design and construction for the two routes being served. The new vessel will be able to take advantage of new technologies to Ferry Case Studies 69

reduce fuel consumption and emissions, thereby reducing the carbon footprint associated with this service. Kitsap Transit. Kitsap Transit used the opportunity for restarting the route from Bremer- ton to downtown Seattle to research what was the most appropriate vessel for the route. The research considered fueling options such as biodiesel, natural gas, hydrogen fuel cells, and ultra- low-sulfur fuel. Natural gas and hydrogen fuel cells were eliminated as options because the boat needed to go faster than these fuels would allow. The research also considered hovercraft, but these boats burn 120 gallons of fuel an hour, which was too costly for Kitsap Transit (Interview with Kitsap Transit, April 21, 2010). Ultimately, the research pointed to hydrofoils, which are more lightweight and have good fuel economy. During its research efforts, Kitsap Transit found that there were a number of institutional drawbacks for advancing new technologies. Because some technologies are not yet mature, they cannot be tested by operators, and sometimes regulators are uncomfortable with new technolo- gies (Interview with Kitsap Transit, April 21, 2010). Land Use Issues Land use development around the various ferry terminals in the Puget Sound area is incon- sistent and is dependent on the individual nature of each community. Ferry terminals are located in both very urban locations, such as downtown Seattle, and rural areas where dense develop- ment is unlikely to occur. In West Seattle, the area is fairly built-out, so there is less capacity for centralized dense development. Vashon has remained a semi-rural area despite having an estab- lished ferry service for years. In downtown Bremerton, Kitsap Transit has invested approxi- mately $50 million, with $40 million spent on a new ferry terminal and $10 million spent on a new administrative building. Condominiums and activity centers have also been developed. The recent economic downturn has slowed down development, although interest remains high in the area. Emergency Response All of the operators are part of the larger regional emergency response plan. Some of the indi- vidual agencies, such as Kitsap Transit, play a large role in the county’s emergency plan. The spare boat and a spare barge would be used to evacuate residents from Bainbridge Island and also to provide emergency connections. In the event of a collapsed bridge, Kitsap Transit would also pro- vide emergency connections between East Bremerton and West Bremerton. Each of the agencies reports a good working regional coordination relationship, which fosters open communication and information sharing among the different transit operators, both land- and water-based operators. This working relationship is evident in other regional collaborations, such as the ORCA card and in efforts to increase transit coordination between modes, especially ferries and buses. Most operators, aside from WSF, operate vessels with a capacity for 150 passengers or less. This is a deliberate decision by operators to avoid Department of Homeland Security regulations for operating vessels with a capacity for 150 or more passengers. For terminals, Coleman Dock is mandated to have a security plan in place, which also applies to King County and the Port of Kingston since they lease docking space there. In addition to security planning, WSF must comply with immigration regulations due to the international route to Sidney, British Columbia. All passengers who disembark in Sidney must carry appropriate documentation to go through customs. The ferry is mandated to wait until all passengers have cleared customs before returning to Anacortes. If a passenger fails to clear cus- toms, WSF must take the passenger back. The terminal in Sidney must also accommodate an 70 Guidelines for Ferry Transportation Services

additional waiting area for customs, making its passenger waiting space larger than passenger waiting areas in other WSF terminals. Hawaii Superferry Project Quickfacts Ferry Case Studies 71 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) Hawaii Superferry Highway– Ferry Essential 1 1 Not operating Not operating n/a History Inter-island ferry service in Hawaii was not a new idea when the Hawaii Superferry was con- ceived in 2001. A study prepared in 1973, before introduction of the three SeaFlite hydrofoils in 1975, listed 22 studies completed between 1956 and 1970 that addressed the economics of and demand for an inter-island ferry (Department of Planning and Economic Development, State of Hawaii, 1973). The SeaFlite hydrofoils operated from 1975 to 1978, but eventually they were sold due to their unreliability and uncomfortable service during rough weather (Cataluna, December 23, 2005). The 1973 study identified secondary effects associated with inter-island service, including parking and roadway congestion in the vicinity of terminals, impacts to the inter-island cargo market, and social impacts from increased travel and tourism. The study concluded that a com- prehensive approach to ferry planning was needed, as were contingencies to address issues result- ing from changes to interstate travel, impacts to recreational facilities, and redistribution of pop- ulation and economic activity (Department of Planning and Economic Development, State of Hawaii, 1973). An issue that arose during SeaFlite operations, but was not cited in the 1973 study, was concern that the ferries could harm whales. No inter-island ferry service was operating in 2001 when the Hawaii Superferry concept was developed. High-speed ferry service from an Oahu hub with planned connections to the islands of Maui, Kauai, and the Big Island of Hawaii (the Big Island) was seen as a competitive alterna- tive to flying that would also allow vehicular movement between the islands. Organizational Structure Hawaii Superferry, Inc., registered as a corporation with the Hawaii Department of Com- merce and Consumer Affairs in September 2002. Discussion with U.S. DOT’s Maritime Admin- istration (MARAD) regarding loan guarantees for vessel financing also started in 2002. Publicity describing the proposed service first appeared in mid 2003. The business model for operations required capture of 7 percent of the inter-island market (1,500 passengers daily) in order to be profitable, with a target of 10 percent of the inter-island market (Natarajan, June 13, 2003). Operational Structure Hawaii Superferry, Inc., registered as a private Hawaiian corporation in 2002. In May 2009, Hawaii Superferry, Inc., declared bankruptcy. Its main assets, the two vessels, were taken into receivership by MARAD.

System/Service Routes Hawaii Superferry, Inc., planned service from an Oahu hub to the islands of Maui, Kauai, and the Big Island. Actual service included one trip to Kauai and a total of 11 months of operations to Maui (see Figure 5-14). A second vessel intended for service to the Big Island was launched in September 2008. However, delivery of the second vessel, targeted for March 2009, was postponed in 2008 due to the uncertain business climate (Pacific Business News, October 28, 2008). Service ended in March 2009, before the second vessel was delivered. The Hawaii Superferry system was designed to compete with, and provide an alternative to, the airline systems as a means of public transport among the Hawaiian Islands. The ferry system was also meant to provide a means for vehicular traffic among the islands and an alternative method for moving high-value freight. In addition, according to the draft environmental impact statement developed for the project by the Hawaii DOT (Department of Transportation, State of Hawaii, 2008), the system was expected to be beneficial to public health and safety by provid- ing superior marine transportation to help with disaster planning and emergencies. Facility and Vessel Maintenance The first ferry, the Alakai, was designed without an onboard vehicle loading ramp, a decision that triggered the need for loading barges for the Oahu, Maui, and Big Island harbors and a ramp on Kauai. It is unclear why the Alakai was built without a vehicle loading ramp, given that a stern load- ing ramp was included in the design of the second vessel, the Huakai, which was intended for ser- 72 Guidelines for Ferry Transportation Services Figure 5-14. Hawaii Superferry routes.

vice to the Big Island and despite the fact that similar ferries, including the Spirit of Ontario, which visited Hawaii in March 2004, had onboard vehicle loading ramps (Leidemann, March 6, 2004). The Hawaii DOT’s original position, as expressed by a spokesman in 2003 and outlined in a May 21, 2004, letter to Hawaii Superferry, Inc., was that the Hawaii DOT was not responsible for providing loading ramps and operational equipment for a private ferry service (Department of Transportation, State of Hawaii, 2008). The Hawaii DOT was concerned that providing loading equipment, which it had not provided for any other harbor users, would set a precedent, open- ing demands for similar equipment. After initial resistance, the Hawaii DOT agreed to build temporary, barge-supported loading ramps, at a cost of $38.5 million to the state. Hawaii Superferry, Inc., told the Hawaii DOT that MARAD, as a term of the loan guarantee, had imposed a June 30, 2005, deadline to settle all envi- ronmental issues (Auditor, State of Hawaii, December 2008). There is no evidence that MARAD had in fact set such a deadline. However, in order to meet the perceived deadline, the Hawaii DOT adopted the $38.5 million system of temporary loading structures in the belief that such a temporary system would be exempt from environmental review. The Hawaii DOT preferred per- manent structures, but under state law, permanent structures automatically require environ- mental review, a process that would not meet the June 30, 2005, deadline. The Hawaii DOT’s December 2005 finding that the temporary barges were exempt from environmental review would later be overturned by the Hawaii Supreme Court. The Hawaii Senate, in regular session in April 2005, rejected a bill to provide the Hawaii DOT with $40 million in funding for Superferry-specific harbor improvements. Instead, the monies were appropriated through general obligation bonds of $20 million for each of the fiscal years 2006 and 2007. The Harbor Division of the Hawaii DOT then awarded a $38.5 million contract for construc- tion of barges and ramps in China, which meant that, under the Jones Act provisions, if the barges and ramps were not needed, they could not be reused for shipping purposes in the United States. It is significant that the change in design for the second ferry to include a vehicle loading ramp rendered obsolete the $10 million (of $38.5 million) that the Hawaii DOT spent on infrastruc- ture for the Big Island’s Kawaihae Harbor. If both vessels had been built with onboard vehicle loading ramps, the cost of harbor improvements at the four harbors would have been much smaller, and the issue of environmental review triggered by use of state money for a private proj- ect would not have arisen. The vessels were constructed in Mobile, Alabama, at a cost of $95 million. Both the Alakai, used on the Maui service, and the Huakai, intended for Big Island service, have the capacity to carry 866 passengers and 282 compact cars (or 28 trucks and buses plus 65 cars) at 37 knots. The Alakai— 353 feet long by 78 foot beam (107.7 meters by 23.8 meters) with 12 foot (3.65 meter) draft—has no onboard loading ramp. The Huakai, at 369 feet long (113 meters), is 20 feet longer due to a stern quarter bi-fold vehicle loading ramp designed for a 42-metric-ton truck. (Austal, 2008) Staffing Levels Hawaii Superferry, Inc., had a staff of 308 (Segal, 2007). Founding President and CEO, John Garibaldi, was replaced by Thomas Fargo, who became president and CEO in April 2008. Financial Structure Fares A variable fare schedule with higher rates for summer season and weekend service was used. Promotional $39 one-way fares were also offered in spring 2008 in an attempt to increase rider- ship. Representative fares are provided in Table 5-24. Ferry Case Studies 73

Funding Sources Major funding sources for Hawaii Superferry, Inc., included a federally guaranteed loan of $140 million from ABN-AMRO Bank and $71 million in equity financing from J. F. Lehman & Co. (Associated Press, October 29, 2005). Norwest Equity Partners also provided private equity, so that, combined with the equity from J. F. Lehman, $237 million in debt and equity financing was available to Hawaii Superferry, Inc. (Reilly, December 2, 2005). Numerous Hawaii companies invested smaller amounts, including $1 million from Maui Land and Pineapple Company, Inc., and $0.5 million from Grove Farm Kauai (Segal, 2004). A list of Hawaii Superferry’s 30 largest creditors and equity security holders appeared in the May 30, 2009, bankruptcy filing. For the ferry service to break even, each vessel had to operate at 50-percent capacity (i.e., on average, carry 433 passengers and 142 cars). However, the service usually operated at well below 50-percent capacity. Ridership in spring 2008 was approximately 25 percent of capacity. Promo- tional fares were offered in the spring and fall of 2008. In July 2008, even though ridership had increased 40 percent over June’s ridership to average 390 passengers and 99 vehicles per day, it was still below the break-even point (Pacific Business News, August 4, 2004). The service report- edly carried a total of 250,000 passengers during its 11 months of operation. Planning Issues Environmental and Regulatory Issues The allocation of federal funds for private, project-specific activities such as vessel construc- tion and allocation of state funds for private, project-specific activities such as harbor improve- ments typically would trigger environmental review of the project. The Hawaii DOT’s opinion that use of federal and state funds for the Superferry service, a private project, did not require environmental review opened the door to legal challenges. In January 2005, Hawaii Superferry, Inc., signed a loan guarantee from MARAD for $139.7 mil- lion to support securing funds for Austal USA to construct two vessels. Condition X of the MARAD agreement contained preconditions requiring confirmation from Hawaii Superferry, Inc., that no environmental assessment (EA) of harbor improvements would be required before the agreement could be finalized 1 year later (Auditor, State of Hawaii, April 2008). MARAD was concerned that environmental issues could jeopardize port access. MARAD, as a federal agency, could have requested to be the federal lead for an environmen- tal review under the National Environmental Policy Act (NEPA). However, Condition X of the loan guarantee indicated that MARAD was prepared, in effect, to delegate its federal review authority to the state and accept that state environmental findings on harbor improvements alone were sufficient for the project. However, the state was taking the position that state fund- ing for harbor improvements was exempt from environmental review. Given MARAD’s delega- tion of its federal review authority to the state, the state’s position implied that MARAD accepted that review of the impacts of federal funding for the vessels, outside of harbor improvements, was unnecessary. 74 Guidelines for Ferry Transportation Services September to June July to August One-way Passenger One-way Car/SUV One-way Passenger One-way Car/SUV Oahu to Maui $42.00 (T–Th) $52.00 (F–M) $55.00 (T–Th) $65.00 (F–M) $52.00 (T–Th) $62.00 (F–M) $59.00 (T–Th) $69.00 (F–M) Table 5-24. Hawaii Superferry passenger fares.

A Sierra Club editorial in the Honolulu Advertiser in March 2005 summarized the issues fac- ing the Hawaii Superferry (Keith, 2005): • An Environmental Impact Statement (EIS) is required based on at least four criteria: – Use of federal funds ($140 million MARAD loan guarantee). – Use of state funds ($38.5 million for project specific harbor improvements). – Use of state lands. – Use of shoreline area. • Impacts to Kahului Harbor in Maui and traffic impacts near the harbor. • Transport of invasive species between islands by vehicles. These issues were the basis of a lawsuit filed in Maui in March 2005 by three private groups asserting that an EIS was required. The suit was rejected in August by the Maui Circuit Court, as was a second suit filed in September 2005. However, a third suit, focusing specifically on potential impacts to Kahului Harbor in Maui, filed by the three groups in Maui District Court in January 2006, was found to have merit. This case was heard by the Hawaii Supreme Court, which ruled in August 2007 that the state DOT was incorrect in not requiring an environmen- tal impact assessment for Kahului Harbor improvements, as the DOT did not consider second- ary impacts. The response of Hawaii Superferry, Inc., was to begin ferry operations from Oahu to Kauai and Maui with the Alakai a few days earlier than planned, before the courts could act, and offer a special $5 fare (approximately one-tenth of the planned $52 one-way passenger, $59 one-way vehicle fares). This tactic was not received well in Kauai, where protesters physically delayed the first ferry trip to Kauai and turned back the second trip the next day. Based on a decision by the United States Coast Guard that it would be unable to ensure passenger safety, service to Kauai did not resume. There were no equivalent protests in Maui. In response to the August 23, 2007, Hawaii Supreme Court ruling, the Maui Circuit Court issued an injunction that stopped the Hawaii Superferry service to Maui on September 14, 2007, and ordered preparation of an EIS, which the DOT then started. A government audit of the Hawaii Act 2 legislation and environmental review process for Hawaii Superferry was performed by the Hawaii State Auditor in 2008 (Leidemann, March 6, 2004; Auditor, State of Hawaii, April 2008). Key findings of the Phase I, April 2008 report were the following: • Faced with too little time and opposition from Hawaii Superferry, Inc., the state DOT aban- doned efforts to prepare an environmental review of harbor improvements needed to accom- modate the ferry service. • Flawed Hawaiian EIS laws and rules allowed the Hawaii DOT to invoke its own exemption list and ignore requests for environmental review. Key findings of the Phase II, December 2008 report were the following: • For Hawaii Superferry, Inc., the Hawaii DOT reversed long-standing policy of not providing pier-side equipment for harbor users. • Flawed or unclear Hawaiian EIS laws and rules allowed the Hawaii DOT to pay little attention to secondary or cumulative effects. • Based on a deadline imposed by Hawaii Superferry, Inc., Hawaii DOT implemented temporary harbor improvements consisting of barges and ramps that were not DOT’s preferred solution. • The state-funded $38.5 million of harbor improvements have been problematic, with the Maui barge and pier incurring more than $3 million in damages. • Fitting the second vessel with a loading ramp eliminated the need for a $10 million barge-and- ramp system built for the Big Island harbor and a $2.5 million ramp for the Kauai harbor. Ferry Case Studies 75

• If Hawaii Superferry retrofitted the Alakai with a loading ramp, the entire $38.5 million spent on harbor improvements for Hawaii Superferry would have been unnecessary. • Legislation on behalf of Hawaii Superferry, Inc., compromised the state’s environmental laws and put the interests of a single business before the state’s environmental, fiduciary, and pub- lic safety responsibilities. A range of potentially significant environmental issues associated with operations of the Hawaii Superferry were raised by various interested parties. Some of the issues were reflected in the DOT EIS (Pacific Business News, October 28, 2008); however, that document specifically focused on the state harbor improvements rather than on the entire service. The broader range of potential issues included the following: • Impacts to harbor cargo-handling capacity, particularly due to displacement of existing oper- ations by the loading barge-ramps. • Incremental (cumulative) impacts by ferry operations in addition to proposed cruise ship service. • Traffic impacts at the harbors during ferry loading and unloading and cumulative impacts if docking occurred during peak hours or at noon. • Impacts to existing recreational activities in harbors. • Collision-related impacts to protected species, including whales, dolphins, and sea turtles. • Vessel acoustics that could affect whales. • Transport of invasive species between islands, either on the wheels of recreational vehicles or through inter-island movement of produce. • Air quality impacts from vessel emissions. • Impacts to cultural traditions (sites and practices) in the harbor areas including the Pu’ukohola Heiau National Historic Park. The level of political support provided for the Superferry project was strong. In late October 2007, the Governor called a special 5-day legislative session specifically to address the Supreme Court’s decision requiring an EA of the Hawaii Superferry operations. During the session, the state senate and state house passed a bill to allow “large-capacity ferry vessels” to operate between ports in Hawaii while an EA (or EIS) was being prepared. On November 5, 2007, the Governor signed the bill into law under the name of Act 2, Second Special Session. Based on the new law, on November 14, 2007, the Maui Second Circuit Court lifted the injunction, allowing ferry oper- ations to restart. On December 13, 2007, Hawaii Superferry, Inc., resumed service to Maui after approximately 1 month of delays to make repairs to the loading barge in Kahului Harbor, Maui. A tug was brought in to assist in holding the loading barge in place during rough weather. However, main- tenance issues continued to impact service—cracks were found in the aluminum rudder and hull on the Alakai. The ferry went in for maintenance in February 2008 and remained out of service for almost 2 months. Service resumed in April. Questions regarding the scale of the service reemerged after service resumed. During the first week of service, the ferry carried 150 to 300 passengers and 40 to 100 vehicles each way (Segal, 2007). Ridership in the spring was approximately 25 percent of vessel capacity, well below the break-even point. Promotional $39 one-way passenger and $55 one-way vehicle fares were offered through June 2008. In July 2008, even though ridership increased 40 percent over June’s ridership to an average of 390 passengers and 99 vehicles per day, it was still below the 50-percent break-even point (Pacific Business News, August 4, 2004). In August, discounts to farmers and shippers were offered, and during September and October, promotional $49 one-way passenger fares were again offered (Pacific Business News, August 28, 2008; Pacific Business News, September 5, 2008). 76 Guidelines for Ferry Transportation Services

Meanwhile, in response to Act 2, project opponents in Maui had announced that a new legal challenge would be mounted. This challenge came in February 2008 when the three Maui groups (Sierra Club, Maui Tomorrow, and Kahului Harbor Coalition) presented a case to the Hawaii Supreme Court asserting that the special Act 2 legislation was created for a single private entity, Hawaii Superferry, Inc., and was therefore illegal. In December 2008, the Hawaii Supreme Court heard the legal challenge that the Act 2 law, which was allowing Hawaii Superferry, Inc., to oper- ate while DOT prepared an EIS, was unconstitutional. The lawsuit asserted that the legislature could only act through general laws (in order to avoid sweetheart deals for single entities) and that the state could not make an irrevocable grant of special privileges (Supreme Court of Hawaii, 2009; DePledge, 2008). The court did not indicate a schedule for a ruling. In January 2009, the draft EIS prepared by the DOT addressing direct, secondary, and cumu- lative impacts of harbor improvements was released (Department of Transportation, State of Hawaii, 2008). The report, validating the concerns of project opponents, found that the service would adversely impact cultural resources at the harbors, would result in significant impacts to road traffic in the vicinity of harbors and to natural resources, and would impact recreational activities in the harbors. On March 16, 2009, the Hawaii Supreme Court ruled that the special Act 2 legislation (passed in October 2007 to allow preparation of an EIS while ferry service continued) was unconstitu- tional, as asserted by the plaintiffs. Hawaii Superferry, Inc., stopped operations and made a final trip on March 19, 2009. With no cash flow, Hawaii Superferry, Inc., declared bankruptcy in May, and bankruptcy was granted in June 2009. As part of the bankruptcy settlement, MARAD took possession of both high-speed ferries. It is obvious from this case study that a high level of organized legal opposition to a transporta- tion project, including lawsuits during the planning process, cannot be considered a harbinger of future success. It is not unusual for suits to be filed that challenge the process or findings of a federal or state environmental assessment after it has been prepared. In such cases, if documen- tation is available showing that environmental law and processes have been followed, there is a reasonable chance of a challenge being rejected. Unfortunately, in the case of the Hawaii Super- ferry, not following required environmental review procedures opened the plan to legal chal- lenges that ultimately were upheld. Land Use Issues The system planning for the ferry service did not include public explanation of ridership demand or optimization of vessel size based on predicted demand. A decision was made not to go public with the plans until the feasibility was clear (Lynch, 2003). Continuing reticence to share planning decisions or to initiate environmental review, combined with announcements of federal funding for other harbor improvements, led to a public perception that the ferry service was a private deal developed behind closed doors to support expansion of military activity on the islands (Pacific Business News, January 13, 2004). Public concerns regarding environmental issues emerged quickly, particularly regarding traffic impacts at harbors and the potential for the large, high-speed ferries with a 12-foot draft to hit and kill whales. Hawaii Superferry’s decision to use large vessels (107.7 meters long) was reportedly based on the failure of jetfoils in the mid 1970s because they were perceived to be too small to provide com- fortable service during rough weather (DePledge, 2008). Hawaii Superferry, Inc., described a strat- egy to avoid whales in October 2003 (Pendleton, 2003). Skeptics questioned both the practicality of the proposed avoidance procedures and use of unproven whale-detection technology. The concern over whale strikes dominated public dialogue; environmental benefits that the ferry might have generated did not become part of the public debate, mainly because the normal Ferry Case Studies 77

process for introducing environmental issues into the public dialogue—environmental documentation—was sidestepped. As a result, fuel use per passenger, which can lead to large carbon savings over conventional air travel, did not enter the public discussion. Table 5-25 com- pares the per-passenger fuel consumption of the Austral 107 (the vessel used in the Hawaii Superferry service) to that of a Boeing 737 (the predominant interisland vehicle) and a some- what smaller Austral 72 ferry. Both ferries used about 30 percent less fuel per passenger than the Boeing 737, assuming similar occupancy factors. The decision of Hawaii Superferry, Inc., to start construction of vessels before full financing was in place created pressure to truncate the system planning and environmental review process in order to get the Superferry into service quickly so that it could generate income to meet sched- uled vessel payments. The financial situation of Hawaii Superferry, Inc., set the stage for later confrontation over environmental and transparency issues. The construction order removed the flexibility to accommodate planning delays resulting from public questions or reservations about the system. Very few transportation projects avoid some form of schedule delay. A clear lesson learned from this case study is that early commitment to private debt or equity financing for vessels (or facilities) before environmental documentation and permits are in place should be avoided. NEPA regulations specifically require an environmental review be concluded before “irreversible and irretrievable commitment of resources” to avoid this exact situation. Ide- ally, the environmental process can be used to bolster the business case—to develop realistic rid- ership estimates as well as operating and capital costs—leading to the project sponsors not just identifying impacts, but also providing financial backers with a unified, complete analysis of risks and rewards. Financial commitments place constraints on a project’s schedule and make delay an obvious tactic if there are opponents, independent of the merit of opposing concerns. British Columbia Ferry System Quickfacts 78 Guidelines for Ferry Transportation Services Table 5-25. Per passenger fuel consumption comparison. Vehicle Fuel Consumption (gal/hr) Passenger Capacity Half Capacity Travel Time (hr) Fuel Consumption per Passenger Full (gal/passenger) Fuel Consumption per Passenger half (gal/passenger) Austral 107 1,750 866 433 3.5 7.1 14.2 Austral 72 1,150 620 310 3.5 6.5 13.0 Boeing 737 (200-800) 1,500 150 75 1 10 20 Operator Service Category # of Routes # of Vessels Annual Passengers Annual Vehicles Fleet Age (years) British Columbia Ferry Services, Inc Highway– Ferry Essential 25 37 21.8 million 8.5 million 2–50 History British Columbia ferry services have operated for more than 150 years. Ferry service between Vancouver Island and the Vancouver area started in the mid 1800s and was initially operated by the Hudson’s Bay Company. By 1901, Canadian Pacific Railway had taken over ferry service

across the Strait of Georgia and continued transporting passengers and vehicles on the 5-hour journey between downtown Vancouver and downtown Victoria until the 1960s. In the 1950s, Black Ball Line, which also operated ferries in Puget Sound, began service between West Van- couver and Nanaimo, as well as routes to the Sunshine Coast and Jervis Inlet south of Powell River (“Before BC Ferries,” accessed July 1, 2010). In the late 1950s, the provincial government assumed management and operation of the ferry system, and, in June 1960, the new British Columbia Toll Authority Ferry System (BC Ferries) began operations with two vessels operating on the route between Swartz Bay (Victoria) and Tsawwassen (Vancouver). At Tsawwassen, a 2-mile-long causeway, artificial island, and ferry terminal were built. In the first year of operation, service was profitable and reliable. As a result, the ferry system expanded and started service to other small coastal communities. To keep up with demand, BC Ferries built more vessels, many of them in its first 5 years of operation. Initially, private competition continued in parallel to BC Ferries service, with Black Ball pro- viding service from Horseshoe Bay to Nanaimo and Horseshoe Bay to Langdale. The province bought out Black Ball in 1961, acquiring five of its vessels, and also acquired five small vessels of the Gulf Islands Ferry Company. Canadian Pacific continued to operate ferry service, but in 1962 reduced its services on the Vancouver–Nanaimo route, eventually downsizing to freight-only services. As passenger numbers continued to increase, BC Ferries increased capacity through the “stretch and lift” program. In 1970, four vessels were cut down the middle so that an 84-foot midsection could be “spliced” in. Five years later, vessels were hauled back into dry dock and sliced horizontally. The two halves were separated from each other, and a new upper car deck was slid into place. In 1985, BC Ferries assumed operations of the saltwater branch of British Columbia’s Min- istry of Transportation and Highways, which ran ferry services to very small coastal communi- ties. BC Ferries’ fleet and its geographical service area increased. In the mid 1990s, the provincial government decided to use BC Ferries to advance its goal of supporting British Columbia’s shipbuilding industry by building a “PacifiCat class” fleet of custom-designed, high-speed catamaran ferries for BC Ferries, with the eventual goal of exporting additional vessels on the international market. The three vessels were built by local shipyards from 1995 to 2000 under the supervision of a new provincial Crown corporation. They had a service speed of 37 knots (68 km/h). The PacifiCats were commissioned between 1998 and 2000. They were intended to improve BC Ferries service between Horseshoe Bay (on the mainland) and the Departure Bay (in Nanaimo). However, the program was afflicted with construction cost overruns, late deliv- ery, and operational and capacity shortcomings. The ships were operated briefly and then sold in 2003 to a private buyer, the Washington Marine Group (BC Ferries website, accessed July 1, 2010). The PacifiCat experience resulted in a write-down of a $400 million (CAD) investment in the PacifiCat ferries, and is often referred to as the “Fast Ferry Scandal.” The PacifiCat experience led to institutional changes at BC Ferries. Organizational Structure In April 2003, BC Ferries was transformed from a Crown (government) corporation into an independent, commercial organization subject to the British Columbia Business Corporations Ferry Case Studies 79

Act and is now officially British Columbia Ferry Services, Inc. (BC Ferries). The sole shareholder of BC Ferries is the B.C. Ferry Authority, which in turn is a no-share capital corporation created under the British Columbia Coastal Ferry Act. BC Ferries’ routes and service levels are defined in the Coastal Ferry Services Contract between the Province of British Columbia and BC Ferries. The contract, originally signed in 2003, is a binding 60-year agreement that is reviewed and updated at regular intervals (perfor- mance terms). The first renewal of the Coastal Ferry Services Contract was completed on June 30, 2007, for performance term two (April 1, 2008 to March 31, 2012). The intent of the change for Crown corporation to independent commercial organization was summarized by the Chair of the outgoing Crown corporation in its final annual report: As a Crown corporation, BC Ferries was very much dependent upon government for everything from rate-setting to vessel construction and spending priorities. Capital investments were approved within the short-term rotation of government fiscal priorities rather than adhering to a long-term business model that is required for a service of this magnitude. In addition, each decision was directly influenced by the politics of the day. This problem . . . seriously inhibited the Corporation’s ability to operate in a businesslike manner. With a major capital replacement program needed to upgrade or replace older vessels in the fleet and improve terminal infrastructure, a new model was required to access outside financing to make these necessary investments. . . . Every option was seriously considered: from retaining status quo for the taxpayer-supported Crown corporation model to outright privatization of the service. The option that was selected is the optimal solution. It is best described as a commercial model governed by an independent authority that meets the objective of creating a modern, safe and reliable ferry system that will provide improved service and greater customer choice while protecting British Columbia taxpayers from further financial risk and debt burden (Interview with Len Rouche, formerly of BC Ferries, April 2010). The BC Ferry Commission, an independent agency established under the Coastal Ferry Act, regulates BC Ferries fares and service levels. The Coastal Ferry Act directs the Commission to follow six principles in protecting the public interest. These principles serve to define what is meant by the public interest in the provision of coastal ferry services: • Priority is to be placed on the financial sustainability of the ferry operators; • Ferry operators are to be encouraged to adopt a commercial approach to ferry service delivery; • Ferry operators are to be encouraged to seek additional or alternative service providers on des- ignated ferry routes through fair and open competitive processes; • Ferry operators are to be encouraged to minimize expenses without adversely affecting their safe compliance with core ferry services; • Cross subsidization from major routes to other designated ferry routes is (i) to be eliminated within the first performance term of the first Coastal Ferry Services Contract to be entered into under this Act, and (ii) before its elimination, to be minimized; • Designated ferry routes are to move towards a greater reliance on a user pay system so as to reduce, over time, the service fee contributions by the government. Operational Structure System/Service Routes BC Ferries has the largest ferry fleet in North America (37 vessels) and carries slightly fewer passengers than Washington State Ferries (BC Ferries carries about 21.8 million passengers annually). Service operates daily, with more than 500 departures each day (see Figure 5-15 for a map of BC Ferries routes). 80 Guidelines for Ferry Transportation Services

The three most heavily patronized routes are Tsawwassen–Swartz Bay, Tsawwassen–Duke Point, and Horseshoe Bay–Departure Bay. These routes operate with no subsidy, including the cost of their capital. Service is daily. BC Ferries also operates three northern routes: Port Hardy–Prince Rupert, Port Hardy– Bella Bella/Shearwater/Bella Coola/Klemtu/Ocean Falls, and Prince Rupert–Skidegate (Queen Charlotte Islands). Service on the Inland Passage operates every other day. Service to the Queen Charlotte Islands operates 6 days per week, and service from Port Hardy to Bella Bella and Shearwater operates 3 days per week in the summer. These services are subsidized by the Province. The balance of BC Ferries’ routes is categorized as “other” with three subcategories: Northern Gulf Islands, Mainland/Vancouver Island/Sunshine Coast, and Southern Gulf Islands. The Northern Gulf Routes are • Buckley Bay–Denman Island • Denman Island–Hornby Island • Campbell River–Quadra Island • Quadra Island–Cortes Island Ferry Case Studies 81 Figure 5-15. BC Ferries route network.

• Port McNeill–Alert Bay–Sointula • Powell River–Comox • Powell River–Texada Island The Mainland/Vancouver Island/Sunshine Coast routes are • West Vancouver–Sunshine Coast (Horseshoe Bay–Langdale) • Sechelt Peninsula–Powell River (Earls Cove–Saltery Bay) • Bowen Island–Vancouver (Snug Cove–Horsehoe Bay) • Langdale–Gambier Island–Keats Island • Saanich Inlet Route • Brentwood Bay–Mill Bay The Southern Gulf Islands routes are • Bowen Island–Horseshoe Bay • Nanaimo Harbour–Gabriola Island • Chemainus–Thetis Island–Kuper Island • Salt Spring/Vesuvius–Crofton • Salt Spring/Fulford–Victoria • Mayne–Galiano Island (Sturdies Bay) • Mayne–Pender Island (Otter Bay) • Mayne–Saturna Island (Lyall Harbour) • Mayne–Tsawwassen • Mayne–Swartz Bay Note that some routes are double-counted as the vessels make several stops. Service on the other routes category generally operates daily throughout the year. Facility and Vessel Maintenance BC Ferries operates 37 vessels on 25 routes serving 47 terminals. All of the vessels are owned by BC Ferries, and the terminals are operated by the company under a long-term lease with the British Columbia Transportation Financing Authority. Nine of the smaller routes are operated under contract with alternative service providers. All ferries are RO-RO vessels. The vessels are a mix of large ferries (including three “Coastal” class, 160-meter vessels that carry 1,650 passengers and 370 vehicles and are the world’s largest double-end ferries) and small, 16-vehicle ferries operating on coastal inlets. The fleet ranges in age from small vessels that are more than 50 years old to the 2-year-old Coastal class vessels. In addition, the BC Ferries capital program includes regular upgrades and midlife rebuilds for the existing fleet. Over the last 5 years, BC Ferries has added seven new vessels and plans to purchase two, new, smaller vessels over the next 3 years. All vessels are designed for a 45-year life with major upgrades and overhauls at quarter, half, and three-quarter life periods. (See Figures 5-16 and 5-17 for photos of BC Ferries vessels.) The recently completed Coastal class project can be considered a best practice and stands in contrast to the PacifiCat experience of the mid 1990s. BC Ferries commissioned the PacifiCat project, which involved building three large fast catamarans to operate between Vancouver and Vancouver Island. BC Ferries intended for the new vessels to operate at higher speeds and thus provide the same number of trips with fewer vessels. The program was also intended to provide new jobs within British Columbia’s maritime industry. The PacifiCat project ran over budget and behind schedule, and the actual vessel speed increase was not great enough to reduce fleet requirements. The province eventually terminated the project and sold the three vessels at a large loss (Interview with BC Ferries, June 2010). 82 Guidelines for Ferry Transportation Services

Despite cancelling the PacifiCat project, BC Ferries still needed new vessels for the Vancouver– Vancouver Island service. The new management of BC Ferries opted for an inclusive stake- holder consultation process combined with a private-sector, design-build model, with impres- sive results. The vessels built as a result of this process are part of the Coastal class boats now in operation. In the stakeholder process, management was able to include a large number of industry user and operator ideas on ship design. BC operators were also consulted, and the project managers learned what worked well for the people who work on the ship. One commenter noted that “the cooks designed the galleys,” and as a result the new vessels have a high employee acceptance (Interview with BC Ferries, June 2010). Early in the process, management at BC Ferries decided to use the design-build approach, where broad specifications were given to bidders, but the designer and builder had the final Ferry Case Studies 83 Figure 5-16. BC Ferries with open automobile deck. Figure 5-17. BC Ferry operating in the Strait of Georgia.

responsibility to deliver the product as agreed. This approach resulted in a high degree of cer- tainty on product, price, and schedule. As a result, BC Ferries was solicited by world-class ship designers and builders and was able to access the global market for the best product and most efficient shipbuilder. Even with a 25-percent Canadian duty on foreign ships, the German- built Coastal class vessels still cost less than a comparable home-built vessel, and BC Ferries was able to use the savings to purchase an additional vessel (BC Ferries Fare Index, accessed June 2010). BC Ferries staff believes that accessing the most commercially viable options allows the com- pany to save money and pass on the savings to its passengers. Staffing Levels The ferry system has more than 2,800 full-time maritime workers, plus 1,700 casual (on-call) employees. All unionized employees are members of the BC Ferry & Marine Workers’ Union (BC Ferries website, accessed July 1, 2010). The company also has another 350 administrative employees. Many of BC Ferries’ ships are licensed by Transport Canada to operate at different crewing levels, depending on the number of passengers on board. Transport Canada sets the number of crew members required for a certain number of passengers mainly according to their estimate of how many crew members would be required for a prompt and efficient evacuation of the ship in case of an emergency. As an example, the vessel on the Comox–Powell River route can carry a maximum of 659 passengers, provided there are 25 crew members (“A” License). The maxi- mum load is reduced to 324 if there are only 18 crew members (“B” License) (BC Ferries web- site, accessed July 1, 2010). BC Ferries provides career and management development programs. Safety and security are major initiatives, and the company works to train crews for emergency situations from passen- ger security training to evacuation drills. Financial Structure Fares BC Ferries’ 25 routes have multiple fare tariffs (all dollar amounts given in the “Financial Structure” section are CAD). The three routes from Vancouver to Vancouver Island have the following tariff structure (BC Ferries Fare Index, accessed June 2010): • Pedestrian—$14 ($7 for children and passengers with disabilities) • Vehicle Tariffs (always in addition to the pedestrian fare) – Bicycle—$2 – Motorcycle—$23.40 – Vehicle and/or other combination less than 20 feet—$46.75 – Vehicle and/or other combination longer than 20 feet—$5.25 per foot additional – Buses—$3.75 per foot Other routes have similar tariff structures. Note the following range of fares: • Pedestrian—from $5.20 for Gulf Island service to $170 for service to Port Hardy • Vehicle Tariffs (always in addition to the pedestrian fare) – Bicycle—from $2 to $5 – Motorcycle—from $5.70 to $23.40 – Vehicle and/or other combination less than 20 feet—from $11 to $400 – Vehicle and/or other combination longer than 20 feet—from $33 per foot additional – Buses—from $1.55 to $23 per foot 84 Guidelines for Ferry Transportation Services

Discount rates are available to groups of 16 or more fare-paying passengers travelling together on foot or in a vehicle licensed to carry 16 or more passengers (e.g., a bus) on the following routes: • Tsawwassen–Swartz Bay • Tsawwassen–Duke Point • Horseshoe Bay–Departure Bay • Tsawwassen–Gulf Islands • Prince Rupert–Port Hardy • Port Hardy–Mid Coast • Prince Rupert–Skidegate Fare Discounts. BC Ferries provides several fare discount programs. These include prepaid fares via the BC Ferries Experience Card, available on several routes for loading a minimum amount of money to the card (the Vancouver to Vancouver Island service does not receive a dis- count). In addition, four routes use prepaid paper ticket books. BC Ferries also uses peak/off-peak tariffs, and these rate changes cover mid-week discounts as well as less expensive off-season rates. British Columbia senior residents can travel free (pedestrian only) Monday through Thurs- day, excluding five peak or holiday days. Operating Expenses. BC Ferries has expenses of about $570 million annually. These expenses include about $335 million in operations, about $89 million in maintenance, about $50 million in administration, about $30 million for the cost of goods sold on ships, and about $66 million in amortization. Interest expenses result in expense of another $34 million. In 2008, BC Ferries had total revenues including government payments and subsidies, of about $640 million. Retained earnings (the company is not-for-profit) were about $37 million (British Columbia Ferry Services, Inc./BC Ferries Authority, 2008). Funding Sources BC Ferries’ unique operating structure contributes to an equally unique financing arrangement. Every route charges a fare and in total, about two-thirds of the operating and capital cost of the service is derived from fares. Ancillary services (such as food and beverage) contribute 9 percent to service operations, with the balance obtained from provincial and federal subsidies. Under the Coastal Ferry Act, the province enters into contracts for the operation of ferries on specified ferry routes. So far, BC Ferries is the only ferry operator that has such a contract with the province. The primary feature of the contract is a commitment by BC Ferries to provide a defined number of “core” sailings on each of 25 “designated” routes. The province’s key com- mitment is to pay BC Ferries a “service fee” (currently on 22 of the 25 routes) for each sailing. During the contract term, BC Ferries must meet or exceed specified core service levels in rela- tion to designated ferry routes. The Coastal Ferry Services Contract specifies routes and core service levels per route (hours of operation, minimum capacity, and frequency and number of trips), subject to an allowance for short-term, temporary service disruptions. In return, the province pays BC Ferries for the provision of services. About one-third of BC Ferries’ annual budget comes from government payments. The pay- ments will approach about $125 million in Fiscal Year 2011/12. There are three categories of government payments: • Ferry Transportation Fees. These fees subsidize 22 unprofitable routes in smaller markets and to avoid cross subsidization from the three major (profitable) routes (which receive no ferry transportation fee). Ferry Case Studies 85

• Social Program Reimbursement. This approximately $12-million payment provides a reim- bursement to BC Ferries for toll discounts established by the province and given to students, seniors, people with disabilities and those who qualify for the medical travel assistance program. • Unregulated Route Fee. This fee provides about $2 million in annual funding for unregulated routes through a flow-through for private operators. Each route’s expenses include both operating and capital costs. The BC Ferry Commission reviews BC Ferries’ rates to ensure that BC Ferries is reimbursed for operating expenses, admin- istrative expenses, and the amortized cost of capital facilities and vessels. The Vancouver–Vancouver Island services represent about 60 percent of BC Ferries’ total rev- enue and operate with no government subsidy. In 2007–2008, more than 11 million passengers used these services, and the services carried almost 4 million vehicles. Users generated about $104 mil- lion in passenger fares, $182 million in vehicle tariffs, and $64 million in onboard services (food, beverage, etc.). Parking, reservation, and other fees generated another $20 million in revenues. The northern routes have a farebox recovery of about 34 percent (and represent about 8 per- cent of total cost). In 2007–2008, these routes carried about 100,000 passengers and almost 34,000 vehicles. The northern routes generated about $17 million (CAD) in passenger/vehicle revenues and received a subsidy of about $33 million. The other routes represent about one-third of BC Ferries’ service and cover about half of their costs through the fares and tariffs. In 2007–2008, this route group carried about 10.4 million pas- sengers and 4.6 million vehicles and generated about $31 million in passenger fares and more than $51 million in vehicle tariffs. These routes also generated about $12 million in other ancil- lary revenues (British Columbia Ferry Services, Inc./BC Ferries Authority, 2008). Planning Issues Environmental and Regulatory Issues At BC Ferries, environmental and cost containment issues intersect at fuel efficiency. The company has a commitment to reducing greenhouse gas emissions and saving money. For the last 7 years, BC Ferries has reduced its annual fuel consumption with two-thirds of the fleet being repowered. As a result, BC Ferries has seen a 35- to 40-percent reduction in fuel consumption. The organization is also cleaning hulls and has added new propellers and rudders to reduce drag and the power required to maintain scheduled speed. The largest vessels have not been repowered, but the engines have been rebuilt. As a result, lube oil consumption was reduced by two-thirds and emissions were also reduced. BC Ferries is also using operational procedures to reduce fuel consumption. On-time departures mean less engine idling and lower fuel consumption in addition to contributing to better safety and on-time arrivals. There is now a 5-minute “cut-off” for passengers to board and a 10-minute “cut- off” for vehicles. BC Ferries is also using technology to reduce fuel and other operational costs. GPS-enabled piloting identifies the routes with the best environmental conditions and results in optimized power for sailing. These advanced piloting techniques and technologies result in a 5- to 6-percent fuel savings. Currently, 5 percent of BC Ferries’ fuel supply is biodiesel. This percentage will likely increase to 10 percent as the biodiesel portion of the fuel supply increases. Only ultra-low sulfur fuel is used. BC Ferries is also considering natural gas vessels for its smaller routes and could even convert one of its routes to a cable ferry. These additional measures could result in a further 20- to 30-percent reduction in fuel consumption (Interview with BC Ferries, June 2010). 86 Guidelines for Ferry Transportation Services

Other environmental initiatives include replacing ground transportation vehicles with fuel- efficient and lower emission vehicles as well as using propane and electrically powered baggage vans and service vehicles. The company has also replaced chemical cleaning and maintenance with “greener” products, including a de-icing product that is less corrosive than road salt. Recycling is also an important priority. Each week BC Ferries composts almost one ton of compostable material and recycles everything from cardboard to used cooking oil. Land Use Issues As with other highway-oriented and rural ferry systems, BC Ferries provides critical access for isolated communities and is the “highway” for many communities. The main land use impact of the BC Ferries system is to provide access to communities in much the same way a highway provides access. On the most intensely travelled routes between Vancouver and Vancouver Island, terminals tend to be large, with staging areas and adjacent parking. Reflecting the historical growth of the ferry service, terminals are located in areas where water crossings made the most sense. The Tsawwassen, Horseshoe Bay, Swartz Bay, Duke Point, and Departure Bay terminals all are located some distance from primary land uses (Swartz Bay is about 25 miles from Victoria, and Duke Point and Departure Bay flank Nanamio). Some of the smaller ferry services do terminate in the traditional town centers. The operating and funding scenario for BC Ferries limits access to smaller communities. Since the provincial ferry transportation fee is fixed, any additional increase in service or change in vessel capacity needs to be reflected in higher fares. While the financing system was designed to bring accountability and transparency to BC Ferries’ financing and service allocation, some of the smaller, ferry-dependent communities consider themselves “abandoned” (Interview with BC Ferries, June 2010). The service levels don’t increase, vessels tend not to be replaced, and vessel sizes aren’t increased because that would end up reflected in higher fares. As a result, one of the traditional aspects of transportation—creating land value by being a loss leader—is limited to the existing provincial financial support levels. Emergency Response Safety and response is a high priority at BC Ferries. The company developed a security plan in 2007, and, as a result of the 2010 Olympics, new measures concerning physical security as well as new procedures and baggage handling were implemented. The company is fully compliant with the International Ship and Port Facility Security (ISPS) Code. Crew training is conducted regularly. Training includes about 14,000 annual training days and about 1,300 training days for marine evacuation systems. In addition, all ships have Voyage Data Recorders (black boxes). Ferry Case Studies 87

TRB’s Transit Cooperative Research Program (TCRP) Report 152: Guidelines for Ferry Transportation Services examines the history and characteristics of ferry systems throughout North America and offers guidelines for planning, marketing, operating, and managing a ferry system as a component of an overall transportation network.

The report also explores the potential benefits of and impediments to ferry transportation services and identifies potential planning, operational, and management benchmarks.

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How to Write a Case Study: A Breakdown of Requirements

It can take months to develop a case study. First, a topic must be chosen. Then the researcher must state his hypothesis, and make certain it lines up with the chosen topic. Then all the research must be completed. The case study can require both quantitative and qualitative research, as well as interviews with subjects. Once that is all done, it is time to write the case study.

Not all case studies are written the same. Depending on the size and topic of the study, it could be hundreds of pages long. Regardless of the size, the case study should have four main sections. These sections are:

1. Introduction

2. Background

3. Presentation of Findings

4. Conclusion

The Introduction

The introduction should set the stage for the case study, and state the thesis for the report. The intro must clearly articulate what the study's intention is, as well as how you plan on explaining and answering the thesis.

Again, remember that a case study is not a formal scientific research report that will only be read by scientists. The case study must be able to be read and understood by the layperson, and should read almost as a story, with a clear narrative.

As the reader reads the introduction, they should fully understand what the study is about, and why it is important. They should have a strong foundation for the background they will learn about in the next section.

The introduction should not be long. You must be able to introduce your topic in one or two paragraphs. Ideally, the introduction is one paragraph of about 3-5 sentences.

The Background

The background should detail what information brought the researcher to pose his hypothesis. It should clearly explain the subject or subjects, as well as their background information. And lastly, the background must give the reader a full understanding of the issue at hand, and what process will be taken with the study. Photos and videos are always helpful when applicable.

When writing the background, the researcher must explain the research methods used, and why. The type of research used will be dependent on the type of case study. The reader should have a clear idea why a particular type of research is good for the field and type of case study.

For example, a case study that is trying to determine what causes PTSD in veterans will heavily use interviews as a research method. Directly interviewing subjects garners invaluable research for the researcher. If possible, reference studies that prove this.

Again, as with the introduction, you do not want to write an extremely long background. It is important you provide the right amount of information, as you do not want to bore your readers with too much information, and you don't want them under-informed.

How much background information should a case study provide? What would happen if the case study had too much background info?

What would happen if the case study had too little background info?

The Presentation of Findings

While a case study might use scientific facts and information, a case study should not read as a scientific research journal or report. It should be easy to read and understand, and should follow the narrative determined in the first step.

The presentation of findings should clearly explain how the topic was researched, and summarize what the results are. Data should be summarized as simply as possible so that it is understandable by people without a scientific background. The researcher should describe what was learned from the interviews, and how the results answered the questions asked in the introduction.

When writing up the report, it is important to set the scene. The writer must clearly lay out all relevant facts and detail the most important points. While this section may be lengthy, you do not want to overwhelm the reader with too much information.

The Conclusion

The final section of the study is the conclusion. The purpose of the study isn't necessarily to solve the problem, only to offer possible solutions. The final summary should be an end to the story.

Remember, the case study is about asking and answering questions. The conclusion should answer the question posed by the researcher, but also leave the reader with questions of his own. The researcher wants the reader to think about the questions posed in the study, and be free to come to their own conclusions as well.

When reading the conclusion, the reader should be able to have the following takeaways:

Was there a solution provided? If so, why was it chosen?

Was the solution supported with solid evidence?

Did the personal experiences and interviews support the solution?

The conclusion should also make any recommendations that are necessary. What needs to be done, and you exactly should do it? In the case of the vets with PTSD, once a cause is determined, who is responsible for making sure the needs of the veterans are met?

English Writing Standards For Case Studies

When writing the case study, it is important to follow standard academic and scientific rules when it comes to spelling and grammar.

Spelling and Grammar

It should go without saying that a thorough spell check should be done. Remember, many case studies will require words or terms that are not in standard online dictionaries, so it is imperative the correct spelling is used. If possible, the first draft of the case study should be reviewed and edited by someone other than yourself.

Case studies are normally written in the past tense, as the report is detailing an event or topic that has since passed. The report should be written using a very logical and clear tone. All case studies are scientific in nature and should be written as such.

The First Draft

You do not sit down and write the case study in one day. It is a long and detailed process, and it must be done carefully and with precision. When you sit down to first start writing, you will want to write in plain English, and detail the what, when and how.

When writing the first draft, note any relevant assumptions. Don't immediately jump to any conclusions; just take notes of any initial thoughts. You are not looking for solutions yet. In the first draft use direct quotes when needed, and be sure to identify and qualify all information used.

If there are any issues you do not understand, the first draft is where it should be identified. Make a note so you return to review later. Using a spreadsheet program like Excel or Google Sheets is very valuable during this stage of the writing process, and can help keep you and your information and data organized.

The Second Draft

To prepare the second draft, you will want to assemble everything you have written thus far. You want to reduce the amount of writing so that the writing is tightly written and cogent. Remember, you want your case study to be interesting to read.

When possible, you should consider adding images, tables, maps, or diagrams to the text to make it more interesting for the reader. If you use any of these, make sure you have permission to use them. You cannot take an image from the Internet and use it without permission.

Once you have completed the second draft, you are not finished! It is imperative you have someone review your work. This could be a coworker, friend, or trusted colleague. You want someone who will give you an honest review of your work, and is willing to give you feedback, whether positive or negative.

Remember, you cannot proofread enough! You do not want to risk all of your hard work and research, and end up with a final case study that has spelling or grammatical errors. One typo could greatly hurt your project and damage your reputation in your field.

All case studies should follow LIT – Logical – Inclusive – Thorough.

The case study obviously must be logical. There can be no guessing or estimating. This means that the report must state what was observed, but cannot include any opinion or assumptions that might come from such an observation.

For example, if a veteran subject arrives at an interview holding an empty liquor bottle and is slurring his words, that observation must be made. However, the researcher cannot make the inference that the subject was intoxicated. The report can only include the facts.

With the Genie case, researchers witnessed Genie hitting herself and practicing self-harm. It could be assumed that she did this when she was angry. However, this wasn't always the case. She would also hit herself when she was afraid, bored or apprehensive. It is essential that researchers not guess or infer.

In order for a report to be inclusive, it must contain ALL data and findings. The researcher cannot pick and choose which data or findings to use in the report.

Using the example above, if a veteran subject arrives for an interview holding an empty liquor bottle and is slurring his words; any and all additional information that can be garnered should be recorded. For instance, what the subject was wearing, what was his demeanor, was he able to speak and communicate, etc.

When observing a man who might be drunk, it can be easy to make assumptions. However, the researcher cannot allow personal biases or beliefs to sway the findings. Any and all relevant facts must be included, regardless of size or perceived importance. Remember, small details might not seem relevant at the time of the interview. But once it is time to catalog the findings, small details might become important.

The last tip is to be thorough. It is important to delve into every observation. The researcher shouldn't just write down what they see and move on. It is essential to detail as much as possible.

For example, when interviewing veteran subjects, there interview responses are not the only information that should be garnered from the interview. The interviewer should use all senses when detailing their subject.

How does the subject appear? Is he clean? How is he dressed?

How does his voice sound? Is he speaking clearly and making cohesive thoughts? Does his voice sound raspy? Does he speak with a whisper, or does he speak too loudly?

Does the subject smell? Is he wearing cologne, or can you smell that he hasn't bathed or washed his clothes? What do his clothes look like? Is he well dressed, or does he wear casual clothes?

What is the background of the subject? What are his current living arrangements? Does he have supportive family and friends? Is he a loner who doesn't have a solid support system? Is the subject working? If so, is he happy with the job? If he is not employed, why is that? What makes the subject unemployable?

Case Studies in Marketing

We have already determined that case studies are very valuable in the business world. This is particularly true in the marketing field, which includes advertising and public relations. While case studies are almost all the same, marketing case studies are usually more dependent on interviews and observations.

Well-Known Marketing Case Studies

DeBeers is a diamond company headquartered in Luxembourg, and based in South Africa. It is well known for its logo, "A diamond is forever", which has been voted the best advertising slogan of the 20 th century.

Many studies have been done about DeBeers, but none are as well known as their marketing case study, and how they positioned themselves to be the most successful and well-known diamond company in the world.

DeBeers developed the idea for a diamond engagement ring. They also invented the "eternity band", which is a ring that has diamonds going all around it, signifying that long is forever.

They also invented the three-stone ring, signifying the past, present and future. De Beers was the first company to attribute their products, diamonds to the idea of love and romance. They originated the idea that an engagement ring should cost two-months salary.

The two-month salary standard is particularly unique, in that it is totally subjective. A ring should mean the same whether the man makes $25,000 a year or $250,000. And yet, the standard sticks due to DeBeers incredible marketing skills.

The De Beers case study is one of the most famous studies when it comes to both advertising and marketing, and is used worldwide as the ultimate example of a successful ongoing marketing campaign.

Planning the Market Research

The most important parts of the marketing case study are:

1. The case study's questions

2. The study's propositions

3. How information and data will be analyzed

4. The logic behind what is being proposed

5. How the findings will be interpreted

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

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

How the information will be analyzed will depend on what the topic is. This would vary depending on whether it was a person, group, or organization. Event and place studies are done differently.

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

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

2. Procedures for gathering information and conducting interviews.

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

4. A guide for the final case study report.

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

1. Documents and archival records

2 . Interviews

3. Direct observations (and indirect when possible)

4. Indirect observations, or observations of subjects

5. Physical artifacts and tools

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

Developing the Case Study

Developing a marketing case study follows the same steps and procedures as most case studies. It begins with asking a question, "what is missing?"

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

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

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

4. What tools are required to analyze the problem? Is data analysis necessary? Can the study use just interviews and observations, or will it require additional information?

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

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

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

Formulating the Marketing Case Study

1. What is the marketing problem? Most case studies begin with a problem that management or the marketing department is facing. You must fully understand the problem and what caused it. That is when you can start searching for a solution.

However, marketing case studies can be difficult to research. You must turn a marketing problem into a research problem. For example, if the problem is that sales are not growing, you must translate that to a research problem.

What could potential research problems be?

Research problems could be poor performance or poor expectations. You want a research problem because then you can find an answer. Management problems focus on actions, such as whether to advertise more, or change advertising strategies. Research problems focus on finding out how to solve the management problem.

Method of Inquiry

As with the research for most case studies, the scientific method is standard. It allows you to use existing knowledge as a starting point. The scientific method has the following steps:

1. Ask a question – formulate a problem

2. Do background research

3. Formulate a problem

4. Develop/construct a hypothesis

5. Make predictions based on the hypothesis

6. Do experiments to test the hypothesis

7 . Conduct the test/experiment

8 . Analyze and communicate the results

The above terminology is very similar to the research process. The main difference is that the scientific method is objective and the research process is subjective. Quantitative research is based on impartial analysis, and qualitative research is based on personal judgment.

Research Method

After selecting the method of inquiry, it is time to decide on a research method. There are two main research methodologies, experimental research and non-experimental research.

Experimental research allows you to control the variables and to manipulate any of the variables that influence the study.

Non-experimental research allows you to observe, but not intervene. You just observe and then report your findings.

Research Design

The design is the plan for how you will conduct the study, and how you will collect the data. The design is the scientific method you will use to obtain the information you are seeking.

Data Collection

There are many different ways to collect data, with the two most important being interviews and observation.

Interviews are when you ask people questions and get a response. These interviews can be done face-to-face, by telephone, the mail, email, or even the Internet. This category of research techniques is survey research. Interviews can be done in both experimental and non-experimental research.

Observation is watching a person or company's behavior. For example, by observing a persons buying behavior, you could predict how that person will make purchases in the future.

When using interviews or observation, it is required that you record your results. How you record the data will depend on which method you use. As with all case studies, using a research notebook is key, and will be the heart of the study.

Sample Design

When developing your case study, you won't usually examine an entire population; those are done by larger research projects. Your study will use a sample, which is a small representation of the population. When designing your sample, be prepared to answer the following questions:

1. From which type of population should the sample be chosen?

2. What is the process for the selection of the sample?

3. What will be the size of the sample?

There are two ways to select a sample from the general population; probability and non-probability sampling. Probability sampling uses random sampling of everyone in the population. Non-probability sampling uses the judgment of the researcher.

The last step of designing your sample is to determine the sample size. This can depend on cost and accuracy. Larger samples are better and more accurate, but they can also be costly.

Analysis of the Data

In order to use the data, it first must be analyzed. How you analyze the data should be decided upon as early in the process as possible, and will vary depending on the type of info you are collecting, and the form of measurement being used. As stated repeatedly, make sure you keep track of everything in the research notebook.

The Marketing Case Study Report

The final stage of the process is the marketing case study. The final study will include all of the information, as well as detail the process. It will also describe the results, conclusions, and any recommendations. It must have all the information needed so that the reader can understand the case study.

As with all case studies, it must be easy to read. You don't want to use info that is too technical; otherwise you could potentially overwhelm your reader. So make sure it is written in plain English, with scientific and technical terms kept to a minimum.

Using Your Case Study

Once you have your finished case study, you have many opportunities to get that case study in front of potential customers. Here is a list of the ways you can use your case study to help your company's marketing efforts.

1. Have a page on your website that is dedicated to case studies. The page should have a catchy name and list all of the company's case studies, beginning with the most recent. Next to each case study list its goals and results.

2. Put the case study on your home page. This will put your study front and center, and will be immediately visible when customers visit your web page. Make sure the link isn't hidden in an area rarely visited by guests. You can highlight the case study for a few weeks or months, or until you feel your study has received enough looks.

3. Write a blog post about your case study. Obviously you must have a blog for this to be successful. This is a great way to give your case study exposure, and it allows you to write the post directly addressing your audience's needs.

4 . Make a video from your case study. Videos are more popular than ever, and turning a lengthy case study into a brief video is a great way to get your case study in front of people who might not normally read a case study.

5. Use your case study on a landing page. You can pull quotes from the case study and use those on product pages. Again, this format works best when you use market segmentation.

6. Post about your case studies on social media. You can share links on Twitter, Facebook and LinkedIn. Write a little interesting tidbit, enough to capture your client's interest, and then place the link.

7 . Use your case study in your email marketing. This is most effective if your email list is segmented, and you can direct your case study to those most likely to be receptive to it.

8. Use your case studies in your newsletters. This can be especially effective if you use segmentation with your newsletters, so you can gear the case study to those most likely to read and value it.

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Organizing Your Social Sciences Research Assignments

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Definition and Introduction

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

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

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

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

How to Approach Writing a Case Analysis Paper

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

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

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

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

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

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

Structure and Writing Style

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


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

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

Background Analysis

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

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

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

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

Identification of Problems

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

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

Alternative Solutions

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

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

Recommended Courses of Action

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

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

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

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

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

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

Problems to Avoid

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

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

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

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

Writing Tip

Ca se Study and Case Analysis Are Not the Same!

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

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

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

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

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CASE STUDY Background Information

Adam was a slightly built eight-year-old boy with brown hair and dark eyes. Adam was interesting to converse with and stayed on-task for long periods during these one-on-one situations. When Adam was tired of an activity, he said so. Adam was referred to the ABLE program because of significant behavioral problems at school. During one week he was reported to have run away from the classroom; he pushed and shoved other children; he turned over desks, and called his teacher and the school principal profane names. Adam’s behavior problems had escalated to biting others, hitting a psychologist, and assaulting a teacher’s aid in the school. Adams was reported to fight often. At the time of intake into ABLE, Adam had been suspended from school for several weeks.

At home, Adam had temper tantrums centered on his older nephew, during which he threw things and became very negative and loud; also, Adam would “shut down.” Adam lived with his natural mother, his stepfather, an older aunt and his paternal grandmother.

At school, Adam had a change in teachers and was suspended on a safety issue involving threats to others. But Adam’s mother reported this new teacher seemed to get along with Adam better than earlier teachers did and that the teacher and Adam liked each other. Adam had fewer problems in the afternoons than in the mornings at school.

Generally, Adam had a history of impulsiveness, compulsiveness and of over-focusing. Adam appeared to always be self-stimulating, liked to put things together, was a good sleeper and had a good memory. He was a “sweet boy,” initiating the process of giving others whatever they wanted, as if to maintain a sense of control.

Adam’s history included his mother’s high-risk pregnancy and Adam’s premature, low-weight birth. He was in the hospital for almost a month due to serious respiratory complications and then was readmitted at one month of age for a viral infection from which he had residual wheezing problems. Adam’s mother reported using an herbal solution for him and found the process helped calm the boy. Adam’s mother and natural father separated during this time, which is within the important attachment-building time of Adam’s life. The parents unsuccessfully attempted to restore their relationship. Adam saw his natural father erratically and his father didn’t seem to be readily available to him when Adam was staying with his father and his stepmother.

Adam was bothered by seasonal allergies, but had no known food allergies. He was a fussy eater and had unique compulsions with eating. For example, if his spoon touched his plate, Adam needed a new spoon. Adam also had a germ phobia and a hand-washing ritual. His room was dirty and disorganized, though he had rituals about lining up his trucks and his closet had to be arranged in a certain way. Adam had considerable difficulty making choices.

In school, Adam had difficulty with handwriting but, with the exception of low math and writing skills, his academic profile was normal. Adam had been in a Title I reading program. He did well enough in math, and although behind, he was receiving no resource help. Adam did have an IEP for his behavior problems and got along with younger children better than older children. Adam was especially competitive with older boys. According to the school, Adam was quite close to his mother and Adam reported that people didn’t like him much, that’s why he was the way he was.

When examined, Adam was oriented to a sense of time and to the room he was in. And, when told he could have a book of his choice if he cooperated with the examiner, Adam appeared to like the idea. He was asked to draw pictures of his family and a house, for which he used multiple, colored markers and took a lot of time. Adam seemed to become bored easily. He said he was generally happy, and was happy with his parents. Adam seemed upset with his stepfather, a man who, he said, would yell at him, and he was kinder about his mom. He said his nephew, who was with them every other weekend, was favored by his father and was given special privileges.

Family history included dyslexia and attention-deficit problems, the mother was challenged in public schools herself. There was a family history of moodiness on the mother’s side and on the part of the stepfather. Caregivers were concerned about whether Adam might be depressed, and whether he was having mixed-attention problems with over-focused and under-focused styles. Adams behaviors suggested the autistic spectrum, anxious, and/or obsessive/compulsive traits.

Adam did know right and left. Showing inconsistent laterality, he was left-handed for some activities and right-handed for others.

Adam was quite likable. He had difficulty writing and his written words did not make sense. He was disorganized and had problems with copying-type tasks. But he drew a picture well.

Adam displayed no abnormal genetic features, his heart sounds were normal, as were his ears. His wheezing was not pronounced. His build was somewhat thin and high-toned. He was able to stand on one foot and had a normal gait. Adam’s teeth showed several cavities.

Adam had trouble catching a ball and threw a ball with difficulty, but seemed to kick the ball well.

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Blog Infographics

10+ Case Study Infographic Templates That Convert

By Jessie Strongitharm , Nov 04, 2022

case study infographic

If someone handed you a dense case study, odds are you wouldn’t read it right away. You might glance at it, flip through a couple pages, then put it aside for later.

With traditional multi-page case studies, this is the usual sequence of events.

But case study content doesn’t have to be as demanding as the text-heavy documents of yesteryear. By combining simple graphic design principles and stunning data visualizations, you can create a case study infographic that engages and converts.

So today, I’m going through 10+  case study infographic templates  you can use to market your business and get those conversions climbing. But first, some context…

Click to jump ahead

What is a case study, why do people dislike reading case studies, why a case study infographic is your key to captivating and converting readers, 10 engaging case study infographic examples and templates .

  • Win customers over with these case study infographics

A case study  is a document that analyzes people, events, operations and processes.

While a variety of industries and sectors use them — such as business, medical, scientific, political and social scientific fields — all share the common goal of providing an in-depth look at how a complex issue or real-life scenario was impacted by specific actions.

Check out the image below for a quick summary:

case study infographic

Related:   What is a Case Study? [+6 Types of Case Studies]

Return to Table of Contents

Despite offering great insights, conventional case studies are known to elicit many-a-yawn and groan. Here’s why…

They’re too long

Spoiler alert: a massive wall of text does not make for an enjoyable reading experience. Your audience probably has to read through enough technical docs in their day-to-day work, so why would they waste their time and attention on your long-winded lessons? 

The bottom line: your target market’s time is more valuable than ever. Meaning, you have SECONDS to grab their attention, make an impression and entice them to read whatever it is you have to say. So a dense technical document probably isn’t the best approach.

They’re hard to understand

Ever heard the expression, “Explain it to me like I’m five?” 

case study infographic

It runs parallel to a best practice when it comes to marketing something to the general populace: write your text so someone with a fifth grade reading level would understand. 

It’s not because your audience won’t understand your content (most, given the proper motivation, will be able to after a few read-throughs). But your audience has a limited amount of time and plenty of easygoing content to consume as an alternative. So why wouldn’t they? 

The formatting can get confusing quickly

Let’s say your audience actually gives your case study a chance. The first page may be easy enough, provided your scope is quickly understandable. However, once you include figures, charts and footnotes into the fray, your case study can quickly devolve into a statistical nightmare.

While confusing formatting is unintentional in most case studies, a single incident of uncertainty or strain has the power to push people away. Again, they’ll stop trying and move on to something easier to understand.

Unclear data visualizations abound

The goal of  data visualizations  (i.e. charts and graphs) is to tell a story with your data, and make important facts and figures much easier to digest, retain and understand. Look no further than this infographic to see why: 

case study infographic

 But including too many or forgetting to label key sections, and you’ll end up creating an experience that hurts, not helps, your cause. What’s more, doing so detracts from the whole point of using data to underscore your story. 

I just dozed off… what was that again?

Finally, case studies elicit a general lack of empathy from the public due to associations with any number of unpleasant experiences. This might include dealing with case studies during their academic studies, or just the general lack of attention span we all deal with these days.

So…what’s the solution? 

All of the above can be a recipe for disaster for your case studies. But don’t take that as a reason to write them off altogether! 

Instead, use  an infographic  for your case study needs. Like this business infographic below:

case study infographic

As a part of your  communication strategy, infographics offer a creative solution for presenting what could otherwise be dry data or insights, keeping readers — and potential customers — engaged by enticing combination of text and images.

And they supercharge your storytelling, employing the same principles known for boosting learning and information  by up to 400% percent . 

So a case study infographic is your secret weapon against audience fatigue. Without further ado, let’s take a look at 10 case study infographics that’ll get you readership  and  results. Related: What Are the 9 Types of Infographics? (+Infographic Templates)

Now that you understand what factors can spoil the persuasive power of conventional case studies, let’s get you on the right track. I promise you the case study infographics below will effortlessly engage your audience and boost your conversion rate to boot. 

And they’re easy to customize: just choose any template,  sign up for a free account  and use Venngage’s drag-and-drop editor to swap out  any  of the assets you see in seconds. 

Training and development case study infographic template

case study infographic

First, check out this bold training and development case study. By using creative  layout choices , crisp  iconography  and a punchy color palette, viewers will be able to effortlessly absorb how a person (or business)’s problem was alleviated  using your product , business, strategy etc. 

Note how this infographic follows  the typical format of a business case study . There’s a(n):

  • Overview of the case study
  • Background information on the individual (or business) involved 
  • A section discussing the main problem to be solved
  • A section about the solution, or intervention, used
  • A summary of the results
  • A call-to-action/closing statement

And yes, I know we’re tooting our own horn with this template. But remember: you can edit anything you see to be 100% your own with Venngage’s visual editor. (This would also be a neat graphic to repurpose for social media promotion purposes.)

  • 15+ Professional Case Study Examples [Design Tips + Templates]
  • How to Use Instagram Infographics to Get More Engagement
  • 10 Tips to Make Eye-Catching Infographics for Social Media
  • How to Present a Case Study like a Pro (With Examples)

Twitter case study infographic template

case study infographic

This infographic template employs a hybrid layout and color palette containing both contrasting and complementing hues to highlight the results. Negative space and bold graphics emphasize the information in different sections of this design, making them easier for readers to digest at a glance.

Another cool feature? It leads with results. This is a smart tactic that ensures your first impression counts — especially if there’s huge figures to grab the audience’s attention.

Lifetime value infographic template

case study infographic

This case study is perfect if you’re discussing a topic that needs lots of data to back it up. For example, if you’re spearheading a complex subject like Lifetime Value.

Note how this case study employs a pared-down palette and plenty of data visualizations to back up each point. The stylistic choices, like the drop shadow on the graphs, help the information stand out too. 

If you’re not gung-ho for the green in this  data infographic , remember you can swap out the colors for ones of your choosing. Looking to keep your branding consistent? Automatically add your brand colors to your infographic with Venngage’s  My Brand Kit .

Orange content marketing case study template

case study infographic

This two-page infographic case study template may seem simple enough. Especially since there’s limited iconography and a duo tone palette. 

But it packs a ton of information by utilizing these stylistic elements to break up the content into defined sections. The icons also work to create a focal point, instantly drawing viewers’ eyes to the results — exactly the action any marketer would want.

Related:   10+ Best Infographics To Inspire Marketing Campaigns

Red SAAS business case study template

case study infographic

What do readers hate about a wall of text? Well, having a huge block of black lines can force them to have to re-read earlier passages. And with no added visual interest, the process becomes a snooze.

Thankfully, this template makes any text-heavy case study more exciting by employing a few simple graphic design tricks: a vibrant background commands attention off the bat, and the white elements draw the eye to key components on each page.

 What’s more, the varying layouts sparks renewed interest with each page. And there’s space for a data visualization too! 

Related:   How to Write Great Copy for an Infographic

Social media business case study template

case study infographic

The best part of using an infographic is that it gives your case studies flow by using design elements to create a  visual hierarchy , which is essential to retain your audience’s interest.

Here, relevant visuals help illustrate each point. There’s also ample room to provide quotes and add a dimension of social proof to your case study. Related:  How Infographics Can Support Visual Learning

Blue content marketing case study template

case study infographic

For a more minimalistic approach, look no further. This case study template highlights key data with impressive icons. It also condenses all the text components down to a few sentences of varying lengths along with bullet points for easy, engaged reading. 

Coral content marketing case study template

case study infographic

Clear, defined layouts give readers an easy-to-understand overview, allowing them to pick out one topic and move to the next without missing the point. This is especially important in this day and age, where most people are likely to skim through the document first before digging deeper into the sections they care about. 

A content marketing infographic template like this one does this well. It breaks up the text content with white backed sections, while purposeful pops of blood orange keep things interesting throughout. 

Related:   10 Content Marketing Infographics for Your Strategy

Lead generation business case study template

case study infographic

For something a little different, check out this template (and the next). 

This case study’s two column layout reads almost like a resume, which makes sense considering the subject is a person. The section on the left provides a concise overview of background information and a direct quote, while the right provides a longer explanation before discussing the strategy and results

Finally, the tonal teal color scheme ties all components together. 

Simple blue business case study template

case study infographic

Want to use the same dual section format for a business instead? Then this template’s the one for you.

By using font size, colors and shapes to highlight data, and by housing the company’s profile in a separate column, this case study makes it a breeze for readers to pick out the information they’re after.

While the leftmost section takes up the company’s goals and objectives with their operation, the right side provides ample space to explain your methodology and results in a visual-oriented way. 

Win customers over without fail with case study infographics

Visual storytelling  is the key to creating excellent case studies your audience will  actually  want to read.

By using these tips and easy-to-edit templates, you’ll be able to engage any audience, deliver your message as desired and drive up conversions while you’re at it.

Not a graphic design ingenue or infographic layout legend? No problem.

With Venngage, you can choose from a huge selection  infographic case study templates  and swap in your own content in a snap. Then share, download, send and print, and you’re ready to make your case. 

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Background Information Case Studies Samples For Students

5 samples of this type

Do you feel the need to check out some previously written Case Studies on Background Information before you begin writing an own piece? In this free collection of Background Information Case Study examples, you are provided with a fascinating opportunity to examine meaningful topics, content structuring techniques, text flow, formatting styles, and other academically acclaimed writing practices. Using them while crafting your own Background Information Case Study will definitely allow you to complete the piece faster.

Presenting superb samples isn't the only way our free essays service can aid students in their writing ventures – our authors can also create from scratch a fully customized Case Study on Background Information that would make a strong foundation for your own academic work.

BSS Company Startup Analysis Case Studies Examples

Exemplar case study on coca-cola’s mission statement and analysis 4 to write after, executive summary 2, introduction 3.

Coca-Cola Vision and Analysis 5 Coca Cola’s Values and Analysis 7 Alignment of Coca Cola’s Mission, Vision, Values, & Goals with Stakeholder’s Interests 8 Recommended Changes 8 Conclusion 9

References 9

Zara management structure case study, 1.0 introduction.

1.1 Zara Fashion Shop Background information

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Free Case Study On Sea Level Rise In Australia

Sea level rise in australia, netflix case study analysis example.

Background information and industry analysis 4 Strategic issues affecting the industry 7 Netflix SWOT analysis 7 Strengths 7 Weaknesses 7 Opportunities 8 Threats 8 Competitor analysis 8 Company business model and environment analysis 10 Conclusion 12

References 13

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How to Move From the ‘Main Idea’ to ‘Background Knowledge’

Traditional approaches to reading instruction—such as finding the ‘main idea’—are less effective than a knowledge-rich approach, the research shows.

“In a fit of anger, Moses smashed the tablet against the ground.”

A group of young students reading that sentence will come to different conclusions. Depending on how familiar they are with the Bible, some may recognize it as a parable. Others may reel at the thought of an expensive electronic device being destroyed in a fit of pique. For linguistics and literacy researchers Carsten Elbro and Ida Buch-Iversen, coauthors of a landmark 2013 study on background knowledge, the difference between the two interpretations has little to do with a student’s reading comprehension skills. 

Students who properly decode the words and understand the basic structure of a text may still come up short in measures of comprehension because they fail “to activate relevant, existing background knowledge,” Elbro and Buch-Iversen explain in the study. That’s because students constantly make inferences and seek connections to their lives to make sense of what they’re reading—understanding what Moses was actually doing depends more on whether you were raised as a Christian than on your ability to grasp the sentence’s literal meaning.

In their study, Elbro and Buch-Iversen separated 236 sixth-grade students into two groups. One group of students used concept maps to connect related ideas—an exercise that helped them build a lattice of intertwined knowledge across subjects like biology, technology, sociology, and history. The second group participated in business-as-usual instruction centered around reading strategies such as summarizing and making predictions. After eight 30-minute sessions, the background knowledge students scored twice as high on tests of general reading comprehension, compared with their peers, with sizable improvements across fiction and nonfiction texts.

A decade later, new research—this time encompassing more than 10 times the number of students—confirms those findings. A groundbreaking Harvard study published last year investigated the benefits of a 10-week, knowledge-rich approach to building reading comprehension in elementary students. Instead of emphasizing traditional skills like identifying the main idea or citing evidence from the text, the researchers asked the youngsters to read widely on a topic in order to develop “generalized schemas that can be accessed and deployed when new, but related, topics are encountered.” Students read about dinosaurs, for example, and thus build a deeper understanding of how scientists collect data to study past events. Those students scored 18 percent higher on later, science-related reading comprehension tests, compared with their peers.

Here are six prereading activities to help students build background knowledge and fill in conceptual gaps before tackling new texts.

1. Sustained inquiry. “When I started looking into what’s called the achievement gap in education, I was told that the problem was high school,” Natalie Wexler, author of The Knowledge Gap , told Edutopia in 2022. “But the problems that become really obvious in high school, for the most part, have their roots in the way we teach elementary school.” In successful elementary schools, Wexler noticed that English language arts (ELA) lessons often looked like they belonged in science classrooms—in one example, fourth graders studied detailed anatomical diagrams in ELA and learned words like cardio and circulatory . By committing content knowledge to long-term memory, these students were able to continue exploring the topics while devoting more working memory to comprehension, Wexler discovered.

Wexler’s observations align with what experts recommend: a sustained, thoughtfully sequenced, content-oriented approach to building strong reading skills. When planning for the academic year, “consider the topics to be covered for the year and then ask yourself, ‘How can we integrate instruction around a coherent schema?’” suggest James Kim and Mary Burkhauser, who led the Harvard study on background knowledge. Instead of covering one topic and then moving on to something unrelated, look for ways to tie broader themes together, and revisit and reinforce them often: “Consider larger schema (the trees) that connect the topics (branches) you are expected to cover.”

If students are going to read about Roman emperors, for example, you can prepare them by exploring and reading widely across related, universal themes like civilization-building, governance, and codes of law, helping to build a rich foundation of vocabulary and thematic knowledge that students can access as they read future texts that touch upon the same concepts.

2. Vocabulary games. In a 2019 study , students who were familiar with less than 59 percent of core terms in a topic struggled to understand the reading material. But quickly memorizing new terms in isolation won’t result in lasting recall. 

Consider spending more time on vocabulary acquisition, be multimodal, and make connections to other learning, writes Rebecca Alber, an instructor at UCLA’s Teacher Education Program. She recommends using photos to introduce new words to kids or connecting the words to things they’re familiar with, are interested in, or have learned before. Students can also draw the words or work in small groups to talk about them. The dictionaries shouldn’t come out until students have worked hard to discover the definitions on their own, Alber suggests. As the list of foundational vocabulary grows over the course of the year, try word sorts—grouping words with related meaning together—or pick five terms from the course and ask students to chat quickly about how they are interrelated before they each write a quick paragraph linking the terms.

Instructional coach Hannah Bradley builds engagement by playing word games—an approach that works across subjects and age groups. “In my experience, the lighthearted nature of these games provides students with a fun, safe, and low-stakes environment where they feel more confident to just have a go,” she writes . A great starter activity is From A to Z, a five-to-eight-minute game in which students work in small groups to brainstorm words related to a topic being studied for every letter of the alphabet. Word-association games like Just One or Telephone Pictionary can help students see how concepts are interrelated, building a more robust network of interrelated ideas.

3. Station rotation. Before jumping into a new lesson, you can set up several tables with related reading materials—comics, photo collections, poetry, introductory videos, or news articles, for example—to give students multiple entry points while building familiarity with key events and people, says high school social studies teacher Tim Smyth. When Smyth starts a unit on World War II, he sets up seven tables, each with a central theme—Holocaust, leading women, and key battles, for example—which students dig into while taking notes. They also answer reflection questions such as, “Describe one image you saw that jumped out at you. Why did you choose this one?” or “What are three questions you have/want to know more about?”

“As we delved more deeply into World War II content in the weeks following book study, students made powerful connections between new content and the texts they explored at the start of the unit,” writes Smyth. “And they were better able to retain the information and see the bigger picture by referring back to the texts they explored.”

For topics that students learn at a younger age, you can use materials they’re already familiar with—using clippings from National Geographic to explore different ecosystems, for example, or short YouTube videos that delve into an interesting topic like how cavities form or what germs are—to build engagement and introduce complex ideas. Graphic novels can be used to introduce challenging concepts, says middle and high school teacher Jason DeHart, while excerpts from your students’ favorite sci-fi or historical fiction novels can be entry points to reading more complex texts. By starting with materials that students are already familiar with, you’re helping students make connections to new ideas that may otherwise be elusive.

4. Hexagonal thinking. An engaging pre-lesson activity that doubles as a way to refresh what students have learned and help them make new connections, hexagonal thinking uses cut-out hexagons—each covering a single term or concept—to explore novel insights. Working in small groups, students first create or are given a list of key ideas, which are then written on separate hexagons made digitally or from paper, card stock, or sticky notes. Students then connect the hexagons, linking related ideas together. For example, if students are learning about animal habitats, they can arrange animals by biome (forest, plains, desert) and investigate similarities and differences. Each group may have a completely different configuration of hexagons, providing fodder for a creative discussion.

blank hexagonal thinking example

5. Tools to map the conceptual terrain. If you’ve ever jumped into a book (or television) series midway, you know that it can be disorienting. That’s because a good story relies on familiarity with past events to keep the audience from getting bogged down. Similarly, students with ample prior knowledge are more likely to keep pace with a lesson.

When starting a new lesson, students unfamiliar with the topic are often overwhelmed by the amount of new information they need to process. Using graphic organizers—anchor charts and concept maps, for example—can help them map the conceptual terrain, bringing into sharp focus the difference between main ideas and support details, or how big concepts relate to each other. In a 2021 study , middle school students who used graphic organizers to organize their thinking around the topic they were learning about—the seasons—improved their factual recall by 45 percent and comprehension by 64 percent, compared with students who had simply studied the material.

For fictional texts, K–8 special education teacher Dianne Stratford recommends using story maps —an activity that helps young readers “understand the elements of a story, such as characters, setting, problem, and solution, or sequential points of the story, such as beginning, middle, and end.” Not only will it help students remember the story, but it’ll help provide a framework for understanding any future texts they encounter.

6. Pretending to learn. In Oscar Carillo’s kindergarten class, students learn about the different parts of a car—the pedals and wheels, for example—while dashing around the room making “Vroom, vroom!” sounds. In another story, they pretend to be sharks and turtles swimming through water. Not only does it strengthen oral language skills, says Principal Sarah Bartels Marrero, but also it helps them “understand the shape of a story.” 

Asking young learners to imagine story events and engage in pretend play as a prereading activity helps them build “world knowledge,” according to a 2018 study . When preschoolers spent 10 minutes pretending that they were chefs in a restaurant cooking pizza—rolling the dough, adding toppings, and then baking the pizza, for example—they predictably outperformed their peers (who had played with unrelated toys) on tests on pizza-making knowledge. The pretend-play kids were also able to make better inferences—reading between the lines to answer questions around a character’s goal or motivations, for example—outperforming their peers by more than double.


This article is part of the research topic.

Demonstrating Observation Impacts for the Ocean and Coupled Prediction

Assessing the impact of subsurface temperature observations from fishing vessels on temperature and heat content estimates in shelf seas: A New Zealand case study using Observing System Simulation Experiments Provisionally Accepted

  • 1 University of New South Wales, Australia
  • 2 MetService (New Zealand), New Zealand

The final, formatted version of the article will be published soon.

We know that extremes in ocean temperature often extend below the surface, and when these extremes occur in shelf seas they can significantly impact ecosystems and fisheries. However, a key knowledge gap exists around the accuracy of model estimates of the ocean's subsurface structure, particularly in continental shelf regions with complex circulation dynamics.It is well known that subsurface observations are crucial for the correct representation of the ocean's subsurface structure in reanalyses and forecasts. While Argo floats sample the deep waters, subsurface observations of shelf seas are typically very sparse in time and space. A recent initiative to instrument fishing vessels and their equipment with temperature sensors has resulted in a step-change in the availability of in-situ data in New Zealand's shelf seas. In this study we use Observing System Simulation Experiments to quantify the impact of the recentlyimplemented novel observing platform on the representation of temperature and ocean heat content around New Zealand. Using a Regional Ocean Modelling System configuration of the region with 4-Dimensional Variational Data Assimilation, we perform a series of data assimilating experiments to demonstrate the influence of subsurface temperature observations at two different densities and of different data assimilation configurations. The experiment period covers the 3 months during the onset of the 2017-2018 Tasman Sea Marine Heatwave. We show that assimilation of subsurface temperature observations in concert with surface observations results in improvements of 44% and 38% for bottom temperature and heat content in shelf regions (water depths < 400m), compared to improvements of 20% and 28% for surface-only observations. The improvement in ocean heat content estimates is sensitive to the choices of prior observation and background error covariances, highlighting the importance of the careful development of the assimilation system to optimise the way in which the observations inform the numerical model estimates.

Keywords: Observation impact, subsurface, marine heatwaves, OSSEs, ROMS, New Zealand

Received: 19 Dec 2023; Accepted: 26 Mar 2024.

Copyright: © 2024 Kerry, Roughan and Azevedo Correia De Souza. This is an open-access article distributed under the terms of the Creative Commons Attribution License (CC BY) . The use, distribution or reproduction in other forums is permitted, provided the original author(s) or licensor are credited and that the original publication in this journal is cited, in accordance with accepted academic practice. No use, distribution or reproduction is permitted which does not comply with these terms.

* Correspondence: Mx. Colette Kerry, University of New South Wales, Kensington, Australia

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Erin Hawley: The Woman Arguing Against the Abortion Pill

Erin Hawley, a law professor and wife of Senator Josh Hawley, is arguing the Supreme Court case.

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Erin Hawley stands on the steps of a courthouse in front of microphones.

By Elizabeth Dias and Abbie VanSickle

It was 2014, and Erin Morrow Hawley was fighting against the egg-laying hens of Missouri. Specifically, a new requirement that chicken cages have enough space for the hens to stand up, turn around and stretch out.

A law professor from five generations of ranchers and the wife of Senator Josh Hawley, Ms. Hawley joined a challenge to California, which required more spacious enclosures for hens laying eggs to be sold there. The state where she taught, Missouri, sold a third of its eggs to California, and Ms. Hawley believed that a blue state had no right to impose its values and rules on Missouri’s farmers.

She joined in a lawsuit against California’s attorney general at the time, Kamala Harris. A judge found that the challengers could show no direct injury and dismissed the case. Ms. Hawley continued teaching, and Ms. Harris became Joe Biden’s vice president.

Ten years later, Ms. Hawley, 44, is now at the center of one of the country’s most heated cultural battles about bodily autonomy, gender roles and abortion. On Tuesday, for the first time since the overturning of Roe v. Wade, the Supreme Court considered a case involving nationwide limits on abortion access. And Ms. Hawley was the woman standing before the justices, arguing to sharply curtail access to the abortion pill.

The case centers on the Food and Drug Administration’s approval of mifepristone, a commonly available drug used in the majority of abortions in the country. Limiting medication abortion is a next frontier for the anti-abortion movement in the post-Roe era.

Ms. Hawley represents a group of anti-abortion doctors and an umbrella group of conservative medical associations that claim that the abortion pill — approved more than two decades ago — is a danger to women. The F.D.A. has pointed to substantial scientific evidence that the medication abortion is safe .

Ms. Hawley views the cause as similar to her fights against government interference, rooted in her experience of ranch life.

“You see how those regulations impact people that are really living on the ground, and sometimes for good and sometimes maybe not for good,” she said in an interview with The Times earlier this month. “And so being pro-life, and believing that every child, no matter how small, no matter if they’re not yet born, is invested with inherent dignity and worth — government action can have a lot to say about that as well.”

She argues that federal approval of the abortion pill went forward without enough consideration of possible side effects and dangers, and that subsequent changes to enable greater access have ignored health risks to women.

The government lawyers in this case, led by Solicitor General Elizabeth B. Prelogar, have argued in court filings that Ms. Hawley and her legal team offered scant evidence of real injury, and that declarations from “seven identified doctors” were “often vague or conclusory.”

Ms. Hawley’s particular background makes her ideal for this moment. Her longtime interest in limiting the power of the administrative state is well suited to speak to the current court’s conservative supermajority, which has welcomed cases challenging regulations on everything from herring fish to machine guns and, now, abortion.

Ms. Hawley brings her credentials not only as a former clerk to Chief Justice John G. Roberts Jr. but as a millennial Christian mother. An evangelical believer who forefronts her identity as a wife and mother of three, Ms. Hawley works for the Alliance Defending Freedom, a powerful conservative Christian legal group. She represents the ideals of womanhood many in the anti-abortion and conservative Christian movement seek to elevate.

Until now, Ms. Hawley has been best known as the wife of Senator Hawley, Republican of Missouri, who actively sought the overturning of Roe and has supported anti-abortion legislation.

In a campaign ad for him, Ms. Hawley starred as an everyday mom, playing with their children in the kitchen, while he took the spotlight. But she will be one of a few women to argue a prominent abortion case at the Supreme Court for the anti-abortion side.

Even anti-abortion leaders often said “who?” or “Josh’s wife?” when asked about Ms. Hawley. Penny Nance, president of Concerned Women for America, has met her at events supporting Senator Hawley but did not realize that Ms. Hawley was arguing the mifepristone case.

“There are millions of conservative women all over our country who are educated and powerful and love their families, similar to Erin Hawley,” Ms. Nance said. “She is actually fairly typical of young millennial conservative Christian women coming up through the ranks.”

But it may be Ms. Hawley, not Sen. Hawley, whose work will most power the anti-abortion cause.

“I think it may be more accurate to say that he’s Erin Hawley’s husband,” Mary Ziegler, a law professor and historian at University of California, Davis, said of the senator. “I think people are just beginning to see how influential she is.”

Erin Morrow was born into a family of frontier women and grew up on a cattle ranch near Folsom, N.M., population roughly 50. The foundation of her great-great-great grandmother’s homestead is still visible on the land, where family lore says that as a young widow, she outwitted marauding bandits.

The oldest of three daughters, Ms. Hawley was raised mainly by her mother after her parents divorced. Her father, a former national rodeo champion who struggled with alcoholism and depression, died by suicide when she was in high school, a pivotal moment she has spoken about on her podcast . Her mother, Shari Morrow, ran the family’s ranch, WineCup, and started teaching Erin to ride horses before she could walk.

“She was there when the bus came home, and often she’d throw us on horseback, and we’d help her move cattle, and we were able to sort of participate in her job in a small way,” Ms. Hawley said in the interview with Times reporters. “She was just a wonderful example of putting her family first but also doing something she loved and cared about.”

Her mother, a registered Democrat in the 1990s, had wanted to be a veterinarian, and for a while her daughter did too. Ms. Hawley studied animal science at Texas A&M University and considered a doctorate in genetics. But an internship for the House Committee on Agriculture sparked her interest in regulatory law.

Ms. Hawley started law school at the University of Texas in Austin, then transferred to Yale Law School, where she was a senior editor on the law review.

She clerked for J. Harvie Wilkinson III, a Reagan appointee on the U.S. Court of Appeals for the Fourth Circuit, and for Chief Justice Roberts in 2007.

There, her desk faced that of another clerk from Yale, Josh Hawley, and they secretly dated. He persuaded her to get married, when she was skeptical after having grown up “in a home with a marriage that wasn’t ideal,” she said in a podcast, and they moved back to his home state of Missouri.

When they searched for jobs, she impressed the faculty at the University of Missouri’s School of Law and expressed interest in filling a need to teach tax law. The school offered jobs to both of them.

Together they started the Missouri Liberty Project, “dedicated to promoting constitutional liberty and limited government.” But her husband’s career soon took the lead in their lives. As he campaigned for the U.S. Senate, she wrote a devotional book for mothers, drawing spiritual lessons from the lives of her children while comfortably weaving in references to modern theologians like Stanley Hauerwas. Her light textual analysis of original Greek words in the Bible echoes her approach to interpreting the Constitution in her legal work.

“Why can’t a high-powered lawyer also share that side of her life? Why not? That is her foundation, that is who she is,” said Julie Holmquist, who edited the book.

Ms. Hawley had expected her husband to pursue a political career after their children were grown. When they felt God calling him to run for office, she packed the family onto the campaign bus. The couple voted at their home church, The Crossing Church, an evangelical Presbyterian congregation, and the Hawleys moved to Washington.

Only a few months into her role as a lawyer for the conservative Christian legal advocacy group A.D.F. in 2021, Ms. Hawley flew to Mississippi to strategize on the Dobbs case, which overturned Roe v. Wade.

Ms. Hawley and her infant daughter arrived on time, but her babysitter did not. In the middle of the meeting, the baby let out a wail.

As Ms. Hawley tells it, this moment encapsulated her purpose, both as a Christian mom and as a lawyer aimed at dismantling the right to abortion. On the couple’s podcast, she described her baby’s crying as “a tangible reminder of why the Dobbs case might matter so much.”

At a speech after the Dobbs oral argument, Ms. Hawley said she had “been blessed to have a front-row seat on this case.” She added, “As a conservative mother, I can tell you it has been the project of a lifetime.”

Ms. Hawley has notched other legal victories, becoming synonymous with conservative social-issue cases. She worked on 303 Creative, the case in which the Supreme Court justices ruled in favor of a Colorado web designer who cited the First Amendment in refusing to serve same-sex couples.

Ms. Hawley is currently helping the Idaho attorney general defend the state’s abortion ban from a challenge by the Biden administration.

At the Supreme Court on Tuesday, her unique background was on display, even as most justices seemed skeptical of her argument. She answered a question from Justice Samuel A. Alito Jr. about determining standing — whether the anti-abortion doctors could show direct harm — by referencing how the court considered the issue in a case about genetically engineered crops. In that case, Ms. Hawley said, the court looked at “the distance that bees might fly in order to pollinate seed farms,” she said. She had the support of her husband, who was present in the courtroom.

Even with the pressure of a first-time oral argument, she said in the interview that she remained calm because the decision was ultimately up to God.

“Christians are called to work with excellence but also to rest in the knowledge that God is sovereign, and that we can trust the results to Him,” she said. “To have the faith that all of it is in His hands, I think does help.”

The justices are expected to make a decision in June.

Julie Tate and Kitty Bennett contributed research.

Elizabeth Dias is The Times’s national religion correspondent, covering faith, politics and culture. More about Elizabeth Dias

Abbie VanSickle covers the United States Supreme Court for The Times. She is a lawyer and has an extensive background in investigative reporting. More about Abbie VanSickle


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  1. Background of The Study

    Here are the steps to write the background of the study in a research paper: Identify the research problem: Start by identifying the research problem that your study aims to address. This can be a particular issue, a gap in the literature, or a need for further investigation. Conduct a literature review: Conduct a thorough literature review to ...

  2. Writing a Case Study Analysis

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  10. Writing a Case Study

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  11. What Is a Case Study?

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  16. Part 1

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