why do a case study in research

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

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

Research question

• Conceptual framework
• Conceptual vs. theoretical framework

Data collection

• Qualitative research methods
• Focus groups
• Observational research

What is a case study?

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

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

Case studies

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

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

Definition of a case study

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

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

Characteristics of case studies

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

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

The role of case studies in research

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

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

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

What is the purpose of a case study?

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

Why use case studies in qualitative research?

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

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

The explanatory, exploratory, and descriptive roles of case studies

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

The impact of case studies on knowledge development

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

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

Types of case studies

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

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

Exploratory case studies

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

Descriptive case studies

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

Explanatory case studies

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

Intrinsic, instrumental, and collective case studies

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

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

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

Critical information systems research

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

Health research

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

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

Asthma research studies

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

Other fields

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

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

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

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

Propositions

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

Units of analysis

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

Argumentation

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

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

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

Defining the research question

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

Selecting and defining the case

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

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

Developing a detailed case study protocol

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

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

Collecting data

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

Analyzing and interpreting data

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

Writing the case study report

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

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

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

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

Observations

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

Documents and artifacts

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

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

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

Ensuring the quality of data collection

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

Data analysis

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

Organizing the data

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

Categorizing and coding the data

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

Identifying patterns and themes

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

Interpreting the data

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

Verification of the data

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

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

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

Benefits include the following:

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

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

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

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

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Case Study Research Method in Psychology

Saul Mcleod, PhD

Editor-in-Chief for Simply Psychology

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

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

Learn about our Editorial Process

Olivia Guy-Evans, MSc

Associate Editor for Simply Psychology

BSc (Hons) Psychology, MSc Psychology of Education

Olivia Guy-Evans is a writer and associate editor for Simply Psychology. She has previously worked in healthcare and educational sectors.

On This Page:

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

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

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

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

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

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

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

 Famous Case Studies

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

Clinical Case Studies

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

Child Psychology Case Studies

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

Types of Case Studies

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

Where Do You Find Data for a Case Study?

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

1. Primary sources

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

2. Secondary sources

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

3. Archival records

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

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

4. Organizational records

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

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

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

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

How do I Write a Case Study in Psychology?

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

1. Introduction

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

2. Case Presentation

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

3. Management and Outcome

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

4. Discussion

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

5. Additional Items

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

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

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

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

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

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

Limitations

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Further Information

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

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Organizing Your Social Sciences Research Assignments

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

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

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

How to Approach Writing a Case Study Research Paper

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

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

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

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

Structure and Writing Style

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

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

I.  Introduction

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

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

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

II.  Literature Review

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

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

III.  Method

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

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

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

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

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

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

IV.  Discussion

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

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

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

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

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

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

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

V.  Conclusion

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

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

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

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

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

Problems to Avoid

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

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

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

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

Writing Tip

At Least Five Misconceptions about Case Study Research

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

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

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

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

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Home » Case Study – Methods, Examples and Guide

Case Study – Methods, Examples and Guide

Table of Contents

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

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

Types of Case Study

Types and Methods of Case Study are as follows:

Single-Case Study

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

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

Multiple-Case Study

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

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

Exploratory Case Study

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

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

Descriptive Case Study

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

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

Instrumental Case Study

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

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

Case Study Data Collection Methods

Here are some common data collection methods for case studies:

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

Observations

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

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

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

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

How to conduct Case Study Research

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

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

Examples of Case Study

Here are some examples of case study research:

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

Application of Case Study

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

Business and Management

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

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

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

Social Sciences

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

Law and Ethics

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

Purpose of Case Study

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

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

Case studies can also serve other purposes, including:

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

Advantages of Case Study Research

There are several advantages of case study research, including:

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

Limitations of Case Study Research

There are several limitations of case study research, including:

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

About the author

Muhammad Hassan

Researcher, Academic Writer, Web developer

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What is case study research?

Last updated

8 February 2023

Reviewed by

Cathy Heath

Suppose a company receives a spike in the number of customer complaints, or medical experts discover an outbreak of illness affecting children but are not quite sure of the reason. In both cases, carrying out a case study could be the best way to get answers.

Organization

Case studies can be carried out across different disciplines, including education, medicine, sociology, and business.

Most case studies employ qualitative methods, but quantitative methods can also be used. Researchers can then describe, compare, evaluate, and identify patterns or cause-and-effect relationships between the various variables under study. They can then use this knowledge to decide what action to take. 

Another thing to note is that case studies are generally singular in their focus. This means they narrow focus to a particular area, making them highly subjective. You cannot always generalize the results of a case study and apply them to a larger population. However, they are valuable tools to illustrate a principle or develop a thesis.

Analyze case study research

Dovetail streamlines case study research to help you uncover and share actionable insights

• What are the different types of case study designs?

Researchers can choose from a variety of case study designs. The design they choose is dependent on what questions they need to answer, the context of the research environment, how much data they already have, and what resources are available.

Here are the common types of case study design:

Explanatory

An explanatory case study is an initial explanation of the how or why that is behind something. This design is commonly used when studying a real-life phenomenon or event. Once the organization understands the reasons behind a phenomenon, it can then make changes to enhance or eliminate the variables causing it. 

Here is an example: How is co-teaching implemented in elementary schools? The title for a case study of this subject could be “Case Study of the Implementation of Co-Teaching in Elementary Schools.”

Descriptive

An illustrative or descriptive case study helps researchers shed light on an unfamiliar object or subject after a period of time. The case study provides an in-depth review of the issue at hand and adds real-world examples in the area the researcher wants the audience to understand. 

The researcher makes no inferences or causal statements about the object or subject under review. This type of design is often used to understand cultural shifts.

Here is an example: How did people cope with the 2004 Indian Ocean Tsunami? This case study could be titled "A Case Study of the 2004 Indian Ocean Tsunami and its Effect on the Indonesian Population."

Exploratory

Exploratory research is also called a pilot case study. It is usually the first step within a larger research project, often relying on questionnaires and surveys . Researchers use exploratory research to help narrow down their focus, define parameters, draft a specific research question , and/or identify variables in a larger study. This research design usually covers a wider area than others, and focuses on the ‘what’ and ‘who’ of a topic.

Here is an example: How do nutrition and socialization in early childhood affect learning in children? The title of the exploratory study may be “Case Study of the Effects of Nutrition and Socialization on Learning in Early Childhood.”

An intrinsic case study is specifically designed to look at a unique and special phenomenon. At the start of the study, the researcher defines the phenomenon and the uniqueness that differentiates it from others. 

In this case, researchers do not attempt to generalize, compare, or challenge the existing assumptions. Instead, they explore the unique variables to enhance understanding. Here is an example: “Case Study of Volcanic Lightning.”

This design can also be identified as a cumulative case study. It uses information from past studies or observations of groups of people in certain settings as the foundation of the new study. Given that it takes multiple areas into account, it allows for greater generalization than a single case study. 

The researchers also get an in-depth look at a particular subject from different viewpoints.  Here is an example: “Case Study of how PTSD affected Vietnam and Gulf War Veterans Differently Due to Advances in Military Technology.”

Critical instance

A critical case study incorporates both explanatory and intrinsic study designs. It does not have predetermined purposes beyond an investigation of the said subject. It can be used for a deeper explanation of the cause-and-effect relationship. It can also be used to question a common assumption or myth. 

The findings can then be used further to generalize whether they would also apply in a different environment.  Here is an example: “What Effect Does Prolonged Use of Social Media Have on the Mind of American Youth?”

Instrumental

Instrumental research attempts to achieve goals beyond understanding the object at hand. Researchers explore a larger subject through different, separate studies and use the findings to understand its relationship to another subject. This type of design also provides insight into an issue or helps refine a theory. 

For example, you may want to determine if violent behavior in children predisposes them to crime later in life. The focus is on the relationship between children and violent behavior, and why certain children do become violent. Here is an example: “Violence Breeds Violence: Childhood Exposure and Participation in Adult Crime.”

Evaluation case study design is employed to research the effects of a program, policy, or intervention, and assess its effectiveness and impact on future decision-making. 

For example, you might want to see whether children learn times tables quicker through an educational game on their iPad versus a more teacher-led intervention. Here is an example: “An Investigation of the Impact of an iPad Multiplication Game for Primary School Children.” 

• When do you use case studies?

Case studies are ideal when you want to gain a contextual, concrete, or in-depth understanding of a particular subject. It helps you understand the characteristics, implications, and meanings of the subject.

They are also an excellent choice for those writing a thesis or dissertation, as they help keep the project focused on a particular area when resources or time may be too limited to cover a wider one. You may have to conduct several case studies to explore different aspects of the subject in question and understand the problem.

• What are the steps to follow when conducting a case study?

1. Select a case

Once you identify the problem at hand and come up with questions, identify the case you will focus on. The study can provide insights into the subject at hand, challenge existing assumptions, propose a course of action, and/or open up new areas for further research.

2. Create a theoretical framework

While you will be focusing on a specific detail, the case study design you choose should be linked to existing knowledge on the topic. This prevents it from becoming an isolated description and allows for enhancing the existing information. 

It may expand the current theory by bringing up new ideas or concepts, challenge established assumptions, or exemplify a theory by exploring how it answers the problem at hand. A theoretical framework starts with a literature review of the sources relevant to the topic in focus. This helps in identifying key concepts to guide analysis and interpretation.

3. Collect the data

Case studies are frequently supplemented with qualitative data such as observations, interviews, and a review of both primary and secondary sources such as official records, news articles, and photographs. There may also be quantitative data —this data assists in understanding the case thoroughly.

4. Analyze your case

The results of the research depend on the research design. Most case studies are structured with chapters or topic headings for easy explanation and presentation. Others may be written as narratives to allow researchers to explore various angles of the topic and analyze its meanings and implications.

In all areas, always give a detailed contextual understanding of the case and connect it to the existing theory and literature before discussing how it fits into your problem area.

• What are some case study examples?

What are the best approaches for introducing our product into the Kenyan market?

How does the change in marketing strategy aid in increasing the sales volumes of product Y?

How can teachers enhance student participation in classrooms?

How does poverty affect literacy levels in children?

Case study topics

Case study of product marketing strategies in the Kenyan market

Case study of the effects of a marketing strategy change on product Y sales volumes

Case study of X school teachers that encourage active student participation in the classroom

Case study of the effects of poverty on literacy levels in children

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

Case Study | Definition, Examples & Methods

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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• Roberta Heale 1 ,
• Alison Twycross 2
• 1 School of Nursing , Laurentian University , Sudbury , Ontario , Canada
• 2 School of Health and Social Care , London South Bank University , London , UK
• Correspondence to Dr Roberta Heale, School of Nursing, Laurentian University, Sudbury, ON P3E2C6, Canada; rheale{at}laurentian.ca

https://doi.org/10.1136/eb-2017-102845

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What is it?

Case study is a research methodology, typically seen in social and life sciences. There is no one definition of case study research. 1 However, very simply… ‘a case study can be defined as an intensive study about a person, a group of people or a unit, which is aimed to generalize over several units’. 1 A case study has also been described as an intensive, systematic investigation of a single individual, group, community or some other unit in which the researcher examines in-depth data relating to several variables. 2

Often there are several similar cases to consider such as educational or social service programmes that are delivered from a number of locations. Although similar, they are complex and have unique features. In these circumstances, the evaluation of several, similar cases will provide a better answer to a research question than if only one case is examined, hence the multiple-case study. Stake asserts that the cases are grouped and viewed as one entity, called the quintain . 6  ‘We study what is similar and different about the cases to understand the quintain better’. 6

The steps when using case study methodology are the same as for other types of research. 6 The first step is defining the single case or identifying a group of similar cases that can then be incorporated into a multiple-case study. A search to determine what is known about the case(s) is typically conducted. This may include a review of the literature, grey literature, media, reports and more, which serves to establish a basic understanding of the cases and informs the development of research questions. Data in case studies are often, but not exclusively, qualitative in nature. In multiple-case studies, analysis within cases and across cases is conducted. Themes arise from the analyses and assertions about the cases as a whole, or the quintain, emerge. 6

Benefits and limitations of case studies

If a researcher wants to study a specific phenomenon arising from a particular entity, then a single-case study is warranted and will allow for a in-depth understanding of the single phenomenon and, as discussed above, would involve collecting several different types of data. This is illustrated in example 1 below.

Using a multiple-case research study allows for a more in-depth understanding of the cases as a unit, through comparison of similarities and differences of the individual cases embedded within the quintain. Evidence arising from multiple-case studies is often stronger and more reliable than from single-case research. Multiple-case studies allow for more comprehensive exploration of research questions and theory development. 6

Despite the advantages of case studies, there are limitations. The sheer volume of data is difficult to organise and data analysis and integration strategies need to be carefully thought through. There is also sometimes a temptation to veer away from the research focus. 2 Reporting of findings from multiple-case research studies is also challenging at times, 1 particularly in relation to the word limits for some journal papers.

Examples of case studies

Example 1: nurses’ paediatric pain management practices.

One of the authors of this paper (AT) has used a case study approach to explore nurses’ paediatric pain management practices. This involved collecting several datasets:

Observational data to gain a picture about actual pain management practices.

Questionnaire data about nurses’ knowledge about paediatric pain management practices and how well they felt they managed pain in children.

Questionnaire data about how critical nurses perceived pain management tasks to be.

These datasets were analysed separately and then compared 7–9 and demonstrated that nurses’ level of theoretical did not impact on the quality of their pain management practices. 7 Nor did individual nurse’s perceptions of how critical a task was effect the likelihood of them carrying out this task in practice. 8 There was also a difference in self-reported and observed practices 9 ; actual (observed) practices did not confirm to best practice guidelines, whereas self-reported practices tended to.

Example 2: quality of care for complex patients at Nurse Practitioner-Led Clinics (NPLCs)

The other author of this paper (RH) has conducted a multiple-case study to determine the quality of care for patients with complex clinical presentations in NPLCs in Ontario, Canada. 10 Five NPLCs served as individual cases that, together, represented the quatrain. Three types of data were collected including:

Review of documentation related to the NPLC model (media, annual reports, research articles, grey literature and regulatory legislation).

Interviews with nurse practitioners (NPs) practising at the five NPLCs to determine their perceptions of the impact of the NPLC model on the quality of care provided to patients with multimorbidity.

Chart audits conducted at the five NPLCs to determine the extent to which evidence-based guidelines were followed for patients with diabetes and at least one other chronic condition.

The three sources of data collected from the five NPLCs were analysed and themes arose related to the quality of care for complex patients at NPLCs. The multiple-case study confirmed that nurse practitioners are the primary care providers at the NPLCs, and this positively impacts the quality of care for patients with multimorbidity. Healthcare policy, such as lack of an increase in salary for NPs for 10 years, has resulted in issues in recruitment and retention of NPs at NPLCs. This, along with insufficient resources in the communities where NPLCs are located and high patient vulnerability at NPLCs, have a negative impact on the quality of care. 10

These examples illustrate how collecting data about a single case or multiple cases helps us to better understand the phenomenon in question. Case study methodology serves to provide a framework for evaluation and analysis of complex issues. It shines a light on the holistic nature of nursing practice and offers a perspective that informs improved patient care.

• Gustafsson J
• Calanzaro M
• Sandelowski M

Competing interests None declared.

Provenance and peer review Commissioned; internally peer reviewed.

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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."

Cara Lustik is a fact-checker and copywriter.

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."

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What the Case Study Method Really Teaches

• Nitin Nohria

Seven meta-skills that stick even if the cases fade from memory.

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

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

• Nitin Nohria is the George F. Baker Professor of Business Administration, Distinguished University Service Professor, and former dean of Harvard Business School.

Partner Center

• Open access
• Published: 27 June 2011

The case study approach

• Sarah Crowe 1 ,
• Kathrin Cresswell 2 ,
• Ann Robertson 2 ,
• Guro Huby 3 ,
• Anthony Avery 1 &
• Aziz Sheikh 2  

BMC Medical Research Methodology volume  11 , Article number:  100 ( 2011 ) Cite this article

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The case study approach allows in-depth, multi-faceted explorations of complex issues in their real-life settings. The value of the case study approach is well recognised in the fields of business, law and policy, but somewhat less so in health services research. Based on our experiences of conducting several health-related case studies, we reflect on the different types of case study design, the specific research questions this approach can help answer, the data sources that tend to be used, and the particular advantages and disadvantages of employing this methodological approach. The paper concludes with key pointers to aid those designing and appraising proposals for conducting case study research, and a checklist to help readers assess the quality of case study reports.

Peer Review reports

Introduction

The case study approach is particularly useful to employ when there is a need to obtain an in-depth appreciation of an issue, event or phenomenon of interest, in its natural real-life context. Our aim in writing this piece is to provide insights into when to consider employing this approach and an overview of key methodological considerations in relation to the design, planning, analysis, interpretation and reporting of case studies.

The illustrative 'grand round', 'case report' and 'case series' have a long tradition in clinical practice and research. Presenting detailed critiques, typically of one or more patients, aims to provide insights into aspects of the clinical case and, in doing so, illustrate broader lessons that may be learnt. In research, the conceptually-related case study approach can be used, for example, to describe in detail a patient's episode of care, explore professional attitudes to and experiences of a new policy initiative or service development or more generally to 'investigate contemporary phenomena within its real-life context' [ 1 ]. Based on our experiences of conducting a range of case studies, we reflect on when to consider using this approach, discuss the key steps involved and illustrate, with examples, some of the practical challenges of attaining an in-depth understanding of a 'case' as an integrated whole. In keeping with previously published work, we acknowledge the importance of theory to underpin the design, selection, conduct and interpretation of case studies[ 2 ]. In so doing, we make passing reference to the different epistemological approaches used in case study research by key theoreticians and methodologists in this field of enquiry.

This paper is structured around the following main questions: What is a case study? What are case studies used for? How are case studies conducted? What are the potential pitfalls and how can these be avoided? We draw in particular on four of our own recently published examples of case studies (see Tables 1 , 2 , 3 and 4 ) and those of others to illustrate our discussion[ 3 – 7 ].

What is a case study?

A case study is a research approach that is used to generate an in-depth, multi-faceted understanding of a complex issue in its real-life context. It is an established research design that is used extensively in a wide variety of disciplines, particularly in the social sciences. A case study can be defined in a variety of ways (Table 5 ), the central tenet being the need to explore an event or phenomenon in depth and in its natural context. It is for this reason sometimes referred to as a "naturalistic" design; this is in contrast to an "experimental" design (such as a randomised controlled trial) in which the investigator seeks to exert control over and manipulate the variable(s) of interest.

Stake's work has been particularly influential in defining the case study approach to scientific enquiry. He has helpfully characterised three main types of case study: intrinsic , instrumental and collective [ 8 ]. An intrinsic case study is typically undertaken to learn about a unique phenomenon. The researcher should define the uniqueness of the phenomenon, which distinguishes it from all others. In contrast, the instrumental case study uses a particular case (some of which may be better than others) to gain a broader appreciation of an issue or phenomenon. The collective case study involves studying multiple cases simultaneously or sequentially in an attempt to generate a still broader appreciation of a particular issue.

These are however not necessarily mutually exclusive categories. In the first of our examples (Table 1 ), we undertook an intrinsic case study to investigate the issue of recruitment of minority ethnic people into the specific context of asthma research studies, but it developed into a instrumental case study through seeking to understand the issue of recruitment of these marginalised populations more generally, generating a number of the findings that are potentially transferable to other disease contexts[ 3 ]. In contrast, the other three examples (see Tables 2 , 3 and 4 ) employed collective case study designs to study the introduction of workforce reconfiguration in primary care, the implementation of electronic health records into hospitals, and to understand the ways in which healthcare students learn about patient safety considerations[ 4 – 6 ]. Although our study focusing on the introduction of General Practitioners with Specialist Interests (Table 2 ) was explicitly collective in design (four contrasting primary care organisations were studied), is was also instrumental in that this particular professional group was studied as an exemplar of the more general phenomenon of workforce redesign[ 4 ].

What are case studies used for?

According to Yin, case studies can be used to explain, describe or explore events or phenomena in the everyday contexts in which they occur[ 1 ]. These can, for example, help to understand and explain causal links and pathways resulting from a new policy initiative or service development (see Tables 2 and 3 , for example)[ 1 ]. In contrast to experimental designs, which seek to test a specific hypothesis through deliberately manipulating the environment (like, for example, in a randomised controlled trial giving a new drug to randomly selected individuals and then comparing outcomes with controls),[ 9 ] the case study approach lends itself well to capturing information on more explanatory ' how ', 'what' and ' why ' questions, such as ' how is the intervention being implemented and received on the ground?'. The case study approach can offer additional insights into what gaps exist in its delivery or why one implementation strategy might be chosen over another. This in turn can help develop or refine theory, as shown in our study of the teaching of patient safety in undergraduate curricula (Table 4 )[ 6 , 10 ]. Key questions to consider when selecting the most appropriate study design are whether it is desirable or indeed possible to undertake a formal experimental investigation in which individuals and/or organisations are allocated to an intervention or control arm? Or whether the wish is to obtain a more naturalistic understanding of an issue? The former is ideally studied using a controlled experimental design, whereas the latter is more appropriately studied using a case study design.

Case studies may be approached in different ways depending on the epistemological standpoint of the researcher, that is, whether they take a critical (questioning one's own and others' assumptions), interpretivist (trying to understand individual and shared social meanings) or positivist approach (orientating towards the criteria of natural sciences, such as focusing on generalisability considerations) (Table 6 ). Whilst such a schema can be conceptually helpful, it may be appropriate to draw on more than one approach in any case study, particularly in the context of conducting health services research. Doolin has, for example, noted that in the context of undertaking interpretative case studies, researchers can usefully draw on a critical, reflective perspective which seeks to take into account the wider social and political environment that has shaped the case[ 11 ].

How are case studies conducted?

Here, we focus on the main stages of research activity when planning and undertaking a case study; the crucial stages are: defining the case; selecting the case(s); collecting and analysing the data; interpreting data; and reporting the findings.

Defining the case

Carefully formulated research question(s), informed by the existing literature and a prior appreciation of the theoretical issues and setting(s), are all important in appropriately and succinctly defining the case[ 8 , 12 ]. Crucially, each case should have a pre-defined boundary which clarifies the nature and time period covered by the case study (i.e. its scope, beginning and end), the relevant social group, organisation or geographical area of interest to the investigator, the types of evidence to be collected, and the priorities for data collection and analysis (see Table 7 )[ 1 ]. A theory driven approach to defining the case may help generate knowledge that is potentially transferable to a range of clinical contexts and behaviours; using theory is also likely to result in a more informed appreciation of, for example, how and why interventions have succeeded or failed[ 13 ].

For example, in our evaluation of the introduction of electronic health records in English hospitals (Table 3 ), we defined our cases as the NHS Trusts that were receiving the new technology[ 5 ]. Our focus was on how the technology was being implemented. However, if the primary research interest had been on the social and organisational dimensions of implementation, we might have defined our case differently as a grouping of healthcare professionals (e.g. doctors and/or nurses). The precise beginning and end of the case may however prove difficult to define. Pursuing this same example, when does the process of implementation and adoption of an electronic health record system really begin or end? Such judgements will inevitably be influenced by a range of factors, including the research question, theory of interest, the scope and richness of the gathered data and the resources available to the research team.

Selecting the case(s)

The decision on how to select the case(s) to study is a very important one that merits some reflection. In an intrinsic case study, the case is selected on its own merits[ 8 ]. The case is selected not because it is representative of other cases, but because of its uniqueness, which is of genuine interest to the researchers. This was, for example, the case in our study of the recruitment of minority ethnic participants into asthma research (Table 1 ) as our earlier work had demonstrated the marginalisation of minority ethnic people with asthma, despite evidence of disproportionate asthma morbidity[ 14 , 15 ]. In another example of an intrinsic case study, Hellstrom et al.[ 16 ] studied an elderly married couple living with dementia to explore how dementia had impacted on their understanding of home, their everyday life and their relationships.

For an instrumental case study, selecting a "typical" case can work well[ 8 ]. In contrast to the intrinsic case study, the particular case which is chosen is of less importance than selecting a case that allows the researcher to investigate an issue or phenomenon. For example, in order to gain an understanding of doctors' responses to health policy initiatives, Som undertook an instrumental case study interviewing clinicians who had a range of responsibilities for clinical governance in one NHS acute hospital trust[ 17 ]. Sampling a "deviant" or "atypical" case may however prove even more informative, potentially enabling the researcher to identify causal processes, generate hypotheses and develop theory.

In collective or multiple case studies, a number of cases are carefully selected. This offers the advantage of allowing comparisons to be made across several cases and/or replication. Choosing a "typical" case may enable the findings to be generalised to theory (i.e. analytical generalisation) or to test theory by replicating the findings in a second or even a third case (i.e. replication logic)[ 1 ]. Yin suggests two or three literal replications (i.e. predicting similar results) if the theory is straightforward and five or more if the theory is more subtle. However, critics might argue that selecting 'cases' in this way is insufficiently reflexive and ill-suited to the complexities of contemporary healthcare organisations.

The selected case study site(s) should allow the research team access to the group of individuals, the organisation, the processes or whatever else constitutes the chosen unit of analysis for the study. Access is therefore a central consideration; the researcher needs to come to know the case study site(s) well and to work cooperatively with them. Selected cases need to be not only interesting but also hospitable to the inquiry [ 8 ] if they are to be informative and answer the research question(s). Case study sites may also be pre-selected for the researcher, with decisions being influenced by key stakeholders. For example, our selection of case study sites in the evaluation of the implementation and adoption of electronic health record systems (see Table 3 ) was heavily influenced by NHS Connecting for Health, the government agency that was responsible for overseeing the National Programme for Information Technology (NPfIT)[ 5 ]. This prominent stakeholder had already selected the NHS sites (through a competitive bidding process) to be early adopters of the electronic health record systems and had negotiated contracts that detailed the deployment timelines.

It is also important to consider in advance the likely burden and risks associated with participation for those who (or the site(s) which) comprise the case study. Of particular importance is the obligation for the researcher to think through the ethical implications of the study (e.g. the risk of inadvertently breaching anonymity or confidentiality) and to ensure that potential participants/participating sites are provided with sufficient information to make an informed choice about joining the study. The outcome of providing this information might be that the emotive burden associated with participation, or the organisational disruption associated with supporting the fieldwork, is considered so high that the individuals or sites decide against participation.

In our example of evaluating implementations of electronic health record systems, given the restricted number of early adopter sites available to us, we sought purposively to select a diverse range of implementation cases among those that were available[ 5 ]. We chose a mixture of teaching, non-teaching and Foundation Trust hospitals, and examples of each of the three electronic health record systems procured centrally by the NPfIT. At one recruited site, it quickly became apparent that access was problematic because of competing demands on that organisation. Recognising the importance of full access and co-operative working for generating rich data, the research team decided not to pursue work at that site and instead to focus on other recruited sites.

Collecting the data

In order to develop a thorough understanding of the case, the case study approach usually involves the collection of multiple sources of evidence, using a range of quantitative (e.g. questionnaires, audits and analysis of routinely collected healthcare data) and more commonly qualitative techniques (e.g. interviews, focus groups and observations). The use of multiple sources of data (data triangulation) has been advocated as a way of increasing the internal validity of a study (i.e. the extent to which the method is appropriate to answer the research question)[ 8 , 18 – 21 ]. An underlying assumption is that data collected in different ways should lead to similar conclusions, and approaching the same issue from different angles can help develop a holistic picture of the phenomenon (Table 2 )[ 4 ].

Brazier and colleagues used a mixed-methods case study approach to investigate the impact of a cancer care programme[ 22 ]. Here, quantitative measures were collected with questionnaires before, and five months after, the start of the intervention which did not yield any statistically significant results. Qualitative interviews with patients however helped provide an insight into potentially beneficial process-related aspects of the programme, such as greater, perceived patient involvement in care. The authors reported how this case study approach provided a number of contextual factors likely to influence the effectiveness of the intervention and which were not likely to have been obtained from quantitative methods alone.

In collective or multiple case studies, data collection needs to be flexible enough to allow a detailed description of each individual case to be developed (e.g. the nature of different cancer care programmes), before considering the emerging similarities and differences in cross-case comparisons (e.g. to explore why one programme is more effective than another). It is important that data sources from different cases are, where possible, broadly comparable for this purpose even though they may vary in nature and depth.

Analysing, interpreting and reporting case studies

Making sense and offering a coherent interpretation of the typically disparate sources of data (whether qualitative alone or together with quantitative) is far from straightforward. Repeated reviewing and sorting of the voluminous and detail-rich data are integral to the process of analysis. In collective case studies, it is helpful to analyse data relating to the individual component cases first, before making comparisons across cases. Attention needs to be paid to variations within each case and, where relevant, the relationship between different causes, effects and outcomes[ 23 ]. Data will need to be organised and coded to allow the key issues, both derived from the literature and emerging from the dataset, to be easily retrieved at a later stage. An initial coding frame can help capture these issues and can be applied systematically to the whole dataset with the aid of a qualitative data analysis software package.

The Framework approach is a practical approach, comprising of five stages (familiarisation; identifying a thematic framework; indexing; charting; mapping and interpretation) , to managing and analysing large datasets particularly if time is limited, as was the case in our study of recruitment of South Asians into asthma research (Table 1 )[ 3 , 24 ]. Theoretical frameworks may also play an important role in integrating different sources of data and examining emerging themes. For example, we drew on a socio-technical framework to help explain the connections between different elements - technology; people; and the organisational settings within which they worked - in our study of the introduction of electronic health record systems (Table 3 )[ 5 ]. Our study of patient safety in undergraduate curricula drew on an evaluation-based approach to design and analysis, which emphasised the importance of the academic, organisational and practice contexts through which students learn (Table 4 )[ 6 ].

Case study findings can have implications both for theory development and theory testing. They may establish, strengthen or weaken historical explanations of a case and, in certain circumstances, allow theoretical (as opposed to statistical) generalisation beyond the particular cases studied[ 12 ]. These theoretical lenses should not, however, constitute a strait-jacket and the cases should not be "forced to fit" the particular theoretical framework that is being employed.

When reporting findings, it is important to provide the reader with enough contextual information to understand the processes that were followed and how the conclusions were reached. In a collective case study, researchers may choose to present the findings from individual cases separately before amalgamating across cases. Care must be taken to ensure the anonymity of both case sites and individual participants (if agreed in advance) by allocating appropriate codes or withholding descriptors. In the example given in Table 3 , we decided against providing detailed information on the NHS sites and individual participants in order to avoid the risk of inadvertent disclosure of identities[ 5 , 25 ].

What are the potential pitfalls and how can these be avoided?

The case study approach is, as with all research, not without its limitations. When investigating the formal and informal ways undergraduate students learn about patient safety (Table 4 ), for example, we rapidly accumulated a large quantity of data. The volume of data, together with the time restrictions in place, impacted on the depth of analysis that was possible within the available resources. This highlights a more general point of the importance of avoiding the temptation to collect as much data as possible; adequate time also needs to be set aside for data analysis and interpretation of what are often highly complex datasets.

Case study research has sometimes been criticised for lacking scientific rigour and providing little basis for generalisation (i.e. producing findings that may be transferable to other settings)[ 1 ]. There are several ways to address these concerns, including: the use of theoretical sampling (i.e. drawing on a particular conceptual framework); respondent validation (i.e. participants checking emerging findings and the researcher's interpretation, and providing an opinion as to whether they feel these are accurate); and transparency throughout the research process (see Table 8 )[ 8 , 18 – 21 , 23 , 26 ]. Transparency can be achieved by describing in detail the steps involved in case selection, data collection, the reasons for the particular methods chosen, and the researcher's background and level of involvement (i.e. being explicit about how the researcher has influenced data collection and interpretation). Seeking potential, alternative explanations, and being explicit about how interpretations and conclusions were reached, help readers to judge the trustworthiness of the case study report. Stake provides a critique checklist for a case study report (Table 9 )[ 8 ].

Conclusions

The case study approach allows, amongst other things, critical events, interventions, policy developments and programme-based service reforms to be studied in detail in a real-life context. It should therefore be considered when an experimental design is either inappropriate to answer the research questions posed or impossible to undertake. Considering the frequency with which implementations of innovations are now taking place in healthcare settings and how well the case study approach lends itself to in-depth, complex health service research, we believe this approach should be more widely considered by researchers. Though inherently challenging, the research case study can, if carefully conceptualised and thoughtfully undertaken and reported, yield powerful insights into many important aspects of health and healthcare delivery.

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Acknowledgements

We are grateful to the participants and colleagues who contributed to the individual case studies that we have drawn on. This work received no direct funding, but it has been informed by projects funded by Asthma UK, the NHS Service Delivery Organisation, NHS Connecting for Health Evaluation Programme, and Patient Safety Research Portfolio. We would also like to thank the expert reviewers for their insightful and constructive feedback. Our thanks are also due to Dr. Allison Worth who commented on an earlier draft of this manuscript.

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AS conceived this article. SC, KC and AR wrote this paper with GH, AA and AS all commenting on various drafts. SC and AS are guarantors.

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When and How to Use a Case Study for Research

May 17, 2021 (Updated: May 4, 2023)

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What Is Case Study Research?

Types of case studies, when should you use a case study, case study benefits, case study limitations, how to write a case study.

Imagine your company receives a string of negative reviews online. You notice a few common themes among the complaints, but you still aren’t quite sure what went wrong. Or suppose an old blog post suddenly went viral, and you’d like to know why and how to do it again. In both of these situations, a case study could be the best way to find answers.

A case study is a process whereby researchers examine a specific subject in a thorough, detailed way. The subject of a case study could be an individual, a group, a community, a business, an organization, an event, or a phenomenon. Regardless of the type of subject, case studies are in-depth investigations designed to identify patterns and cause-and-effect relationships. Case studies are often used by researchers in the field of psychology , medicine, business, social work, anthropology, education, or political science.

Because they are singular in their focus and often rely on qualitative data, case studies tend to be highly subjective. The results of a single case study cannot always be generalized and applied to the larger population. However, case studies can be valuable tools for developing a thesis or illustrating a principle. They can help researchers understand, describe, compare, and evaluate different aspects of an issue or question.

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Case studies can be classified according to their purpose or their subject. For instance, a case study can focus on any of the following:

• A person:  Some case studies focus on one particular person. Often, the subject will be an individual with some rare characteristic or experience.
• A group:  Group case studies could look at a family, a group of coworkers, or a friend group. It could be people thrown together by circumstance or who share some bond or relationship. A group case study could even focus on an entire community of people.
• An organization:  An organizational case study could focus on a business, a nonprofit, an institution, or any other formal entity. The study could look at the people in the organization, the processes they use, or an incident at the organization.
• A location:  An event case study focuses on a specific area. It could be used to study environmental and population changes or to examine how people use the location.
• An event:  Event case studies can be used to cover anything from a natural disaster to a political scandal. Often, these case studies are conducted retrospectively, as an investigation into a past event.

In addition to different types of subjects, case studies often have different designs or purposes. Here are a few of the most common types of case studies:

• Explanatory:  An explanatory case study tries to explain the why or how behind something. This type of case study works well when studying an event or phenomenon, like an airplane crash or unexpected power outage.
• Descriptive:  A descriptive, or illustrative, case study is designed to shed light on an unfamiliar subject. Case studies like this provide in-depth, real-world examples of whatever the researcher wants to help the audience understand. For instance, a descriptive case study could focus on the experience of a mother with postpartum depression or on a young adult who has aged out of the foster care system.
• Exploratory:  An exploratory case study, or pilot case study, often serves as the first step in a larger research project. Researchers may use a case study to help them narrow their focus, draft a specific research question, and guide the parameters of a formal, large-scale study.
• Intrinsic:  An intrinsic case study has no goal beyond a deeper understanding of its subject. In this type of study, researchers are not trying to make generalized conclusions, challenge existing assumptions, or make any compare-and-contrast connections. The most interesting thing about the study is the subject itself.
• Critical Instance:  A critical instance case study is similar to an explanatory or intrinsic study. Like an intrinsic study, it may have no predetermined purpose beyond investigating the subject. Like an explanatory study, it may be used to explain a cause-and-effect relationship. A critical instance case study may also be used to call into question a commonly held assumption or popular theory.
• Instrumental:  An instrumental case study is the opposite of an intrinsic study because it serves a purpose beyond understanding the immediate subject. In this type of study, researchers explore a larger question through an individual case or cases. For instance, researchers could use a handful of case studies to investigate the relationship between social media use and happiness.
• Cumulative:  A cumulative, or collective, case study uses information from several past studies as the basis for a new study. Because it takes into account multiple case studies, a cumulative study allows for greater generalization than a single case study. It can also be a more time- and cost-effective option since it makes use of existing research.

Case studies are often used in the exploratory phase of research to gather qualitative data. They can also be used to create, support, or refute a hypothesis and guide future research. For instance, a marketing professional might conduct a case study to discover why a viral ad campaign was so successful . They can then take any lessons they glean from the case study and apply them to future marketing efforts. A psychologist could use a case study to form a theory about the best way to treat a specific disorder. That theory could then be tested later through a large-scale controlled study.

Case studies are a good way to explore a real-world topic in-depth, illustrate a point, discuss the implications or meaning of an event, or compare the experiences of different individuals. A trainer may use a case study to bring to life what would otherwise be an abstract series of recommended action steps or to spark a conversation about how to respond in a specific scenario. Similarly, professors can use case studies to highlight key concepts from a lecture and pose questions to test students’ understanding of the material.

In some situations, case studies are the only way to compile quantitative data in an ethical manner. For instance, many of the recommendations that doctors make regarding what is or is not safe during pregnancy are based on case studies. It wouldn’t be ethical to conduct a controlled study that exposes pregnant women to potentially harmful substances, so doctors rely on the anecdotal evidence provided by case studies to find correlations and draw their conclusions.

Case studies can also be used to gather data that would be otherwise impossible or impractical to obtain. Students often use case studies for their thesis or dissertation when they lack the time or resources to conduct large-scale research. Zoologists might use existing case studies to determine the success rate of reintroducing rehabilitated animals into the wild. A historian could use case studies to explore the strategies used by dictators to gain and maintain power.

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Case studies can be used on their own or as a complement to other research methods, depending on the situation. The examples above are just a few instances where case studies can be useful. Case studies also work well for the following:

Providing Insight Through Qualitative Data

Case studies generally provide more qualitative data as opposed to quantitative data , and that makes them an invaluable tool for gathering insight into complex topics. Psychologists, for instance, use case studies to better understand human behavior. Crafting theories on the motives behind human actions would be difficult with quantitative data alone. The information gleaned through case studies may be subjective, but so is much of what makes us human. As individuals, we each have a unique blend of emotions, attitudes, opinions, motivations, and behaviors. Objective quantitative data is rarely the best way to identify and explain these nuances.

By their very nature, case studies allow more more intensive, in-depth study than other research methods. Rather than aiming for a large sample size, case studies follow a single subject. Often case studies are conducted over a longer period of time, and the narrow focus allows researchers to gather more detail than would be possible in a study of thousands of people. The information gleaned may not be representative of the broader population, but it does provide richer insight into the subject than other research methods.

Identifying Avenues for Future Research

Case studies are often used as the first step in a larger research project. The results of a case study cannot necessarily be generalized, but they can help researchers narrow their focus. For instance, researchers in the medical field might conduct a case study on a patient who survived an injury that typically proves fatal.

Over the course of the study, researchers may identify two or three ways in which this patient’s situation differed from others they have seen. Perhaps they identify something unique in the patient’s DNA or lifestyle choices or in the steps doctors took to treat the injury. Letting that information guide them, researchers could use other methods to deepen their understanding of those factors and perhaps develop new treatments or preventative recommendations.

Case studies can also be used in the fields of social work, politics, and anthropology to draw attention to a widespread problem and spur more research. A detailed narrative about one person’s experience will inspire more compassion than an academic paper filled with quantitative data. Stories often have a greater impact than statistics.

Challenging, Testing, or Developing Theories

Case studies can be particularly useful in the process of forming and testing theories. A case study may lead researchers to form a new theory or call into a question an existing one. They are an invaluable tool for identifying exceptions to a rule or disproving conventional wisdom.

For instance, a medical professional may write a case study about a patient who exhibited atypical symptoms to assert that the list of symptoms for a condition should be expanded. A psychologist could use a case study to determine whether the new treatment they devised for depression is effective, or to demonstrate that existing treatment methods are flawed. As the result of a case study, a marketing professional could suggest that consumers values have changed and that marketing best practices should be updated accordingly.

Enabling the Study of Unique Subjects

Some subjects would be impossible, impractical, or unethical to study through other research methods. This is true in the case of extremely rare phenomenon, many aspects of human behavior, and even some medical conditions.

Suppose a medical professional would like to gather more information about multiple-birth pregnancies with four or more fetuses. More information would be helpful because we have less information about them, but the reason we have less information is because they are so rare. Conducting case studies of a few women who are currently pregnant with multiples or have given birth to multiples in the past may be the only practical way to research them.

Case studies can also be used to gain insight into historical events and natural phenomenon — things we are not able to repeat at will. Case studies have also been used to study subjects such as a feral child , child prodigies, rare psychological conditions, crisis response, and more.

Helping People Better Understand Nuanced Concepts

Educators incorporate case studies into their lectures for a reason. Walking students through a detailed case study can make the abstract seem more real and draw out the nuances of a concept. Case studies can facilitate engaging discussions, spark thoughtful questions, and give students a chance to apply what they have learned to real-world situations.

Outside the classroom, case studies can be used to illustrate complex ideas. For instance, a well-constructed case study can highlight the unintended consequences of a new piece of legislation or demonstrate that depression does not always manifest in an obvious way. Case studies can help readers and listeners understand and care about an issue that does not directly affect them.

Despite their benefits, case studies do come with a few limitations. Compared to other research methods, case studies are often at a disadvantage in terms of the following:

Replicability

In most cases, scientists strive to create experiments that can be repeated by others. That way, other scientists can perform their own research and compare their results to those of the initial study. Assuming these other scientists achieve similar results, the replicability of the experiment lends credibility to the findings and theories of the original researchers.

One limitation of case studies is that they are often difficult, if not impossible, to replicate. Although this fact does not diminish the value of case studies, it does demonstrate that case studies are not a good fit for every research problem — at least, not on their own. Additional research would have to be performed to corroborate the results and prove or disprove any generalized theories generated by a case study.

Generalization

Generalization is another area in which case studies cannot match other research methods. A case study can help us challenge existing theories and form new ones, but its results cannot necessarily be generalized. The data we gather from a case study is only valid for that specific subject, and we cannot assume that our conclusions apply to the broader population.

Researchers or readers can attempt to apply the principles from a particular case to similar situations or incorporate the results into a more comprehensive theory. However, a case study by itself can only prove the existence of certain possibilities and exceptions, not a general rule.

Reliability

The reliability of case studies may be called into question for two reasons. The first objection centers on the fallibility of human memory and the question of whether subjects are being honest. Many case studies rely on subjects to self-report biographical details, their state of mind, their thoughts and feelings, or their behaviors.

The second issue is the Hawthorne effect, which refers to the tendency of individuals to modify their behavior when they know they are being observed. This effect makes it nearly impossible for researchers to ensure that the observations and conclusions of their case study are reliable.

Researcher Bias

Researcher bias is another potential issue with case studies. The results of a case study are by nature subjective and qualitative rather than objective and qualitative, and any findings rely heavily on the observations and narrative provided by the researcher. Even the best researchers are still human, and no matter how hard they try to remain objective, they will not be able to keep their findings completely free of bias.

Researchers may have biases they are not even aware of. A researcher may over-identify with the subject and lose the benefit of a dispassionate outside perspective. If the researcher already has an opinion on the subject, they may subconsciously overlook or discount facts that contradict their pre-existing assumptions. Researcher bias can affect what the researcher observes and records, as well as how they interpret and apply their observations.

Case studies can be time-consuming and expensive to conduct. Crafting a thorough case study can be a lengthy project due to the intensive, detailed nature of this type of research. Plus, once the information has been gathered, it must be interpreted. Between the observation and analysis, a case study could take months or even years to complete. Researchers will need to be heavily involved in every step of the process, putting in a lot of time, energy, focus, and effort to ensure that the case study is as informative as possible.

Now that you understand the benefits, limitations, and types of case studies, you can follow these steps to write your own:

• Determine your objective.  Write out your research problem, question, or goal. If you aren’t sure, ask yourself questions like, “What am I trying to accomplish? What do I need to know? What will success look like?” Be clear and specific. Your answers will help you choose the right type of case study for your needs.
• Review the research.  Before delving into your case study, take some time to review the research that is already available. The information you gather during this preliminary research can help guide your efforts.
• Choose a subject.  Decide what or who the subject of your case study will be. For instance, if you are conducting a case study to find out how businesses have been affected by new CDC guidelines, you will need to choose a specific restaurant or retailer. In some cases, you may need to draft a release form for the subject to sign so that you will be able to publish your study.
• Gather information.  Case studies about a person, organization, or group may rely on questionnaires or interviews to gather information. If you are studying an event, you might use a combination of academic research and witness interviews. In some cases, you will record your own observations as part of the study.
• Write a report.  Most case studies culminate in a written report, similar to a research paper. Most case studies include five sections : an introduction, a literature review, an explanation of your methods, a discussion of your findings and the implications, followed by a conclusion.
• Publish your findings.  Once you’ve written your case study, consider the most engaging way to present your findings. A well-written research article is a good place to start, but going a step further will maximize the impact of your research. For instance, you could design an infographic to highlight key findings or commission an animated video to turn your case study into a visual narrative.

Whether research is your primary occupation or only an incidental part of your job, you can benefit from a solid understanding of what case studies are, how they work, and when to use them. Use the information and steps above to design and write a case study that will provide the answers you’re looking for.

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When Patients Do Their Own Research

At its best, medicine will be a process of shared decision making, and doctors need to be prepared.

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Produced by ElevenLabs and News Over Audio (NOA) using AI narration.

Miscarriage early in pregnancy is very common—roughly one-fifth of detected pregnancies are thought to end in miscarriage, mostly in the first trimester. After a single miscarriage, patients are typically told that no further testing is needed; most women go on to have healthy pregnancies.

But after multiple miscarriages, doctors and patients begin a process of figuring out what is going on. In these situations, a lot of patients will take information gathering into their own hands. They’ll compile ideas from Google, WebMD, chat boards, support groups, friends, and friends of friends. Patients may arrive at their doctor’s office with file folders of information, cobbled-together ideas of their possibilities. Meanwhile, doctors have clinical knowledge, but they may struggle—especially given their limited time—to engage with their patients’ ideas and guide them.

Medicine wasn’t always this sort of shared process. Not long ago, medical decision making was largely left to doctors. Patients were a passive bunch, arriving at the doctor with their concerns and symptoms, and departing with their doctor’s orders. But today patients have incredible access to information online and elsewhere, and this has prompted a shift to what is sometimes called “shared decision making”: patients and doctors, together, sharing the burden of making consequential health choices.

Emily Oster: Thinking about pregnancy like an economist

This approach sounds great in principle. Shouldn’t patients be involved in decision making about their own health? In the area of obstetrics, the alternative brings to mind deliveries of the 1950s—white-coated doctors smoking cigarettes in their office while women labor in “twilight sleep,” even, in many cases, strapped to the bed. Surely if women had been involved, they would have opted for something a bit more comfortable.

In practice, though, shared decision making can be a source of frustration and confusion, for both sides. From the patient side, it can feel like doctors are either expecting too much engagement— Isn’t it your job to know what to do?— or not listening and not taking the patient’s ideas and preferences seriously. Sometimes it feels like all of this at once. From the medical side, frustration also comes in several forms—with patients who do not want to engage with the decision, and with those who do but are unwilling to listen to expert advice. Why won’t they listen to me? A patient who arrives with her own research can give the impression that she believes her Google search makes her an expert in medicine.

We, the authors of this article, come at this from both angles—one of us is a doctor, and one of us is an expert in statistics who has made a career of helping millions of pregnant people sort through data to make their own best decisions. We both believe that shared decision making in medicine can work, but many doctor-patient interactions today are not working. In our new book, The Unexpected , we try to provide a road map for improving this interaction, focusing on pregnancy. Our idea is simple. Two things are missing from this conversation: some common knowledge, and a script.

First, patients cannot engage with shared decision making if they do not understand the basics of their condition. To return to the example of miscarriage: A very large share of first-trimester miscarriages are a result of chromosomal abnormalities. If a patient does not know how chromosomes work in conception and what might influence them, discussing miscarriage prevention will be difficult. A patient doesn’t possess a doctor’s understanding of their condition—this would be unrealistic—but acquiring basic knowledge will allow patients to most effectively hear and process what is being said.

In particular, patients may benefit from getting a handle on the fundamental medical terminology associated with whatever symptoms they are presenting. Unfamiliar jargon can spark fear far beyond what one would feel if one knew what was being said. “Antiphospholipid antibody syndrome” sounds terrifying if you don’t know that, for many, it’s a treatable condition. When patients do not understand, many will shut down, unable to ask the questions they have or engage with the choices they need to make.

As a result, before doctors ask people to engage with decisions about their health, they need to prepare them. Our book tries to do this for people facing complicated pregnancy conditions. In other cases—cancer treatment, diabetes, other chronic illnesses—different resources exist. Patients should do some homework before they go to the doctor’s office.

The second thing these conversations need is a script. If patients and their doctor had limitless time to talk, then maybe it would be okay to enter the conversation with only a vague idea of the purpose. But time is limited, and that means a script is key, prioritizing questions where the answers matter for decisions.

To return to the miscarriage example, a script might start with the details of what happened. Knowing exactly when in pregnancy a loss occurred, what kind of testing followed it, and how many times it has happened will shape next steps. A second question is whether there are clues as to why it happened, which will inform whether it will happen again. A script might end by talking about what can be done to decrease risk, if anything.

Read: When evidence says no, but doctors say yes

In the best form of this conversation, the doctor brings a deep understanding of what might be going on medically with the patient, the range of possible tests, and what those tests might reveal to the patient. The patient brings a knowledge of their own preferences and their own emotional state. How much information do they want to know? Would they be willing to use more complex medical treatments if they were recommended? Are they even ready to engage emotionally with thinking about trying for pregnancy again?

The central recognition here is that shared decision making isn’t about both sides bringing the same thing to the table and deliberating about it. It’s about two different types of expertise—expertise in medicine on the part of the doctor, and expertise in herself on the part of the patient. Seeing this, in turn, can help the doctors and the patient both recognize when one decision maker should be paramount, or when a decision requires input from both.

An emergency situation—when, say, a person has been in a bike accident, his blood pressure is low, and he is bleeding from his head—isn’t the time for shared decision making. This is when the medical side takes over. No patient needs to be asked whether they think it’s a good idea to scan their head for a skull fracture. At the other end of the spectrum are decisions such as prenatal genetic screening and testing, which are in many cases almost exclusively about patient values and preferences.

Most decisions fall somewhere in between, requiring medical input but with room for patients’ preferences to play a role. Attempting a vaginal birth after a C-section is an example here—both a repeat Cesarean and an attempted vaginal birth have their risks and benefits. The medical expertise comes in explaining these risks and benefits, but the decision for many women here should come down to their own preferences.

With better understanding, clear scripts, and a sense of when different decision makers should dominate, we believe there is space for some decision making to be truly shared. But one more crucial element should be present: trust. Sometimes the desire by patients to play a role in their medical care can seem like a lack of trust in their doctors. And on the flip side, when patients do not feel like their concerns, ideas, or preferences are being listened to, they can lose trust in their provider to find what is best for them . Good decisions require the trust to recognize that we are all rowing in the same direction, and the willingness to engage so we can get there.

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Canada needs more grocery competition, competition bureau retail grocery market study report.

June 27, 2023

Copyright and permission to reproduce

This publication is not a legal document. It is intended to provide general information and is provided for convenience. To learn more, please refer to the full text of the Acts or contact the Competition Bureau.

For information on the Competition Bureau’s activities, please contact:

Information Centre Competition Bureau 50 Victoria Street Gatineau QC  K1A 0C9

Telephone: 819‑997‑4282 Telephone (toll-free in Canada): 1‑800‑348‑5358 TTY (for hearing impaired): 1‑866‑694‑8389 Fax: 819‑997‑0324 Website: www.competitionbureau.gc.ca

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Except as otherwise specifically noted, the information in this publication may be reproduced, in part or in whole and by any means, without charge or further permission from the Competition Bureau, provided that due diligence is exercised in ensuring the accuracy of the information reproduced; that the Competition Bureau is identified as the source institution; and that the reproduction is not represented as an official version of the information reproduced or as having been made in affiliation with, or with the endorsement of, the Competition Bureau.

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© His Majesty the King in Right of Canada, as represented by the Minister of Industry, (2023).

Date: 2023-06-27

Aussi offert en français sous le titre Le Canada a besoin de plus de concurrence dans le secteur de l’épicerie : Rapport de l’étude de marché sur l’épicerie de détail du Bureau de la concurrence

Table of Contents

Executive summary, making the case for more grocery competition, about the competition bureau, how we collected information for this study, public opinion: survey results and what we learned, the state of the supermarket: grocery competition in canada, consolidation among canada’s grocers, domestic grocer margins, property controls, online grocery: the new supermarket, bringing international grocery players to canada, how other countries have increased grocery competition, informing consumers, canadians’ ideas for increasing grocery competition, recommendations to increase grocery competition in canada, how to contact the competition bureau.

Canada Needs More Grocery Competition: Competition Bureau Retail Grocery Market Study Report PDF , 5.46  MB , 52 Pages

Canada’s grocery industry is concentrated. Most Canadians buy groceries in stores owned by a handful of grocery giants. In 2022, Canada’s three largest grocers—Loblaws, Sobeys, and Metro—collectively reported more than $100 billion in sales and earned more than $3.6 billion in profits.

For new players and regional independents, the Canadian grocery industry is tough to break into. Canada is a big country and opening new grocery stores Footnote 1 is expensive and difficult. The industry’s big players operate thousands of stores and are well entrenched in the shopping habits of Canadians.

In recent years, industry concentration has increased, and it has become more difficult than ever for businesses to enter, expand, and compete effectively. Furthermore, the price Canadians pay for groceries has been rising fast. Factors such as higher input costs, Russia's invasion of Ukraine, and supply chain disruptions have contributed to recent increases in the price of food. But we have also seen a longer-term trend that pre-dates those events, of Canada’s largest grocers increasing the amount they make on food sales.

Canada needs solutions to help bring grocery prices in check. More competition is a key part of the answer.

On our use of plain language

This report uses language that is different from the Bureau’s previous market study reports. Communicating clearly and accessibly with the public promotes transparency and accountability in the Bureau’s work. It also encourages compliance with the law and promotes awareness of important issues which may impact consumers and businesses. The Bureau is committed to using plain and accessible language wherever possible.

Our Recommendations

Competitive markets empower consumers and drive businesses to lower prices, improve product quality, innovate, and bring valuable new products to market. In this report, we make four recommendations to governments to improve competition in the grocery industry. They are designed to be flexible and provide principles-based guidance on actions that federal, provincial, and territorial governments across Canada can take. The Bureau recognizes that governments will need to consider and weigh other factors in deciding whether, and if so, how to implement these recommendations. However, the Bureau is committed to collaborating with decision-makers to help advance our recommendations in the most pro-competitive way possible.

Our recommendations are as follows:

• Canada needs a Grocery Innovation Strategy aimed at supporting the emergence of new types of grocery businesses and expanding consumer choice. There are new businesses that want to disrupt how the industry works, including by selling groceries to Canadians online. Governments at all levels should work together to encourage the emergence of new types of grocery businesses that are willing to take risks to shake things up.
• Federal, provincial, and territorial support for the Canadian grocery industry should encourage the growth of independent grocers and the entry of international grocers into the Canadian market. There are a number of important independent grocers across Canada who already compete against Canada’s grocery giants. However, given their relative scale, they face real challenges growing into national competitors. To encourage more competition in the industry, governments should implement policies that support the growth of independents, as well as the entry of international and discount grocers. The entry of new competitors and growth of existing independents would increase competition, empower consumers, and drive businesses to lower prices, improve product quality, and innovate.
• Provincial and territorial governments should consider introducing accessible and harmonized unit pricing requirements. It is difficult to compare prices on even a few items between different grocery stores. Canadians need tools to help them compare grocery prices and empower them to make informed purchasing decisions. This information is key to shop better and shop smarter, and to encourage more competition in the industry. To achieve these goals, provincial and territorial governments should consider working together to develop and implement accessible and harmonized unit pricing requirements.
• Provincial and territorial governments should take measures to limit property controls in the grocery industry, which could include banning their use. Property controls limit how real estate can be used by competing grocers. They make it difficult, or even impossible, for new grocery stores to open, which reduces competition in communities.

The Bureau also needs to approach its work in the grocery industry with heightened vigilance and scrutiny to ensure that Canadians benefit from greater choice and more affordable groceries. We need to thoroughly and quickly investigate allegations of wrongdoing, and we need the power to act when issues arise. Therefore, in addition to the above recommendations for governments across Canada, the Bureau commits to taking the following three steps to better promote competition in the Canadian grocery industry:

• Approach our work in the Canadian grocery industry with heightened vigilance and scrutiny.
• Provide a pro-competitive perspective to support the implementation of Canada’s grocery code of conduct.
• Revisit the findings of this study in three years to assess progress on recommendations made to government.

Change will take time. These solutions will not bring Canadians’ grocery bills down immediately. But by acting now, governments at all levels can take steps toward creating a more competitive grocery industry in Canada.

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Why does competition matter? In a nutshell, competition is the driver of Canada's economy . When our economy is more competitive, Canadian businesses and consumers benefit in meaningful ways.

Competition pushes businesses to innovate, to improve the products and services they offer, and to enhance the efficiency of their operations. When these things happen, consumers benefit from increased choice, higher quality goods and services, and lower prices.

Competition matters in all industries and sectors of our economy, but why is it so important in the grocery industry?

Canada’s grocery industry is concentrated . It can be difficult for small and medium-sized businesses to compete effectively against Canada’s grocery giants. It is also challenging for new businesses to enter the industry successfully.

Without changes in the competitive landscape, Canadians will not be able to fully benefit from competitive prices and product choices.

So what is the solution? In our view, Canada needs more grocery competition .

Governments at all levels need to take steps to encourage and support more grocery competition in Canada. We have laid out a path to do so in this report.

The Competition Bureau is an independent law enforcement agency that protects and promotes competition for the benefit of Canadian consumers and businesses.

The Bureau’s activities are focused on those two key terms: protect and promote. To protect competition, we investigate potential breaches of the Competition Act and take appropriate action to remedy any harm. To promote competition , we work with businesses and governments across Canada to champion the key role of competition in the Canadian economy.

Market studies, like this one, are one way that the Bureau works to promote competition. Through this study, we have not investigated any specific allegations of wrongdoing. Instead, we have studied the grocery industry to understand its competitive dynamics and to explore ways that governments across Canada can act to promote greater grocery competition.

The Bureau’s law enforcement mandate

In the law enforcement context, the Bureau is an investigative body, much like the police. Our job is to collect evidence and investigate potential breaches of the Competition Act . Footnote 2 Proving that a person or business has violated the law requires solid evidence that can stand up to scrutiny.

The Competition Act sets out specific conduct—or anti-competitive behaviour—that we investigate. In general terms, this conduct can include:

• Price fixing and bid rigging —when competitors agree to avoid competing by agreeing to set the same prices for goods or services or agreeing that a specific supplier will win a contract.
• Deceptive marketing —when businesses deceive consumers by advertising or marketing products and services in ways that are false or misleading.
• Mergers —when one business buys another and harms competition in the marketplace.
• Abuse of Dominance —when dominant businesses engage in conduct that hurts competition in the marketplace.

Of course, these are just quick summaries of what we look for. The Competition Act is very specific about the type of conduct that may raise concern. We take action when we have sufficient evidence that a person or business has violated the law.

Competition promotion: Helping governments create more competition

It’s not just businesses that take actions that affect competition. Different levels of government can pass laws, policies, and regulations that sometimes make it harder for businesses to compete. As an example, laws that require Canadian ownership of businesses might stop foreign competitors from entering a market, which would reduce the choices available to Canadians and the competitiveness of the market.

There may be good reasons to pass such laws—such as ensuring Canadian control of our supply of an important product. But they also come at a cost, as less choice for consumers and competition can lead to higher prices.

Our retail grocery market study falls under our efforts to promote competition. When we do market studies, we examine an industry to see whether there are ways to improve competition. We do this so that we can suggest ways that governments can work to make competition better for Canada.

Market studies allow the Bureau to examine the competitive dynamics of an industry in an in-depth, holistic way. However, market studies are a bit different than other Bureau activities. When conducting law enforcement investigations, the Bureau can get court orders that compel businesses and people to give us information. For market studies, we do not have this ability. Instead, we generally have to rely on information that is publicly available or provided voluntarily.

In this study, we wanted to hear from consumers, given the impact of rising grocery prices on all Canadians. We used the Privy Council Office (PCO) Survey on Current Issues to assess Canadians’ attitudes and behaviours toward grocery shopping and solicited consumer perspectives on our website. The feedback received informed how we conducted the study and the issues we focused on.

Of course, in conducting this study, we also spoke to a variety of grocers, both in Canada and internationally. Many grocers were happy to speak with us, and we appreciate their candour and assistance with our study. Others were more reluctant to share information with the Bureau. This did limit our ability to fully answer some questions that are top of mind for Canadians, in ways that we discuss later in this report. Nevertheless, the absence of this information did not prevent us from identifying important ways in which grocery competition could be increased.

In addition to consumers and grocers, we benefited from speaking with a number of governments and agencies across Canada and internationally. We spoke with governments in Canada to understand how our current laws, policies, and regulations affect grocery competition. We also spoke to a number of international competition agencies to understand the steps that they have taken to increase grocery competition in their jurisdictions, and how these could be applied to Canada.

We also worked with independent financial and retail experts. These experts helped the Bureau to better understand how certain industry-specific practices affect competition in the grocery industry.

It’s important to note that our focus in this study was on retail grocery competition. We did not focus on issues relating to the purchase of groceries from suppliers, unless they had an impact on retail competition. Although the Bureau recognizes that the relationship between retailers and suppliers can affect the competitive dynamics of the industry, competition law in Canada does not regulate imbalances in bargaining power, and this aspect of the industry is subject to the establishment of a code of conduct that is currently being negotiated among key stakeholders. The Bureau has previously investigated the business practices of certain grocers in their dealings with suppliers, and will not hesitate to take appropriate action should there be evidence of any conduct that could violate the Competition Act .

Key takeaways

• As part of this study, we used the PCO Survey on Current Issues to assess Canadians’ attitudes and behaviours toward grocery shopping.
• Proximity matters: most Canadians buy groceries from stores located near their home.
• Consumers living in urban areas have significantly more options than those located in rural and remote areas of Canada.
• Supermarkets are still the main option for consumers, but more Canadians are buying groceries online.
• Loyalty programs are an important driver of consumer choice.

To inform this study, the Bureau used the PCO Survey on Current Issues. We asked the PCO to include eight questions on their questionnaire to assess Canadians’ attitudes and behaviours toward grocery shopping. This survey was conducted by telephone with a random sample of 1,000 Canadians through two waves from January 23 to January 29 and from January 30 to February 5, 2023. Footnote 3

The Bureau was interested in learning about how and where Canadians shop for their groceries. Responses to the PCO’s survey helped us focus our analysis on what is most important to Canadians. Below, we have presented the survey results. We examine what they tell us about certain identity factors and how they may impact the ways in which Canadians buy their groceries. We then interpret these results and consider how they may affect our thinking about grocery competition in Canada.

Public opinion survey results

How often do you buy groceries.

• Everyday: 3%
• 2-3 times per week: 37%
• Once a week: 44%
• Once every two weeks: 11%
• Once a month: 2%
• Less than once a month: 1%
• I do not buy groceries: 2%

The vast majority (81%) of Canadians said they buy groceries one to three times per week.

What stores do you typically go to when buying groceries?

• Loblaws and the stores they operate: 49%
• Sobeys and the stores they operate: 28%
• Walmart: 25%
• Metro and the stores they operate: 22%
• Costco: 18%
• Other grocery stores: 28%

About half (49%) of Canadians said they shop at Loblaws or a store they operate.

In the past 3 months, have you bought groceries using the following? Footnote 4

• Third-party grocery delivery service (e.g. Instacart): 17%
• Order online with curbside pickup: 12%
• Online order with home delivery service from the grocery store: 9%
• Meal prep delivery services (e.g. GoodFood): 8%
• Dark stores or online-only retailers (e.g. Buggy, SPUD): 2%

30% of Canadians said that they have used at least one online option in the past three months.

How often do you visit multiple grocery stores in order to find the best price?

• Sometimes: 41%
• Very often: 17%

Most Canadians (79%) said that they visit multiple grocery stores to find the best price at least sometimes.

How do you usually get to the grocery store?

• By car: 83%
• On foot: 10%
• By public transit: 5%
• By bike or scooter: 1%

Based on the mode of transportation you usually use to get to the grocery store, how many grocery stores are located within 15 minutes of your home?

Do you have a loyalty card or points card from a grocery store, are you more likely to buy your groceries at a grocery store to which you possess a loyalty or points card.

• Yes, much more likely: 34%
• Yes, somewhat more likely: 28%
• No, not more likely: 38%

How do social, economic and cultural factors shape the way Canadians buy groceries?

To be truly effective, competition policy needs to consider how different social, economic, and cultural factors interact and affect diverse groups of Canadians. Like other organizations around the world, including the Organisation for Economic Co-operation and Development , the Bureau is moving toward more inclusive competition law enforcement and promotion . By considering these factors in our work, we can protect and promote competition for consumers and businesses more effectively, while also helping build a more inclusive economy. The tools we used are founded on Gender-Based Analysis Plus (GBA Plus). Footnote 5

The Bureau has taken steps to become more inclusive in its information gathering and analysis because this can affect how we think about competition. For example, more comprehensive information can better inform us about how diverse groups of consumers make purchasing decisions. Likewise, it can contribute to the Bureau’s understanding of how competition can benefit and harm diverse groups of consumers. This helps inform our decision-making, including how we prioritize our work.

A key part of this work is gathering information—consulting and engaging diverse groups of Canadians, and where possible, seeking rich, disaggregated data to inform our competition enforcement and promotion activities. Our engagement with Canadian consumers as part of this study is just one example of our efforts in this area.

Survey findings from a Gender-based Analysis Plus lens

The Bureau applied a GBA Plus lens to the PCO's survey results. Footnote 6 This analysis presented some interesting findings:

• When it comes to shopping for groceries , Canadians living in urban areas said they are less likely to visit multiple grocery stores in order to find the best price. Younger Canadians (aged 18-34 years) also said they are more likely than others to have used a third-party service or a grocery store’s online service to shop for groceries.
• In terms of grocery store proximity , lower-income Canadians (earning less than $40,000 a year) and those living in rural areas said that they are more likely to have fewer than three grocery stores within 15 minutes of their home. Footnote 7
• Survey results also show that mode of transportation varies based on certain socio-economic characteristics. Lower-income Canadians and those aged 18-34 years are more likely to walk or use public transit to get to the grocery store.
• Loyalty or points cards are more popular among women. Lower income (earning less than $40,000 a year) and younger Canadians (18-34 years) are less likely to have a loyalty or points card from a grocery store. However, of the 75% of Canadians that said they have such a card, immigrants (72%) and those aged 18-34 years (79%) said they were at least somewhat more likely to buy their groceries at a store where they have a loyalty or points card.

What we learned about grocery competition from Canadians

We learned a lot from this survey. The responses from Canadians have helped us better understand the factors that drive consumer decision-making when it comes to grocery purchases.

Ultimately, the Bureau drew five conclusions about consumer behaviour in the grocery industry from these results. Footnote 8 Each is discussed in greater detail below:

1. Proximity matters

Consumers tend to stay close to home when thinking about grocery options. This makes a lot of sense, as the extra time, effort, and expense of travelling farther will tend to offset any cash savings they get.

A simple example is a staple item, like a bag of potatoes. How far would a person travel to save even $1 on a 5 lb bag of potatoes? Would they drive to the next town over? If the answer is no, then that store probably isn’t actually a competitive option for them.

Things are a bit more complicated when we consider decision-making around buying a week’s worth of groceries. Some items may be cheaper at a local store, and others more expensive relative to a store that is further away. Does the average Canadian sit down and price compare dozens of items across a number of stores? Or will they simply limit their shopping to a smaller number of local options?

It is important that we get these answers right. If individuals only ever shop within 20 minutes of their home, it would be wrong for us to consider a store 30 minutes away as being a meaningful competitor. Doing so would leave us with the conclusion that there was more competition than there really is.

2. The degree of grocery competition in urban and rural communities varies in meaningful ways

When looking at the availability of grocery products, we often see very different results when comparing cities to smaller towns or rural communities. In a city, residents might easily have five or more grocery stores within 20 minutes of their house. Those who live in a small town or a rural community said that they have much fewer options.

Remote, Northern, and Indigenous Communities

These differences also exist when we look at remote, northern, and Indigenous communities. Grocery prices are typically much higher in these areas than in urban areas. Higher transportation costs are a contributing factor, but the lack of competitive options also plays a role.

Most of Canada’s grocery giants are either not present or have limited operations in these areas. Many residents have access to only one grocery store, or none at all. Although more competition, including from online options , is unlikely to bring these communities the same prices that Canadians see elsewhere, it can help.

3. Supermarkets are still the main option for consumers ...

The vast majority of Canadians said that, when it comes to buying groceries, they primarily shop at grocery stores. That might seem obvious, but it’s important to test our preconceived notions to see if they are supported by evidence.

A simple example comes from buying a box of cereal. Of course, you can find options in any grocery store. But you could also get cereal from a number of convenience stores or pharmacies. If we only looked at cereal, we would think that there are many more options available than if we considered a broader basket of groceries.

This helps us focus our analysis. It tells us that there is something unique about supermarkets that consumers value when doing their weekly shopping. This could be how they price products, or the range of products they offer. Either way, it helps us focus on the competitive options that are most important to Canadians. And Canadians said that they prefer buying groceries in a supermarket format. Footnote 9

4. ... But online options are becoming more important

About a third of Canadians said that they have used at least one online option to buy groceries in the past three months. This could represent a change in how some Canadians buy their groceries. In the past—prior to the pandemic—a much smaller percentage of Canadians bought groceries online . Stakeholders told us they expect this number to keep growing.

Accordingly, in this study, we focused on the competitive role of online options, and how it might change in the near future. For now, supermarkets are still where most Canadians buy their groceries, but that might change.

5. Loyalty programs drive consumer decisions

Most of the major grocery retailers have loyalty programs that allow customers to earn points or rewards that can be used to purchase groceries and other products.

Consumers are encouraged to regularly shop at the same grocery store to earn points faster and benefit from special or targeted offers. In some cases, they may also be able to earn points by shopping at partner stores. As an example, Loblaws’ PC Optimum program applies across a large network of stores, including both its supermarkets and Shoppers Drug Mart (or Pharmaprix in Quebec).

Loyalty programs can bring about lower prices for consumers—either through special offers or by redeeming points for cheaper groceries. They may also drive grocery stores to compete harder to lure customers away from another store that has a particularly strong loyalty program.

Based on the survey responses, we found that these programs have an important influence on consumer behaviour. Roughly three in five Canadians (61%) reported that they are more likely to shop at a grocery store where they can earn rewards points. We also found that loyalty programs were more popular with women, and more likely to affect the purchasing decisions of immigrants. However, lower-income Canadians (earning less than $40,000 a year) were less likely to have loyalty or points cards.

Here’s what follows

What we learned from this survey drives the rest of this report. We analyze competition between supermarkets, as that is where most Canadians do their grocery shopping. We look at online grocery options, as Canadians said that they are becoming more relevant for their shopping habits. And finally, we focus on the steps that can be taken to improve competition—be it by supporting the entry of new competitive supermarkets, or by empowering consumers with more and better information to help them find the most competitive deals.

• Canada’s grocery industry is concentrated. Most Canadians buy groceries from one of five companies: Loblaws, Sobeys, Metro, Costco, and Walmart.
• Some Canadians have access to stores operated by independent grocers. However, this varies a lot depending on where they live.
• Independents face significant barriers in growing to become a competitive threat to the grocery giants.
• Without government support, we should not expect independent grocers to significantly expand in Canada in the near future.
• There is no quick fix to improve the state of competition in the Canadian grocery industry, but there are steps that all levels of government can take to improve the status quo.

The size of Canada’s grocery giants is concerning to Canadians. A number of Canadians wrote to us saying they feel they lack choice in the grocery industry. They feel they are paying higher grocery prices than they should be.

Depending on where Canadians live, they may have access to more options. For example, in some parts of the country, there are competitive independent grocery stores. But this is very community-specific. Most independents operate on a local or regional basis. It can be very difficult for them to expand nationally, or for a new competitor to open grocery stores across Canada. It would take huge investments for a new competitor to catch up to the grocery giants.

There is no quick fix to improve the state of competition in the Canadian grocery industry. But more competition leads to lower prices for consumers. There are steps that all levels of government can take to help.

Canada’s grocery giants

The largest grocery chains tower over Canada’s grocery industry. In 2022, Loblaws, Sobeys, and Metro together reported more than $100 billion in sales. Unlike Loblaws and Sobeys, which have stores across the country, Metro operates only in Ontario and Quebec. But all three companies have over 1,000 stores each, including franchised locations. Footnote 10 And, even if you don’t shop at a store called Loblaws, Sobeys, or Metro, you may be shopping at another store that they own or are affiliated with.

Figure 1: Stores owned by or affiliated with Loblaws, Sobeys, or Metro

The following stores are owned by or affiliated with Loblaws:

• Real Canadian Superstore
• Shoppers Drug Mart / Pharmaprix
• Atlantic Superstore
• Your Independent Grocer

The following stores are owned by or affiliated with Sobeys:

• Thrifty Foods
• Les Marchés Tradition
• Marché BoniChoix
• Lawtons Drugs

The following stores are owned by or affiliated with Metro:

• Food Basics
• Marché Richelieu

Costco and Walmart are the next largest grocers in Canada. While both companies have different business models and sell more than just food, they compete with Loblaws, Sobeys, and Metro for grocery sales. The success of Costco and Walmart across Canada has brought more choice to the grocery industry. But with only about 500 stores between them, Footnote 11 they are not an option in every community.

Loblaws, Sobeys, and Metro face less competition from standalone discount grocery chains than we see in some other countries. That’s because in Canada, the large grocers also own many of the biggest discount stores: Loblaws owns No Frills and Maxi, Sobeys owns FreshCo, and Metro owns Food Basics and Super C (see Figure 1 ). This is different from other countries where large grocers compete against lower-priced options like ALDI or Lidl .

Instead, Canadians looking for more choice may turn to independent grocery stores.

Independent grocers in Canada

According to the Canadian Federation of Independent Grocers , there are about 6,900 independent grocery stores in Canada. Many of them are single-store, family-run operations with limited space and less variety than stores operated by the grocery giants. But there are also independent chains with dozens of stores that compete head-to-head with the grocery giants. All of them play an important role in communities across Canada.

Independent grocers may compete by selling different products than the large retailers. For example, independent grocers focusing on the sale of international foods and other specialty products have found success in many parts of Canada. But they usually don’t offer the same breadth of products available in supermarkets owned by the grocery giants.

Many independents may not be big enough to directly compete with the grocery giants on a national level. But some of the larger independent chains do so on a regional basis. For example, according to the PCO’s survey, 23% of British Columbia residents do their shopping at Save-On-Foods, which operates more than 175 stores in Western Canada. However, even the biggest independents face challenges trying to compete against the grocery giants.

Differences between Rural and Urban communities

In some rural and remote areas of Canada, an independent grocery store may be the only local option. Canadians who live in urban areas typically have access to a larger number of grocery stores. But generally the further away from a city, the less choice Canadians have. This aligns with what we heard from Canadians through the PCO’s survey.

Barriers faced by independent grocers

We spoke to several independent grocers across the country. Most of them told us the same thing: it is difficult being an independent in Canada today. Here are just some of their concerns:

• Consolidation makes it tougher for independents and new stores to stay in business. Many independents are worried that large grocers keep buying up smaller chains like theirs, and that there won’t be a future for small stores.
• Many independents have to buy groceries from their competitors. Unlike the grocery giants, most independents are not big enough to have their own warehouses or to buy directly from suppliers. Instead, many of them buy the grocery products they sell from the likes of Loblaws and Sobeys, which in addition to their retail stores, also have large wholesale businesses. According to independents, this dependency makes it more difficult for them to compete on price.
• Large grocers are paid by suppliers to put their products on shelves. Independent stores generally aren’t, and that can put them at a disadvantage.
• Finding access to real estate is challenging. Grocery stores generally require a large, accessible space with lots of parking. Many of the locations that could support a new grocery store are already controlled by the grocery giants.

For many Canadians, their main grocery options are supermarkets operated by Canada’s grocery giants: Loblaws, Sobeys, Metro, Costco, and Walmart. Some Canadians may have independent options, depending on where they live, but many of these options are limited in their product selection, store locations, and other important competitive aspects. Independents play an important role in communities across Canada, but without government support, we should not expect them to significantly expand in the near future.

Canadians are concerned that grocers keep getting bought out by their competitors, leading to fewer choices in their communities. We heard from some Canadians that Canada’s laws do not do enough to stop deals that are bad for competition. Others feel the Bureau has just not done a good enough job enforcing those laws.

Over the past few decades, the Bureau has reviewed dozens of grocery mergers. We look at merger review as the first line of defence in the effort to protect competition. These reviews often involve a detailed analysis of how a merger may affect competition in local communities across Canada where stores are being acquired. This can involve reviewing hundreds of local areas to identify potential competition issues, and the analysis of data (e.g. postal code information) to determine where grocery stores’ customers are coming from and the extent to which two or more stores compete against one another for the same customers. The Bureau typically seeks to identify whether there are other businesses that will continue to compete for grocery sales after a merger. The Bureau also tries to determine whether it is likely that new grocery stores will open in a community, and what challenges a competitor may face in doing so.

In addition to analyzing the effects of grocery mergers on local retail areas across Canada, the Bureau is also increasingly mindful of the growing bargaining power of retailers with their suppliers, and of the role of some retailers as suppliers to their competitors. This has been a focus in previous reviews and will continue to be.

It is our job to take action where we have solid evidence that a merger will significantly harm competition. For example, if we think a merger could make it easier for a grocery chain to charge significantly higher prices in certain areas, we would typically look to preserve competition by ensuring the sale of certain stores to other competitors.

A history of grocery mergers in Canada

When the Competition Act was introduced in 1986, there were at least eight large grocery chains across Canada. Each was owned by a different company.

Figure 2: Comparison of Canada’s retail grocery landscape in 1986 and 2023

Eight of the largest grocery chains in 1986:

• Sobeys (Empire)

The five large grocery chains in 2023:

Today, we are down to five large chains that operate in Canada:

• Costco; and

Five of the large chains that were around in 1986 were bought by their competitors (see Figure 3 ):

• Steinberg’s stores were sold to A&P, Metro, Provigo, and IGA;
• Provigo’s stores were sold to Loblaws;
• IGA’s stores were sold to Sobeys and Loblaws;
• A&P’s stores were sold to Metro; and
• Safeway’s stores were sold to Sobeys.

Two new large chains, Costco and Walmart, have entered or expanded during that time. But generally, there are fewer grocers today than there used to be.

So, how did we get here?

Figure 3 shows some of the more notable grocery mergers that the Bureau has reviewed since 1986.

Figure 3: Timeline of notable grocery mergers reviewed by the Competition Bureau, 1986-present

Notable grocery mergers reviewed by the Competition Bureau from 1986 to 2023:

• Safeway / Woodward (1986)
• A&P / Steinberg (1990)
• Metro & Provigo & IGA / Steinberg (1992)
• Sobeys / IGA (1998)
• Loblaws / IGA (1998)
• Loblaws / Provigo (1998)
• Sobeys / Commisso's Food Markets (2003)
• Metro / A&P (2005)
• Loblaws / T&T (2009)
• Sobeys / Safeway (2013)
• Loblaws / Shoppers Drug Mart (2013)
• Amazon / Whole Foods Markets (2017)
• Metro / Jean Coutu (2017)
• Sobeys / Farm Boy (2018)
• Sobeys / Longo's (2021)

Steps taken by the Bureau to protect grocery competition during merger reviews

When the Bureau finds that a grocery merger is likely to harm competition in certain local areas, it will generally require the buyer to sell stores in those areas to ensure harm does not occur:

• For example, when Sobeys purchased Safeway in 2013, it agreed to sell 23 stores in British Columbia, Alberta, Saskatchewan, and Manitoba, pursuant to a legally binding consent agreement . All of the stores were sold to independents, including Federated Co-operatives Limited, and Save-On-Foods.
• Similarly, when Loblaws purchased Provigo in 1998, it was required to sell stores in 32 local areas in Ontario and Quebec, as well as two warehouses and Provigo’s Loeb brand.

In some cases, the Bureau has also required grocers to agree to other remedies to protect competition. For example, when Loblaws purchased Shoppers Drug Mart in 2013, it agreed to not enter into certain types of agreements with suppliers for up to five years after the transaction. This was in addition to the required sale of 18 stores and nine pharmacies.

Do Canada’s merger laws do enough to protect competition?

Critics would note that the Bureau’s focus on local grocery competition has allowed for a slow reduction in the number of grocers across Canada as the industry has consolidated. There is some truth to that.

As an example, when a big grocer buys up a small number of stores in urban areas, it is often difficult for the Bureau to stop them. Despite concerns often being raised when a big company buys a smaller competitor, the reality is that consumers typically only lose one of many alternative stores. The law in Canada typically will not allow the Bureau to intervene in these deals, as they are generally seen as unlikely to have a significant impact on prices and other dimensions of competition.

The Bureau can only stop a deal when it has solid evidence that it will significantly hurt competition. In the case of a major city or suburb, with five or six different grocery stores nearby, it can be hard to prove that removing one option will cause prices to go up significantly.

The Bureau has recently made recommendations to the government to modernize and improve Canada’s competition laws. Our laws need to address harm to consumers from increasing concentration. The Bureau needs to have the tools required to safeguard competition in the industry to protect consumers and allow both new and existing businesses to grow and compete.

Our recommendations would make significant improvements to the state of competition in Canada. However, until the law is modernized, and recognizing that there are relatively few independent grocers in Canada, the Bureau will apply extra vigilance moving forward whenever actions are taken that could hurt competition in the grocery industry. Footnote 12 Canada needs more, not less grocery competition.

• The Canadian grocery industry is concentrated. Many wonder whether a lack of competition is the reason why grocery prices are increasing at the fastest rate in more than 40 years.
• Recently, food prices have increased rapidly. However, increasing prices are not always indicative of a competition problem. Prices might go up, for example, when it costs grocers more to buy the food that they sell. And we heard that grocers’ costs have gone up.

Instead of looking at prices, gross profit margins can provide a clearer signal. These margins subtract the costs that grocers incur to buy products, and show how much a grocer makes on each dollar of sales.

• We saw Canada's largest grocers’ food gross margins generally increase by a modest yet meaningful amount over the last five years. This longer-term trend pre-dates the supply chain disruptions faced during the pandemic and the current inflationary period.
• The fact that Canada's largest grocers have generally been able to increase these margins—however modestly—is a sign that there is room for more competition in Canada’s grocery industry.

The Canadian grocery industry is concentrated, with most sales happening in stores owned by the five grocery giants. The Bureau launched this study to determine whether high grocery prices are the result of changing competitive dynamics in the industry.

Canadians are seeing grocery prices increase at the fastest rate in more than 40 years . Many wonder whether a lack of competition is the reason why.

Figure 4 shows that food prices in Canada have increased faster than general inflation between December 2021 and March 2023.

Figure 4: Change in Food Prices vs. Consumer Price Index, monthly from September 2021 to March 2023

Source: Statistics Canada. Table 18-10-0004-01 Consumer Price Index, monthly, not seasonally adjusted .

Are increasing prices an indicator of competition problems?

Prices going up is not always indicative of a competition problem. Food prices will generally be higher when there is less competition, but they can also go up when it costs grocers more to buy the food that they sell. Some experts cite increasing costs brought about by pandemic-related supply chain problems, as well as the Russian invasion of Ukraine, as significant drivers of rising food prices around the world .

Margins are an important indicator of industry competitiveness. Footnote 13 Some companies can earn high gross margins for other reasons—such as needing to contribute to large fixed costs—so there is often a contextual element to interpreting margins. But generally, gross margins can play an important part in understanding competition.

Accordingly, when prices rise, it is often illustrative to see whether margins have grown as well. If margins stay the same, then higher prices may simply reflect increased input costs. If margins increase, then they can indicate that a business is successfully raising its prices over and above any increase in costs.

Why doesn’t the Bureau stop companies from charging high prices?

Well functioning markets are generally the best way to determine the price and variety of products for sale. Hundreds of years of economic growth and prosperity have shown that competitive markets are the best drivers of efficiency and innovation.

It is not illegal in Canada for a business to have a monopoly or charge high prices. Only when they engage in specific anti-competitive behaviours do those outcomes potentially raise concern under the Competition Act .

The Bureau’s role is to act when a business does something that reduces competition in a way that breaks the law.

Canadian grocers sell more than just groceries

Before looking at margins, it is important to recognize that Canadian grocers sell more than just food. For example, Loblaws owns Shoppers Drug Mart, and Metro owns Jean Coutu—both of which operate hundreds of pharmacies across Canada (see Figure 1 ).

This means that the margin and profit data publicly reported by Canada’s big grocers include the sales of other products, such as pharmaceutical and beauty products . In many cases , grocers have pointed to increased sales of these non-food products as the reason for their higher profits. Accordingly, if we are focused on understanding the possible links between grocery competition and food inflation, then sales of non-food products should be removed before evaluating financial data from the big grocers’ public reports.

However, grocers do not publish food-only financial results. That’s why, in this study, the Bureau sent information requests to each of Canada’s five major grocers asking them to provide their food gross margins and other relevant information.

Did Canada’s grocery giants cooperate with the Bureau’s study?

There have been questions concerning the amount of cooperation and financial information shared with the Bureau by Canada’s grocery giants during this study. This topic was frequently raised during the parliamentary Standing Committee on Agriculture and Agri-Food’s meetings in respect of their study on Food Price Inflation , where executives of all five of Canada’s major grocery chains appeared.

The Bureau is not able to disclose the specific information it was provided, owing to the confidentiality requirements of the Competition Act . However, in general, the Bureau can say that the level of cooperation varied significantly, and was not fulsome. In many instances, the Bureau was not able to obtain complete and precise financial data, despite its repeated requests.

The Bureau’s inability to compel information as part of this study has further highlighted the need for formal information-gathering powers. That is why the Bureau continues to advocate for legislative changes to improve the Competition Act in this area. Such changes would improve our ability to conduct market studies, and to protect and promote competition for Canadians in all sectors of the economy, including the agri-food sector.

Canadian grocers’ food gross margins increased by a modest yet meaningful amount

Based on the information that we were provided by Canada’s grocery giants, we found that Canadian grocers’ food gross margins have generally increased over the last five years by a modest yet meaningful amount. This longer-term trend pre-dates the supply chain disruptions faced during the pandemic and the current inflationary period.

Breaking that down, we have found that grocers have increased the percentage of profit they earned on food products in a way that is:

• Margins generally increased by one or two percentage points since 2017.
• This is roughly equivalent to $1-2 on each $100 that Canadians spend on groceries.
• The Canadian grocery industry is a low-margin business. Grocers make relatively little on each item, but make their profits in volume.
• That means that even small changes in margins can be meaningful. Footnote 14

What does modest but meaningful mean for Canadians?

According to the most recent Statistics Canada data , Canadian households, on average, spent $7,536 on food in 2019. This data pre-dates the latest period of food inflation in Canada, so it almost certainly understates current spending. But with just under 15 million Canadian households as of 2021, this means that Canadians likely spend over $110 billion on groceries per year, so even modest increases can add up fast. A one percentage point increase in gross margins at grocery stores could add over $1 billion to Canadians’ food bills each year.

Modest but meaningful margin changes can cause big changes in profits when food inflation is high

As grocery prices have increased, so have grocers’ profits. The profits of Canada’s three largest grocers have risen appreciably over the past four years. Figure 5 shows that these profits have collectively grown from $2.4 billion in 2019 to $3.6 billion in 2022.

Figure 5: Profits of Canada’s three largest grocers, annually from 2019-2022

Source: Annual Reports of Loblaw Companies Limited , Empire Company Limited , and METRO INC. for 2019-2022.

Note: Annual profits are based on the companies’ fiscal years, which differ from company to company, and do not necessarily align with the calendar year (January–December).

Higher profits result from higher revenues relative to costs. Revenues can increase because of higher prices, higher volumes, or both. Margins help show whether changes in the difference between prices and costs are contributing to higher profits.

Grocers are earning only modestly more in food gross margin, but even small increases can matter for Canadians. Usually, when we talk about margins, we express them as the percent of each dollar spent that ends up available for the grocers to keep. But thinking of margins this way can create a bit of an illusion. Table 1 shows how, even when a grocer’s margin stays the same, an increase in the cost they incur to buy food products can increase profits.

Consider a grocer selling a can of soup. If a grocer is paying $1 for that can, and selling it to you for $1.20, they are making a 20% margin. They earn $0.20 per can of soup sold.

Now, what happens if the grocer’s cost for that can of soup goes up to $1.10, and they apply that same 20% margin? The price of that can of soup now goes up to $1.32. The grocer still makes a 20% margin, but now they get $0.22 cents to put toward their profit.

When its costs rise, a business does not need to increase its margin in order to increase its profit. High rates of food inflation can significantly increase grocers’ profits even if their gross margins remain constant or increase only modestly.

Additional analysis would help us better understand grocer profitability

This analysis focuses only on food gross margins. These margins are an important indicator of grocer profitability in Canada. But they are blunt, as they boil down the operations of very large businesses to a single number. Based on the data and information provided to the Bureau by the grocery giants, we are limited in the inferences that we can draw from these findings.

More granular analysis would have been preferable and could have helped us better understand how grocers have priced specific products. It could also have allowed us to paint a more comprehensive picture of how Canadians’ consumption patterns have changed in response to food price inflation. As an example, increasing food gross margins could be explained, in part, by consumers switching some of their purchases to higher margin private-label products. However, we did not receive the data necessary to make such an assessment.

Those type of analyses could have provided us with a richer understanding of grocery competition in Canada.

What do modestly increasing margins tell us about competitive dynamics?

When an industry is very competitive, businesses will not usually be able to increase their margins. The fact that Canada's largest grocers have generally been able to do so over the last five years—however modestly—is a sign that there is room for more competition in Canada’s grocery industry. Additional grocery competition would help cap grocery price inflation.

• Property controls limit how real estate can be used by competing grocers.
• Such controls can harm competition by making it difficult—or even impossible—for businesses to open up new grocery stores.

A property control limits how a person can use a property. They are clauses typically found in a legal agreement like a lease or a deed that transfers title. For example, in the case of a shopping centre, property controls often limit the kind of store that can open there. These controls are also sometimes called restrictive covenants.

How do property controls affect grocery competition?

Property controls reduce competition from other food retailers and make it harder for new grocery stores to open. They do this in two ways:

When a store is sold:

• When a grocery store is being sold, the seller of that store may want to stop a new owner from using that location to operate a competing grocery store.
• The grocer may want to do this if they are relocating to another location nearby, as doing so would limit the number of other grocers they have to compete against.
• Property controls typically apply not just to new owners of a property, but to future owners as well. They can stay in place for a very long time, stopping new grocery stores from opening in communities.

When a grocer signs a lease:

• When a grocery store is opening in a location with other tenants, like a mall, it may ask the landlord to limit other stores from selling similar products.
• This ensures that the grocer will not face competition from other tenants and may provide it with the certainty it is looking for prior to making an investment in a new store.
• A landlord may agree to this kind of property control because grocery stores attract significant numbers of customers, and because they may be unsure whether the grocer will agree to sign a lease otherwise.

What effect do property controls have on grocery competition?

• Property controls reduce consumer choice. Some Canadian businesses told the Bureau that they have been unable to open stores because of property controls.
• Property controls can be very broad . The Bureau heard that they can exclude businesses even if they don’t compete directly with a grocery store, like bakeries and other specialty food stores.
• Property controls have the biggest effect on Canadians who have the fewest options. 24% of Canadians said that there are only one or two grocery stores within 15 minutes of their home. For those who walk, the proportion is 39%. We also heard that lower-income Canadians (earning less than $40,000 a year) are more likely than others to have fewer stores in proximity to their home. For these Canadians, if a local grocery store is closed and property controls prevent new ones from opening in their community, it may leave them without easy access to a supermarket. This is not a theoretical problem— examples of “food deserts” have been documented across Canada .
• Other countries have recognized the harmful effects of property controls. Australia , New Zealand , and the United Kingdom are just three examples of countries that have taken action against property controls due to their limitations on competition in the grocery industry.

Conclusion on property controls

Location, location, location. It’s the golden rule of real estate. While it may seem simple enough to suggest that a retailer look for other locations, there is often only a certain amount of prime real estate in a given area. When that prime real estate is restricted through a property control, new grocers may not be able to open. This limits competition from new grocers, and can deny consumers the benefits that competition brings about: lower prices, greater choice, and increased levels of innovation.

• A growing number of Canadians are turning to online sources to buy food.
• Sometimes, these online services are operated or controlled by Canada’s grocery giants. When that is true, these services may increase convenience, but do not necessarily increase competition.
• The online grocery segment is still developing, and new options are emerging. Truly independent online grocers could positively increase grocery competition in Canada.

The way Canadians buy their groceries is changing. Shopping at a local supermarket used to be the only way to get groceries, but this is no longer the case.

More and more Canadians now purchase their groceries online. Though online grocery options are still relatively new, they are gaining traction. The COVID-19 pandemic saw the rise of alternatives to in-store shopping.

Online shopping is still only a relatively small portion of Canada’s total grocery sales. But this is likely to change. The nation’s grocery giants, as well as other companies, are investing significant amounts of money into their online business models. And Canadians seem to enjoy the online shopping experience: based on results from the PCO’s survey, nearly 30% of Canadians have recently bought groceries online. Stakeholders interviewed by the Bureau also said that they expect online sales to continue to grow in the future.

Online options may not entirely replace in-store shopping anytime soon. But if Canadians are looking for more choice, they may find it online.

Canada’s online grocery options

Ordering groceries online can replace the need to shop in-store. When an order is placed, the items are either made available at a retail location for pick-up (otherwise known as “click-and-collect”) or delivered to a customer’s home. As delivery and pick-up charges may apply, the overall cost of an online order can be greater than what would be charged in-store.

Online grocery is dynamic and includes companies both big and small. To date, there are three broad categories of businesses that operate in Canada’s online grocery segment:

Grocery Stores: From large chains to small independents, many are now also selling groceries online:

• Online shopping, including delivery and click-and-collect, is not yet available at every grocery store or in every community. For example, the discount banners owned by Loblaws (such as No Frills), Sobeys (such as FreshCo), and Metro (such as Food Basics) do not currently offer delivery.
• Delivery from traditional grocers is usually only available near an existing store’s physical location. And orders may not be delivered on the same day.

Delivery Services: Some new businesses offer to purchase customers’ groceries at a grocery store and deliver them to their home:

• Many delivery services have partnered with grocers to fulfill their online orders.
• Importantly, these companies—although they operate at arm’s length to grocers—do not control the prices that consumers pay. Instead, they just buy products from grocers on a consumer’s behalf.
• Delivery is usually only available to homes that are close to an existing grocery store.

Online Stores: These are businesses that sell groceries only through an app or website:

• This includes meal kit providers, dark stores, mass merchandisers that sell groceries, and online-only grocers.
• These businesses generally buy groceries on a wholesale basis, and control the ultimate price that consumers pay.
• Deliveries from these stores may be restricted to urban areas only, and the delivery speed can range from an hour to a day or more.

What are meal kit services, dark stores, and fulfillment centres?

• Meal Kit Services: A meal kit provider sells pre-portioned ingredients for meals that are prepared at a customer’s home. Some may offer a selection of grocery items as well.
• Dark Stores: A dark store is a small store used solely to fulfill online grocery orders. Products offered are often limited and more convenience focused.
• Fulfillment Centres: A fulfillment centre is a warehouse used to fulfill customers’ online orders.

The online grocery segment is still developing, and new options are emerging. Table 2 provides a broad overview of existing business models. However, as companies adapt their businesses, the lines that separate the three online models can become blurred. For example:

• Grocery stores may look more like online stores. Many grocery stores fulfill online orders from their retail locations, but some of the larger chains are building or have built separate warehouses for online orders.
• Delivery services may look more like online stores. Most delivery services do not sell their own groceries, but some are building or have built warehouses and have started selling groceries directly to customers.

Competition in online grocery

Online grocery shopping has brought more choice and innovation to the grocery industry for consumers. But some online services—like those operated by existing grocers or delivery services—may simply create a new way to access existing options. Here’s why:

• Grocery stores with online shopping options do not necessarily increase competition. An online platform can sometimes just be a new way to source products from a pre-existing retailer.
• Delivery services are more like grocery store partners than independent competitors. Unless they’ve developed their own fulfillment centres, delivery services simply purchase products off the shelves of existing grocers. They can’t charge lower prices than the store they buy from without taking a loss.

On the other hand, online stores are like new grocers, except that they only sell their products online. If they don’t rely on existing grocery stores for product supply, they are better positioned to compete with them.

The introduction of new online options from existing grocers, including those offered through delivery services, has increased competition between them. All of Canada’s large grocers are investing millions of dollars into their online platforms to ensure they remain competitive. Some have even partnered with online grocery technology companies to try to get ahead of their competitors.

These changes have benefited Canadians, including by expanding available grocery options for some consumers, and generally making groceries more accessible through delivery and pick-up. They answer the demand for convenience and alternatives to in-store shopping.

What about Amazon?

Amazon is one of the world’s largest online retailers. Some businesses consider it to be a significant potential competitive threat in Canada’s grocery industry. But, right now, its grocery selection in Canada is limited.

In some countries, like the United States, Amazon offers a wider assortment of groceries online through its website and retail stores (such as Amazon Fresh and Whole Foods).

But, in Canada, Amazon only sells non-perishable food items through its website and Whole Foods does not operate online.

Amazon has not announced whether it plans to introduce additional online grocery offerings in Canada.

Challenges for new, online grocery businesses

The reality, as of today, is that independent online options remain pretty limited. Though there are companies that only sell groceries online (see Table 2 ), we heard that they face challenges growing into the kind of big competitive threat that could take on Canada’s large grocers:

• Capital requirements. The costs to build warehouses and distribution centres are high. And finding investors who are willing to support entry and expansion can be difficult.
• Product supply. New businesses typically do not have the scale or relationships required to deal directly with manufacturers. Instead, they often have to rely upon the grocery giants—who are their competitors—for product supply. According to online grocers, this dependency makes it more difficult for them to compete on price.
• Regulatory requirements. Online grocers can face challenges that a traditional grocery retailer may not. For instance, some municipalities are uncertain as to whether dark stores should be licensed as retail or wholesale companies. In addition, regulations for certain products vary greatly by province, making it difficult for a business to operate nationally.
• Consumer hesitancy. A lot of Canadians are used to shopping for groceries in-person. Many like to see and touch their groceries before buying them. That isn’t possible online, so perceptions about freshness and quality may be a concern. Some may also worry about receiving the right items and cost. There are others who just like going to the grocery store or who find online shopping overwhelming.
• Geography. Canada is a large country with few densely populated city centres. For online grocers, serving customers who don’t live in urban areas is very costly. As such, they may be less likely to operate in rural communities.

Conclusion on online grocery competition

Currently, grocery competition is mostly centred on grocery stores being the main place for Canadians to do their grocery shopping. However, grocery business models are adapting to the online world and, with that, comes the opportunity for new competitive alternatives to emerge. Truly independent online grocers could meaningfully increase grocery competition in Canada.

• Two of the most significant entrants into Canada’s grocery industry have come from abroad: Costco and Walmart.
• We reached out to a number of international grocers to better understand what is preventing them from coming to Canada.
• Some international grocers are studying, or have studied entering Canada, but none have publicly announced plans to do so soon.

Two of Canada’s grocery giants— Costco and Walmart —are international businesses that have come from outside of the country and currently sell groceries in Canada.

The Bureau reached out to a number of international grocers, who are not currently operating in Canada, to hear from them about their impressions of the Canadian grocery industry. What would make Canada a place they might want to bring their business? Alternatively, what sorts of things might keep them away?

Not all of their answers focused on elements that can be changed or influenced. As an example, Canada’s physical geography and low population density make it hard for new grocers to set up operations in Canada. However, there may be other factors that can be changed to make Canada a more attractive destination for expansion. Knowing how these companies see Canada’s grocery industry can help us better understand the competitive landscape within it.

These are the highlights of what we heard:

• Canada’s grocery giants are daunting competitors.  All of the international grocers we spoke to said that they would face tough competition from Canadian grocers if they entered Canada. Although one international grocer said they believed they would be able to price competitively despite tough competition from Canadian grocers, another told us that it could be difficult to compete on price if they entered Canada.
• Private label groceries are popular in Canada.  The international grocers we spoke to all commented on the strength of private label grocery products in Canada. They believe these are high-quality products at good prices. We heard that Canadians’ willingness to purchase private label products can make Canada an attractive country, particularly for grocers that sell a high proportion of these products.
• Canada’s unique multicultural grocery experience.  We heard that the retail grocery segment in Canada is quite unique in how it serves its multicultural population. A number of Canadian grocers have a vast selection of ethnic products, and in order to compete effectively, any grocer trying to enter the industry will need to establish a similar product selection. As a result, entry into Canada’s grocery industry could be challenging and costly.
• The Target experience.  The international grocers we spoke to acknowledged that while some companies, such as Costco and Walmart, had been successful in entering Canada, others like Target, had not. These grocers explained that there are different ways to enter a new country, and that those possibilities are expanding because of consumers’ increasing interest in shopping in ways other than in person at a traditional grocery store.
• Entering a new country takes a concerted effort.  International grocers noted that, for a number of reasons, it is easier for them to continue to expand in their current regions than to come to Canada. They also told us that establishing distribution networks, relationships with Canadian suppliers, and brand recognition would be important steps they would have to take to successfully enter Canada.
• Canada’s labelling laws.  We heard that laws requiring bilingual labels on packaged foods can be a difficult additional cost for international grocers to take on. However, we also heard that some international grocers are already used to doing this in other countries and do not see it as a problem.

Conclusion on competition from international grocers

The international grocers we spoke with said Canada’s grocery giants would be tough competition. However, if any were to enter Canada, their presence would likely increase competition, lower prices, increase choice, and bring about higher levels of innovation. Through discussions with international grocers, the Bureau heard that some of these businesses are studying, or have studied, entering Canada but none have publicly announced plans to do so soon.

• Canada is not alone. Many other countries are also struggling with concentration and high prices in their grocery industries.
• We spoke with a number of international competition agencies to better understand what they have tried to increase competition in their countries.
• These conversations generated a number of interesting ideas for Canada, and touched on key topics, including grocery codes of conduct, property controls, buying groups, unit pricing rules, and the competitive role of discount grocers.

High grocery prices aren’t just a Canadian issue. A number of countries around the world are grappling with increasing grocery prices.

Many of the Bureau’s international counterparts have done studies of the state of competition in their domestic grocery industries in recent years. We have looked to their work to see what lessons might apply to the Canadian context.

As part of this study, the Bureau spoke with competition authorities in Australia, New Zealand, the United States, Mexico, the United Kingdom, Germany, Norway, Austria, and the European Union.

There were a number of reoccurring themes that came up in these conversations. Here are the highlights of what we heard:

1. Grocery Codes of Conduct

The grocery industry is concentrated in a lot of countries, and when an industry is concentrated, suppliers can be put in a tough position. Just like consumers, grocery suppliers have limited options other than to deal with the largest grocery retailers to sell their products.

This imbalance has been noted in many countries. Each of New Zealand , the United Kingdom , Australia and Mexico has taken steps to balance out the relative power of suppliers and grocers through grocery codes of conduct. These codes have set out the ways in which grocers and suppliers must behave when buying and selling.

For example, in New Zealand, one of the recommendations of the New Zealand Commerce Commission’s (NZCC) market study was to introduce a mandatory grocery code of conduct to govern relationships between the major grocery retailers and suppliers. After their report was published, the government began work on creating a grocery code of conduct. That work is ongoing .

In Canada, the idea of a grocery code of conduct pre-dates this study. In July 2021, federal, provincial, and territorial Ministers called for a grocery code of conduct that would develop a fairer relationship between suppliers and retailers. Canadians can expect this code of conduct to be implemented by the end of 2023 .

Competition law in Canada does not regulate imbalances in bargaining power and the Bureau does not have the ability to enforce a code of conduct . However, a code that improves predictability and suppliers’ willingness to invest or innovate within the industry can be a good thing for consumers. The Bureau is committed to working with the relevant parties to support the implementation of the code in the most pro-competitive way possible.

2. Property Controls

A number of our international counterparts identified real estate restrictive covenants as being harmful to competition. These sorts of property controls came up as an issue, for example, in New Zealand , the United Kingdom , and Australia .

The Australian Competition and Consumer Commission’s (ACCC) market study found property controls to be a major issue. They found that the restrictive covenants in real estate leases did not allow new grocery chains to expand their business. As a result, the ACCC reached a court-enforceable agreement with big grocers in Australia. Under this agreement, the big grocers have to phase out all existing property controls, and are forbidden from entering into any new ones.

3. Buying Groups

In some other countries, we heard that independent grocers have worked together, or with a large grocery chain, to form buying groups. They joined together so that they could get access to lower prices from suppliers than they would be able to individually.

These buying groups—particularly those made up of smaller players — can be pro-competitive . And, in fact, the European Union’s competition authority supported the idea that these buying groups can lower prices for the end consumer .

On the other hand, buying groups can also raise competition concerns. In Canada, certain agreements between competitors can violate the law. They can also lead to businesses sharing information when they should not, and working in other ways that can hurt competition. So, while buying groups can facilitate competition in certain situations, they should always be approached with caution. The Bureau’s approach to buying groups is set out in our Competitor Collaboration Guidelines .

4. Unit Pricing

Competition doesn’t work well unless consumers know where to find the best deals. Unit pricing helps consumers compare grocery prices and find the best value by showing the price of a product based on a standard unit, alongside the total price. We talk more about unit pricing later in this report.

New Zealand , Australia and the United Kingdom all found that unit pricing is a helpful tool for consumers. The NZCC recommended mandatory and consistent use of unit pricing across the country, while the ACCC recommended the introduction of a unit pricing code of conduct to allow consumers to make informed choices.

5. The Competitive Importance of Discount Grocers

When a new foreign grocer comes into a country, it puts pressure on existing grocers to reduce their prices. For example, the ACCC studied what happened to grocery prices when a major, international discount grocer came into Australia. That grocer, ALDI, was found to cause a significant reduction in grocery prices when they opened new stores. Similarly, we heard from our European counterparts that the expansion of discount grocers like ALDI and Lidl has created significant benefits for consumers through lower prices and greater choice. This is not just something that could happen, or happens in other countries: a Canadian example of this was Walmart’s expansion into grocery .

The “ALDI effect”

“...ALDI has been a significant influence on Australian grocery retailing. ALDI has forced Coles and Woolworths to react by reducing prices—specifically in states and localities where ALDI is present. Even if a customer does not shop at ALDI, they obtain significant benefits from having an ALDI in their local area or state, as the Coles and Woolworths stores price more keenly.” Report of the ACCC inquiry into the competitiveness of retail prices for standard groceries , July 2008

Conclusion from international attempts to increase grocery competition

Conversations with the Bureau’s international counterparts yielded a number of helpful ideas to improve grocery competition in Canada. Some of these ideas are otherwise covered in our report—e.g. property controls and unit pricing. Work in other areas is ongoing in Canada—e.g. the grocery code of conduct. Perhaps most interesting is the idea of attracting new businesses to come to Canada and compete. The successful entry of international grocers into the Canadian industry may be the best option to bring about lower prices, greater choice, and increased levels of innovation for the benefit of all Canadians.

• Consumers need accurate, timely, and complete information in order to make informed purchasing decisions.
• Accessible and harmonized unit pricing requirements and price comparison tools have the potential to empower consumers and improve grocery competition in Canada.

Information helps consumers make the right choices. Without accurate, timely, and complete information, competition suffers and markets fail. Honest competitors lose sales, and consumers end up with goods and services that are not the best choice for them.

To make good choices, consumers must be informed. It’s hard to take advantage of competition if you don’t know where to get the best deal. Grocers send out flyers to households across Canada to convince shoppers to visit their store. But modern technology allows so much more.

Ensuring that Canadians have access to useful information is an easy way to promote competition. We heard that accessible and harmonized unit pricing requirements and price comparison tools can help to empower consumers. We discuss each below.

Unit pricing

Figure 6: unit pricing for different sized containers of orange juice.

Orange juice 2.63 litres $8.99 - Unit price $0.34 per 100 millilitres Orange juice 1.54 litres $6.49 - Unit price $0.42 per 100 millilitres

Unit pricing helps consumers compare grocery prices and find the best value. It does this by showing the price of a product based on a standard package size, alongside the total price. Figure 6 shows an example of how unit pricing works for two different sized containers of orange juice.

Knowing the unit price helps consumers compare similar products that come in different package sizes. It serves as a quick and easy way to know if a consumer is getting the best deal—without resorting to a calculator or mental math.

Many grocery stores across the country already display unit pricing, including online. But it is currently only required by law in Quebec . That means there are no standards that grocers have to follow in the rest of the country. An additional issue facing consumers looking to compare unit pricing in its current form is that many of the formats used may not be accessible for people with sight loss.

Provincial and territorial governments may wish to consider working together to support the development and implementation of accessible and harmonized unit pricing requirements for grocery retailers in the country. As part of this process, consideration as to whether any such requirements should be imposed on all grocers, or only large chains may be appropriate due to the potential burden on smaller independents. Accessible and harmonized unit pricing requirements could promote competition among grocery retailers and further empower consumers to make informed purchasing decisions.

Price comparison tools

Figure 7: comparison of orange juice prices at select canadian grocers, april 2, 2023.

Source: Save.ca .

A price comparison tool is a service that consumers can use to compare prices between grocery stores. Current examples include Flipp , Save.ca , and reebee , among others.

If you search for ‘orange juice’, most of these services can show you flyer clippings from multiple grocers for that product. They can do that because most flyers are available for anyone to view. However, this only allows you to compare prices if they’re in a flyer, and comparisons may not necessarily be between the same brand or size of product (see Figure 7 ).

Some of these services can also search online listings for grocery items. But this information is only available from retailers that have agreed for their products to be displayed.

If all grocers provided their data to these services, it would allow consumers to more easily search and compare prices between grocery stores. However, further study would be required to determine how government could best support consumers in this regard.

• During this study, we asked Canadians to share their perspectives on grocery competition in Canada.
• This section of the report responds to some of the more prevalent ideas that we heard.

When the Bureau launched this study, it asked Canadians to share what they thought about the current state of grocery competition in Canada. More than 500 Canadians answered the call. This is a summary of what we heard from Canadians:

Idea #1: Canada needs more grocery competition

• The Bureau agrees that Canada needs more grocery competition. The Canadian grocery industry is concentrated. While this is not the sole reason grocery prices are high, more competition in the industry could drive down prices.
• Based on the findings of this study, the Bureau has made a number of recommendations on steps governments can take to increase competition in Canada’s grocery industry.
• This is not a situation unique to the grocery industry. A lot of other Canadian industries are highly concentrated, with a small number of businesses controlling a majority of the sales. Canada needs more competition, both in groceries and across the entire economy.

Canada Needs More Competition

Grocery is not the only Canadian industry that is concentrated.

According to estimates from the Canadian Wireless Telecommunications Association, in the wireless sector, the top three players account for around 87% of total wireless subscribers nationally.

Figure 8: National share of total wireless subscribers by company, Q3 2022

• Rogers: 30.3%
• Bell: 28.5%
• Telus: 27.8%
• Others: 13.4%

Source: Canadian Wireless Telecommunications Association .

Note: Percentages are estimates.

Source: Canadian Wireless Telecommunications Association , Company Reports.

Note: Shares are based on total subscribers (as defined by the Canadian Wireless Telecommunications Association, now the Canadian Telecommunications Association ) at the end of Q3 2022 and only include Canadian wireless providers who publish subscriber data.

Similarly, based on information in a recent report, IBISWorld estimates Air Canada and WestJet’s share of Canada’s scheduled air transportation industry to be 74.1%.

Figure 9: National shares of key players in Canada's scheduled air transportation industry, 2022

• Air Canada: 55.3%
• WestJet: 18.8%
• Others: 25.9%

Source: IBISWorld .

Note: These percentages are estimates

Source: Shawn McGrath, IBISWorld (2022), Industry Report 48111CA: Scheduled Air Transportation in Canada.

Idea #2: Large grocers should be broken up

• A lot of Canadians argued that Canada’s largest grocers are too big. They wanted these grocers split up into smaller companies to improve competition.
• The Bureau’s goal is to encourage competition so that businesses innovate and create better products. Companies can have legitimate reasons for getting big—for example, they can outperform rivals and bring a valuable product to market. The Bureau does not want to eliminate the incentives for companies to do so.
• What the Bureau can do is make sure that Canada’s biggest grocers face more competition. The government is currently considering how our competition laws can be updated to better protect and promote competition. The Bureau has made an in-depth submission with a number of ideas on how to improve Canada’s competition laws.
• Modernizing and strengthening these laws is key to making sure that big companies are forced to compete. This will benefit consumers by driving down prices, increasing choice, and encouraging innovation.

Idea #3: Grocery prices should be regulated

• Grocers are allowed to charge the price the market can bear. There are no laws in Canada that stop grocers from charging the prices of their choosing.
• The Competition Act does not give the Bureau the power to regulate grocery prices.
• Even in a competitive market, prices will often increase when products are in a period of short supply.
• It is important to note that regulations, such as price controls, can often have negative consequences.
• Price controls and regulations are blunt tools. It is hard to determine the “right” price for any product, and it is hard to adjust regulated prices quickly when situations change. A free and competitive market is the best way to determine prices for goods.

Idea #4: Big grocers shouldn’t be allowed to buy smaller competitors

• Canadians are concerned when a grocer buys one of its competitors. Canada needs more grocery competition, not less.
• The Competition Act only allows the Bureau to stop a merger when it can prove, in court, that a deal is likely to significantly harm competition. This can be a hard thing to prove.
• The Bureau has made recommendations to the government to make it easier to stop problematic mergers. Canada’s competition laws must be improved to allow the Bureau to be more effective in protecting competition.

Idea #5: The government should stop big grocers from colluding with one another

• Collusion happens when competitors agree to work together in a way that can harm competition. For example, agreeing with a competitor to raise prices is a criminal offence that can result in large fines and jail time for those involved.
• However, it is not illegal when competitors independently take similar actions, without colluding or communicating with one another.
• This means that, even if two grocers raise the price of a product at the same time, they are not necessarily doing anything illegal. They might be doing it because the cost of buying that product has gone up, or because of another innocuous reason.
• Anyone who has evidence of two or more businesses entering into an agreement to fix prices or to otherwise collude should contact the Bureau immediately .

Idea #6: Supply management raises grocery prices and should be abolished

• Some studies have suggested that supply management—a form of price regulation— results in higher prices .
• Canadian supply management affects a number of grocery staples, like milk, dairy, and some poultry. Although supply management policies were introduced in the 1960s to deal with issues, such as price instability in the agricultural sector, they control the quantity of products available for sale as well as the prices at which they are sold.
• Where such supply limits exist, we can expect that prices for these products will continue to be higher than they would otherwise be in a free market.

Idea #7: Grocer profits are increasing, and the government should impose windfall taxes to recoup some of these profits

• Grocer profits are increasing. The profits of Canada’s three largest grocers increased from $2.4 billion in 2019 to $3.6 billion in 2022. That’s a 50% increase in four years (see Figure 5 ).
• Taxation rules are generally outside of the Bureau’s mandate. They are part of a broader societal and policy discussion.

Idea #8: The government should encourage international grocers to enter Canada

• This study has found that the entry of international and discount grocers could be one way to help lower grocery costs for Canadians.
• In our view, governments should take steps to encourage international grocers to enter the Canadian industry in an effort to help reduce prices and increase competition.

Idea #9: The government needs to take action to stop the big grocers’ business practices that hurt suppliers and result in higher prices for consumers

• Large retailers that are able to obtain more favourable terms from their suppliers are better positioned to compete for customers.
• Where business practices make it more difficult for other retailers to compete (for example, by increasing their costs), they can raise concern.
• As an example, we previously investigated Loblaws’ practices in dealing with its suppliers. During that investigation, Loblaws ended many of the negative business practices that it had historically engaged in. Based on that, and all of the other evidence in front of us, we concluded our investigation.
• As stated earlier in this report as well as in the Bureau’s market study notice , we did not focus on issues relating to the purchase of groceries from suppliers by retailers in this study.

Idea #10: “Shrinkflation” should be banned

• Shrinkflation is a term used to describe when manufacturers reduce the amount of a product in a package, but keep the price basically the same. This means that consumers get less value for their dollar.
• It can be hard for consumers to recognize when this happens. As an example, if a package is reduced from 450 grams to 430 grams it might not get noticed at a glance.
• A lot of Canadians expressed concerns about this practice.
• However, shrinkflation, in and of itself, is not illegal. Manufacturers and retailers are allowed to sell their products in the quantities they want at whatever price they choose as long as they do not use false or misleading advertising to deceive consumers.
• Accessible and harmonized unit pricing requirements may be one way to help combat shrinkflation, and to improve consumer information.

Canada needs more grocery competition. When businesses compete, all Canadians benefit from lower prices, greater choice, and increased levels of innovation. Competition can be a key part of the solution to help keep grocery prices in check.

Over the past eight months, the Bureau has studied Canada’s grocery industry. We have four big ideas, and three commitments of our own, that we believe will make Canada’s grocery industry more competitive.

Ideas for Governments across Canada

Our ideas for governments across Canada are principles-based, and are designed to be flexible and provide decision-makers with guidance on how to encourage more grocery competition in Canada. The Bureau recognizes that governments will need to consider and weigh other factors in deciding whether, and if so, how to implement these recommendations. However, the Bureau is willing to offer its support and work with decision-makers to advance these recommendations in the most pro-competitive way possible.

1. Canada needs a Grocery Innovation Strategy aimed at supporting the emergence of new types of grocery businesses and expanding consumer choice.

• Current grocery competition is focused on grocery stores being the main place for Canadians to buy food.
• But it is difficult for new grocers to emerge and compete with Canada’s grocery giants. We shouldn’t expect market forces alone to solve this any time soon.
• Governments in Canada at the federal, provincial, and territorial levels, should consider working together to develop a Grocery Innovation Strategy aimed at supporting the emergence of new types of grocery businesses—whether online businesses or other industry disruptors.
• This could include financial support to incentivize competition and innovation in the industry, including, for example, support for entrepreneurs that want to launch online grocery businesses, as well as measures to simplify or modernize regulatory requirements that can make it difficult for new types of grocery businesses to operate.

2. Federal, provincial and territorial support for the Canadian grocery industry should encourage the growth of independent grocers and the entry of international grocers.

• Grants and incentive programs should be directed towards independents, not the grocery giants.
• The growth of Canadian independent grocers into stronger regional and potentially national players would meaningfully increase competition in the industry.
• Additionally, governments should do all that they can to attract international grocers to Canada, including the easing of any barriers that make industry entry challenging.
• The experiences of other countries, such as Australia, have shown that the entrance of major international grocers have driven down prices and improved choice for consumers.

3. Provincial and territorial governments should consider introducing accessible and harmonized unit pricing requirements.

• Competition works best when consumers know where to get the best deals.
• Right now, consumers have to compare many different products and package sizes to choose what is best for them.
• This is a daunting challenge to even the most informed consumer, and out of reach for too many.
• The development and implementation of accessible and harmonized unit pricing requirements across Canada would help consumers more easily compare similar products that come in different package sizes.

4. Provincial and territorial governments should take measures to limit property controls in the grocery industry, which could include banning their use.

• These restrictive clauses reduce competition and make it harder for new grocery stores to open.

Commitments from the Bureau

In addition to our recommendations for governments across Canada, the Bureau will take three steps, inside of its own mandate, to better promote competition in the Canadian grocery industry. We will:

1. Approach our work in the Canadian grocery industry with heightened vigilance and scrutiny.

• We need to be increasingly vigilant in investigating and enforcing allegations of wrongdoing.
• The Bureau has recently committed to “operate with heightened vigilance in areas that will have the greatest impact on the affordability of daily life for Canadians”.
• This means that investigations in the grocery industry will be at the front and centre of the Bureau’s work.

2. Provide a pro-competitive perspective to support the implementation of Canada’s grocery code of conduct.

• The Bureau does not have the ability to enforce a code of conduct.
• However, we will work with any resulting governing bodies to effectively promote competition in its decision-making.
• A code that improves predictability and suppliers’ willingness to invest or innovate within the grocery industry can be a good thing for consumers.

3. Revisit the findings of our study in three years to assess progress on these recommendations.

• The Bureau stands ready to take further action if competition in the grocery industry hasn’t improved.

Anyone wishing to obtain additional information about the Competition Act , the Consumer Packaging and Labelling Act (except as it relates to food), the Textile Labelling Act , the Precious Metals Marking Act or the program of written opinions, or to file a complaint under any of these acts should contact the Competition Bureau’s Information Centre:

www.competitionbureau.gc.ca

Information Centre Competition Bureau 50 Victoria Street Gatineau, Quebec K1A 0C9

Toll free: 1-800-348-5358 National Capital Region: 819-997-4282 TTY (for hearing impaired) 1-866-694-8389

819-997-0324