Case method

The case method is a teaching approach that consists in presenting the students with a
case, putting them in the role of a decision maker facing a problem (Hammond 1976).
The case method is a teaching method that is largely used in business schools. For
instance it was used at the Harvard Business School since the founding of the school in
1908

Teaching cases
Teaching cases are available through clearing repositories such as the Caseplace and
European Case Clearing House, or through professional writing and publishing centers,
such as Globalens at the University of Michigan.

Teaching case studies, and to a lesser extent writing them, is a central function performed
at the top business schools worldwide. Some organizations, such as European Case
Clearing House and GlobaLens, run competitions to identify the best new teaching cases.
Some of the institutions that are the most active at writing teaching cases (as determined
by the quantity and quality validated by awards) are: Harvard Business School, the
Darden School at the University of Virginia, University of Michigan Ross School of
Business (through Globalens, INSEAD, Richard Ivey School of Business, the Asian
Institute of Management, and Asian Case Research Centre at the University of Hong
Kong.

A business case is a document that illustrates a business or policy situation to be solved

and includes information for classroom discussion and other study. The situation does not
have an obvious solution. The case provides information to stimulate an educated
conversation concerning possible outcomes. Each case has one central decision point,
dilemma, or angle. The nature of the situation is clearly apparent within the first two
paragraphs.

The writing in a case is precise and nuanced, yet always clear and concise. It is neither
colloquial nor stuffily formal. It is also engaging and interesting to the reader. It is
imperative for a case writer to always be objective—a case is not a marketing pamphlet
for the featured organization, though the writer may portray biases that the protagonist
may have.

[edit] Structure
Writing styles may be unique to the individuals developing a case, yet almost every
successful case employs the following structure:

[edit] Title and Introduction (½-2 pages)

• For the title, in fewer than 10 words make clear what is special about this particular
case.

• Within the first paragraph, identify the case’s central person and business or
organization, and provide a sense of the situation the person is in.

• Within the first two paragraphs, present, from her or his point of view, what the central
person sees as the decision point or dilemma. Identify other major players if relevant.

• In this section, provide the context for the situation. Include the situation’s time frame
(at least the year), the location and purpose of the company or organization, relevant
important business factors, and the goal or aim of the central person.

[edit] Background on the Company, Industry and Competitors (3-7 pages)

• Begin this section with the first subhead. If the section is long or relatively complex, use
more than one subhead within the section to organize separate aspects.

• Often the best method for writing this section is to organize the information
chronologically, with a very brief history of the company or organization.

• Provide the essential company, organization, competitor, and/or industry information

that the central person had at the time of the case. What and where are the major products
or services and their customers?

• Include enough background information for the reader to analyze the decision point
presented in the introduction. Revenues, profits and losses, and other financial valuations
may be crucial.

• Do not simplify or weight the background section to lead students to an easy decision.

• Include, as appropriate, historical information, trends, direct quotations from

participants and analysts, and simple and/or essential tables and figures. The section can
also include references to exhibits placed in the appendix, though the references should
be clear and complete enough that the reader can continue without having to turn
immediately to the exhibits.

• Consider depicting the culture of the company or organization if relevant.

• What are the important challenges and responsibilities of the central person?

• Are certain portions of the person’s career particularly important to the current
situation?

• Connect the background in this section to the current situation, including underlying
causes and current results.
The Decision Point in More Detail (1-5 pages)

• Begin this section with a subhead. Within it, use more subheads if appropriate.

• Go more deeply into the context and possible consequences of the decision point,
dilemma or central angle. Include the consequences for the career of the central person as
well as for the person’s company or organization.

• Show, if true, how the decision point or dilemma differs from the one initially
perceived.

• Include the degree of urgency involved in the decision-making, or the timeline for the
decision to be made.

• Conclude the text with alternatives available to the central person.

[edit] Exhibits and Endnotes (4-10 pages)

Use a subhead before any exhibits and before any listing of endnotes. Use a small title
with each exhibit, beginning “Exhibit 1:” Exhibits can include financial statements, time
lines, diagrams, charts, tables, pictures, and graphs. In some cases it is possible to include
or link to multimedia supplements such as an interview video with the case’s central
person. An endnote is needed for anything mentioned in the text for which a reasonable
reader would want to know the source of the assertion, quotation, or apparent fact. The
endnotes are referred to by number in the text and the notes themselves appear in order,
all together, after the exhibits. An exhibit can have an endnote or its sourcing can appear
as part of the exhibit.

The Case Study Method

for Business
• What is the Case Study Method?
o A case study is not qualitative research, as is often confused by laymen.
It is a research strategy, an empirical inquiry that investigates
a phenomenon within its real-life context.
o A decision-making situation with a large number of facts that you must
sort through and separate into components for analysis.
o A good case should allow for several possible alternative solutions.
o A case is a factual account of a real-life situation written in a narrative
style.
o Cases provide a large number of essential data, facts, figures, and even
extraneous information.
 o Cases are simulations of the decision-making situations that all students in
management will come upon one day in the workplace.
o A realistic, complex problem for which there is no right answer.
o The student should try to put himself in the role of a manager (decision-
maker).
o The responsibility for learning is transferred from the teacher to the
student.
o The Case Method is a Problem solving technique that has elements of the
Scientific method.
• Where is The Case Study Method used and why?
o Classroom (in business school, in other domains), in a
company, in government, etc.
o Used to develop analytical skills, social skills (groups)
• Components - the essential components (parts) of The Case Study
Method (for Business)
1. Cover Page 1. one page
2. Table of Contents 2. one page
3. less than one page (but nothing else should be
3. Executive Summary
on the page)
4. Background 4. about one page
5. Problem 5. one or two paragraphs (less than one page)
6. Depends on the complexity of the case. For a
6. Situation Analysis Mini-Case, it should have at least one or two
pages. A full case should have much more data.
7. less than one page (unless necessary to
7. Alternatives
explain a complicated item)
8. Comparison and
Analysis of the 8. a paragraph or two to discuss each alternative
Alternatives
9. Decision 9. less than one page, perhaps only a paragraph
10. Depends on the complexity of the case. For
10. Action Plan a Mini-Case, it should have less than one page.
A full case should have much more detail.
11. Depends on the complexity of the case. For
11. Appendices a Mini-Case, it is possible that you don't have
any appendices or bibliography yet.
12. Depends on the complexity of the case. For
12. Bibliography a Mini-Case, it is possible that you don't have
any appendices or bibliography yet.
13. PowerPoint (for a 13. Not required for a Mini-Case since there will
presentation) be no presentation .
14. Group peer 14. one page - (Not really a part of the Case
evaluation Study Method, but it is required for this course.)
 • Preparation - by the individuals and the group
o Mini-Case - (No Presentation)
o Case - (with Presentation)
• Presentation - by the individuals and the group
• Participation = Attendance
o Participation: Students are expected to attend ALL presentations and
demonstrate appropriate comportment during their colleagues'
presentations.
 Marks will be awarded on an individual basis.
o Participation is REQUIRED - You must be present in class for all of the
presentations by all of the groups.
 All students will submit (in class) a written evaluation of each case
presentation.
 Evaluation form - (requires MS-Word 2007 or better)
 If you aren't present for all of the presentations, you can't
participate.

Components - the essential components (parts) of The Case Study Method (for
Business)

1. Cover Page
2. Table of Contents
o Dot Leaders.
3. Executive Summary
o Warning! - This is a summary of the Case Study you just finished. This
is not a summary of the history of the company or the product or anything
else. This is a summary of what problem you looked at and how you
solved it.
o Less than one page. Nothing else should be on this page.
o One page only (the first page) - This must be a summary of your case that
a busy senior executive can use.
o Includes the major points of the case, the major issue(s), the chosen
solution, the logic behind the solution.
o Placed at the front of the report. It is the first page.
o Nothing else should be on this page. The Executive Summary should be
on only one page, with nothing else on that page.
o Do not write this "Executive Summary" until this rest of the Case has been
written. This is the VERY LAST thing to write for your case. This
MUST be the LAST part of your paper. You MUST write the Executive
Summary after finishing every other part of your assignment.
4. Background
 oBackground or history of the company and the product - a very brief
summary
o Only include the relevant facts leading to the resolution of the real
problem. If the information won't help you solve the case, don't mention
it.
o Don't forget that you are playing the role of a manager of the company.
You should already know something about your company and your
product. You don't need to include such details in your report.
o VERY BRIEF
 Description of company
 Company structure, divisions, groups of companies, etc.
 Organizational chart, etc.
 Stock market code (Give the name of the stock exchange.)
 URL = Web address
 Description of the product (good, service, idea) selected.
5. The Problem = the current issue = the dilemma
o You must choose a real company and you must determine a problem that
you can solve. In other words, you must solve a real problem for a real
company.
 Assume you are the executives responsible for the company or
product. Your survival is on the line.
 It must not be a problem that has already been solved by the
company.
o ONE problem = UNO problema = NOT 2 or 3 or 4 problems
o Problem Statement
 Must be: short - concise - precise - specific - solvable - important
 No more than two sentences.
 Assume the reader is already familiar with the company's current
situation. Do not summarize the situation.
o Problem = Problem Statement = The main problem or the main issue.
 Obvious problem = Current issue = symptoms = the perceived
problem = the dilemma the company is currently facing
 Symptoms are simply signs pointing to the true
problem(s).
 Clearly state what is going wrong or what should be
improved.
 Define the key issue (the central problem = the most
important current problem)
 Current issue (as defined by your group). Based on the
information you have discovered about this company, your
group must define an issue (related to any of the topics
from the textbook) that is important and relevant to the
company's present situation.
 Examples: Profitability; Strategic direction of the
company; Source of competitive advantage; Morale of the
company's employees; Customer satisfaction; etc.
  Real problem = Underlying problem = the root cause =
opportunity = the cause of the dilemma
 You must find the REAL problem, not just the symptoms.
You must probe the underlying issues in order to solve the
real problem.
 You will discover the underlying problem as you do your
Situation Analysis.
 Since all problems have solutions, it's critical that you
define your problems correctly. If you don't, you might
solve the wrong problem.
 A problem well defined is a problem half-solved. – John
Dewey
 Einstein’s Secret to Amazing Problem Solving
 Einstein is quoted as having said that if he had one
hour to save the world he would spend fifty-five
minutes defining the problem and only five minutes
finding the solution
 “We need to first define the problem. Albert
Einstein once said: “If I had an hour to save the
world I would spend 59 minutes defining the
problem and one minute finding solutions” And I
find in most organizations people are running
around spending sixty minutes finding solutions to
problems that don't matter.” ~ Stephen Shapiro .
o Be specific. You must focus in on just the main problem. Don't try to
solve all the company's problems.
 This is the ONE and ONLY problem that you will try to solve for
this case.
 Focus on only ONE problem (the most important one).
 Don't try to solve all of the company's problems at once.
 Did I repeat this enough? --------> Focus on only ONE problem
(the most important one).
o WARNING - Do not state what your solution is. You must state only
what the problem is.
 After proper research and analysis, you will come up with the best
possible solution to this ONE problem, the most important problem
that the company is facing.
o Course Relevance - The problem must be related to one of the major
topics in the textbook. For example, if you are in any Marketing course,
the problem must be a Marketing problem that will be solved using
Marketing concepts. For example, International or Global courses must
tackle a problem related to a situation involving more than one country.
6. Situation Analysis
o What information is provided?
 Analysis of the uncontrollable variables in the environment.
  Environmental variables that have played a role in the
organization's (and the product's) performance. Address
only the variables that are relevant to your company (and
the product).
 Examples of environmental factors are: social, economic,
technological, competitive, regulatory (political, legal,
government regulations, new laws etc.), etc.
 SWOT ...
 Definition of the target market. (For a Marketing course, this is
very important.)
 Discussion and Analysis of the marketing strategies (4Ps). (For
a Marketing course, this is very important.)
 What are the identifiable parts of the particular business situation?
 What is the context (framework, paradigm) for interpreting this
scenario?
 What are the components of this decision-making situation?
 What are the constraints (limitations, boundaries, barriers)?
 goals
 in the environments (internal, external)
 supplies, resources (finances, labour), opportunities of the
firm
 only items relevant to the immediate problem, the Current issue.
 Do NOT analyze anything and everything.
 Focus on the ONE most important problem (see above). If it's
not related to the problem, don't mention it.
o What information is not provided?
 Background research (current situation, company information,
personal information, situation information, assumptions, etc.) -
The environments.
 Data collection = Fact finding = Research
 documents, interviews, archival records, direct observation,
participant observation, artifacts
 Is it possible to collect data? (time, money, authority, etc.)
 Will it be necessary to rely entirely on the information
already provided?
 RESEARCH - You will probably have to do some research
to get enough information to do a good case study -
Internet, library, periodicals, the company itself, etc.
 Assumptions:
 As you do your Analysis, you will find most of the
information you need. (Internet, Library, Company info
like financial statements, prospectus, etc.)
You should write about only the information that is
relevant to the immediate problem, the Current issue.
However, sometimes you may discover that there is some
information that you can't find anywhere.
 You are permitted to make Assumptions about the missing
data, and the rest of your Case Study must be consistent
with your group's assumptions about the missing data.
 For competitions on the Case Method and also in some
classroom situations, the students may be given a huge
bundle of papers with all the information that they need to
do the case.
They are not allowed much time and they are not allowed
to search outside sources (library, Internet, etc.).
If the students determine they need more information, but it
isn't included in the package, they can make assumptions as
long as they clearly identify the assumptions.
In your case, you have lots of time and you may use any
sources to find real information about a real situation.
If you determine that you need more information, but it
isn't included in any of the sources you can find, you can
make assumptions as long as you clearly identify the
assumptions.
You may want to present your assumptions (clearly labeled
as such) in your PowerPoint presentation.
o What is happening in the case.
 What decision has to be made?
 What are the goals of the firm?
 Who is the key decision-maker? (the protagonist)
What are the goals and objectives of the decision-maker in this
case? (implicit and explicit)
 Who are the other actors in the case? What are their objectives?
o What information is relevant (useful)? What information is irrelevant?
 Omit the facts and factors that are not important to the problem.
 Case writers deliberately include useless information that you must
disregard. (realistic decision-making skills)
 Case writers deliberately leave out some important information. -
Research, Assumptions
o What are the resources and constraints associated with the problem?
o Analysis (SWOT) - Critical thinking.
 Analysis (SWOT, etc.) - AFTER the definition of the problem.
 Don't do a "Situation Analysis" until after you have clearly defined
the main problem. (see the previous step)
 SWOT is only one small part of your Situation Analysis. There
must be more than just SWOT in your Situation Analysis.
 You MUST use BOTH of the SWOT model tables (perhaps as an
attachment).
 Remember that the purpose of SWOT is to develop action
strategies.
o Assumptions - What assumptions (speculations, inferences, etc.) did you
have to make when the information was insufficient?
  This is not required.
IF there is information you wanted/needed, but couldn't find, then
you can explain that you tried, but failed, to find the information.
IF that is the case, then you may need to make ASSUMPTIONS
that you can't justify using your research.
IF necessary, explain why you made those assumptions.
7. Alternative Solutions
o (= alternative plans for action to resolve the main problem, the key issue)
(at least two alternatives)
o You must try to solve the ONE problem that you have identified (see
above).
 Please do not provide a history lesson listing solutions that were
used by the company in the past.
 YOU must solve the CURRENT problem that you have identified
(see above).
 Do not explain what they have done in the past. Explain what
YOU propose in order to solve the problem as you defined it
(above).
o Alternatives = Alternative Solutions
 These must be alternatives to solve the ONE important problem
(see above).
 DO NOT give general alternatives to any other problem the
company may have.
 Focus on the ONE most important problem.

Use point form to list the possible alternative solutions to the problem (=
key issue) that you defined above.

 Be specific. It must be very clear what you are proposing as a

solution to the key problem.
 You have defined only ONE key problem. Your "Alternative
Solutions" should try to solve only that ONE problem
o Consider the company's objectives (e.g. Mission Statement).
o Solutions possibilities. List all the different ways of solving this problem.
 status quo
 other alternatives - ALL of the other possible solutions to the
problem you defined above.
 Discussion and Brainstorming
 Don't rule out the alternatives at this stage. Refer to the
next step (see below).
o Assumptions - What assumptions (speculations, inferences, etc.) did you
have to make when the information was insufficient?
8. Comparison of the Alternatives & Analysis of the Alternatives
o Analysis of the Alternatives
 Every solution has some positive and some negative outcomes.
Tradeoff. Relative risks and opportunities. (SWOT)
  Rationale For or Against each alternative
 Advantages (pro) and disadvantages (con) for each
alternative
 Analysis (charts, graphs, calculations, etc.) - Appendices
 How well will each alternative resolve the ONE most important
problem?
 What are the short-term and long-term consequences of each
alternative?
o Anticipate obstacles to the successful implementation of the solution.
o Satisfice (= satisfactory & sufficient) vs. Maximize (= perfect)
9. Decision & Recommendation the most feasible solution (i.e. your
decision)
o Best alternative. Give the best course of action for the company.
 In the previous steps, you listed and analyzed the possible
alternatives. In this step, you select the best of those alternatives.
Don't make up other alternatives now.
o The optimum choice is the one that provides the best balance between
profit opportunities and the risks and costs of failure.
o Students should make a clear-cut decision and avoid qualifications and
other obvious hedges.
o Explain the logic behind this resolution of the issue.
o Reasons why the other alternatives were not chosen.
o Solution - At the end of your paper, have you solved the problem as stated
at the beginning?
10. Action Plan
o Implementation plan = plan of action = (i.e. a detailed plan of how you
will implement your decision)
 This is a plan for the future. (tomorrow?)
 Please do not provide a history lesson listing Action Plans for
solutions that were used by the company in the past.
 YOU must develop an Action Plan to solve the CURRENT
problem that you have identified (see above).
o specific
o unambiguous
o organized, sequential steps
o realistic
o Action Plan - Be clear and specific in detailing the steps you will follow.
 Details, who/when/where/how
11. Appendices
o Appendix A, Appendix B, Appendix C, etc.
o Graphs, charts, tables, reports, financial statements, etc.
o Important information that you can refer to from the body of the
document (e.g. See Appendix F)
o as required, so that the body of the case does not contain too much detail
12. Bibliography
 o References to the sources for your research.

Preparation - What the student (or group of students) must prepare for the
assigned case study, before going into class for the presentation

1. Prepare individually.
o Read the case. Reflect on the case.
o Conduct individual research and define the problem.
2. Prepare with your group.
o Meet in small study groups to discuss the case.
o Warning - Coordination of the group work. You have now been
warned.
3. Consider all of the essential components of The Case Study Method for
Business (see above).
4. Written report - see paper.htm
5. Oral presentation (in-class) and questions and discussion.
o Prepare any handouts or audio-visual materials.
 Summaries, Analyses, Graphics, etc.
 Your PowerPoint presentation will not include much detail. Each
slide must be attractive, clear, simple, easy to read and understand,
and allow the speakers/presenters to keep the attention of the
audience. The facts and the details will be presented by the
speakers, not on the PPT slides.
 PowerPoint Presentations (PPT) ...
o Prepare to answer any questions your professor or your peers may ask
about the business or about your analysis or about your recommendations.
o Prepare to defend your assumptions and decisions.
o Prepare both sides of the important issues.
o Prepare your presentation format
o Preparation, presence (attendance), promptness, participation

Presentation = In-class oral presentation by the group

• Date of presentation? - see the Lecture Notes
o You will submit the final version (DOC, PPT - hardcopy & softcopy)
before you do your presentation.
• Content - See Components of the Case Method
o The Case Method must be used for this assignment.
o Written report
o The Presentation will be a summary of your Case Study, and will be based
on your written report.
• Participation
o See Preparation.
o Attendance: Each team member must present. Group.
o Leadership, responsibilities, communication
 setting up the meetings, dividing the tasks, coordinating the work,
calling/e-mailing
o Time management
 Start now. Don't wait till the last minute. Organize a schedule of
group goals and activities.
o Progress Reports - Keep track of your group's progress. You may be
required to submit regular progress reports.
o Warning - Coordination of the group work. You have now been
warned.
• Presentation
o You will have about 10 minutes for the entire presentation.
 Online Minute Timer
o Preparation for the Presentations ...
o PowerPoint slides. Please study the PowerPoint page.
o Each presentation will be immediately followed by a discussion of the
case and the presentation. The group will initiate and lead the discussion
period.
 Concepts in the case - concepts in that chapter, marketing
concepts, SWOT, analysis of alternatives, decision process,
reasonable conclusions, interesting question/discussion period
 The emphasis must be on the topic for the course (for example, in a
Marketing course, the topic MUST be a Marketing topic).
 Presentation - evident preparation, group coordination, group
members' involvement, easy to hear at the back of the room,
duration (too long/short)
o Suggestions
 proper business attire (= suit) (You want to look professional.)
 projector (if not permanently installed in the classroom)
 pointer
 clear writing on the chalkboard, organized
 speaker must keep the attention of the class
 Do not read the content of the PPT to the class. Please study the
PowerPoint page.
 props
o Timing
 Online Minute Timer
 Usual formula for a 30 minute presentation
 Summary
 01 min - general, brief description of the case, handouts
 04 min - discussion of the case
 10 min - history of the case (timeline)
 05 - Analysis
  05 - Alternatives and Conclusion
 05 - Discussion period
 For my classes - 10 minutes (or less)
 03 - Summary
 02 - Analysis
 02 - Alternatives and Conclusion
 02 - Discussion period
• Other formats (very rare in Business)
o Debate format
 Two teams argue the case. (pro vs. con)
 Five minutes per side, followed by five minutes for rebuttal,
followed by three minutes for summary.
 It usually ends with interaction from the audience.
o Public hearing format
o Trial format
o Team learning format
o Scientific research team format
• Evaluation Form. - REQUIRED - Submit AFTER the presentation.
o Each group member must submit the Group Peer Evaluation page.
o Complete this form when you are alone. Do not complete this form if any
other group members are present

CASE STUDY

A case study involves a particular method of research. Rather than using large samples and following a rigid
protocol to examine a limited number of variables, case study methods involve an in-depth, longitudinal
examination of a single instance or event: a case. A case study provides a systematic way of looking at events,
collecting data, analyzing information, and reporting the results. As a result the researcher may gain a sharpened
understanding of why the instance happened as it did, and what might become important to look at more
extensively in future research. Case studies lend themselves especially to generating (rather than testing)
hypotheses.

Types of case study

Illustrative case study

An illustrative case study describes a domain; they utilize one or two instances to analyze a situation. This helps
interpret other data, especially when researchers have reason to believe that readers know too little about a
program. This case study serves to make the unfamiliar familiar, and give readers a common language about the
topic. The chosen site should typify important variations and contain a small number of cases to sustain readers'
interest.

Exploratory case study

An exploratory case study condenses the case study process: researchers may undertake them before
implementing a large-scale investigation. Where considerable uncertainty exists about program operations, goals,
and results, the exploratory case study helps identify questions, select measurement constructs, and develop
measures; they also serve to safeguard investment in larger studies.

Critical instance case study

The critical instance case study examines one or a few sites for one of two purposes. A very frequent application
involves the examination of a situation of unique interest, with little or no interest in generalizability. A second,
rarer, application entails calling into question a highly generalized or universal assertion and testing it by examining
one instance. This method particularly suits answering cause-and-effect questions about the instance of concern.
Inadequate specification of the evaluation question forms the most serious pitfall in this type of study. Appropriate
application of the critical instance case study crucially involves probing the underlying concerns in a request.

Program implementation case study

A program implementation case study helps discern whether implementation complies with intent. This case study
may also prove useful when concern exists about implementation problems. Extensive, longitudinal reports of what
has happened over time can set a context for interpreting a finding of implementation variability. In either case,
researchers aim for generalization and must carefully negotiate the evaluation questions with their customer.

Program effects case study

Program effects case studies can determine the impact of programs and provide inferences about reasons for
success or failure. As with the program implementation case study, the evaluation questions usually require
generalizability and, for a highly diverse program, it may become difficult to answer the questions adequately and
retain a manageable number of sites. But methodological solutions to this problem exist. One approach involves
first conducting the case study in sites chosen for their representativeness, then verifying these findings through
examination of administrative data, prior reports, or a survey. Another solution involves using other methods first.
After identifying findings of specific interest, researchers may then implement case studies in selected sites to
maximize the usefulness of the information.

Cumulative case study

The cumulative case study aggregates information from several sites collected at different times. The cumulative
case study can have a retrospective focus, collecting information across studies done in the past, or a prospective
outlook, structuring a series of investigations for different times in the future. Retrospective cumulation allows
generalization without cost and time of conducting numerous new case studies; prospective cumulation also allows
generalization without unmanageably large numbers of cases in process at any one time.

The techniques for ensuring sufficient comparability and quality and for aggregating the information constitute the
"cumulative" part of the methodology. Features of the cumulative case study include the case survey method (used
as a means of aggregating findings) and backfill techniques. The latter aid in retrospective cumulation as a means
of obtaining information from authors that permits use of otherwise insufficiently detailed case studies.

Opinions vary as to the credibility of cumulative case studies for answering program implementation and effects
questions. One authority notes that publication biases may favor programs that seem to work, which could lead to
a misleading positive view (Berger, 1983). Others raise concerns about problems in verifying the quality of the
original data and analyses (Yin, 1989).

The case method

The case method has long been accepted as an important method for training managers
and administrators. It is a method of learning based on active participation and
cooperative or democratic discussion of a situation faced by a group of managers. The
method of discussion also replicates the manner in which most decisions are taken in
practice. It also involves replicating discussions with supervisors, peers or subordinates.
If properly used, it has the power to improve the acquisition of knowledge, skills and
attitudes.

What is a case?
No universally accepted definition of 'case' exists. We may consider a case, to quote
Carl Christensen, as

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

Thus, broadly speaking, a case is a description of a situation faced by an individual or

organization.

Types of cases
A case could be a one-page, or even smaller, description with very little quantitative or
qualitative information, of a situation faced by a manager concerning just one of the
aspects of management involving just another individual. This is usually termed a
'caselet.' It could also be extensive and detailed, forming what is called a
'comprehensive case.'

Dimensions of a case
Three possible dimensions encompass a large part of the case:

What is described. A case could merely describe an individual, an incident, an

organization, or a system. On the other hand, it could describe a decision making
situation faced by a manager, involving part or whole of the organization, with a focus on
one or more of the elements of the problem solving approach.

Purpose. The purpose of a case may be either research or learning. If the purpose is
learning, the emphasis could be on one or more of the forms of learning, namely
acquiring knowledge, gaining skills, and developing attitudes and values.

Mode of description. The nature of presentation could be written, audiovisual or oral.

Case discussion
The case method should more appropriately be called the 'case discussion method' as
discussion in a group of co-learners is an integral part of the method. This involves the
following steps:

• study of a case by an individual learner, analysis of the case, and development of a

strategy and action plan from the point of view of the decision-maker in the case;

• discussion in a small group (6-10 individuals) of the individual learner's analysis and
proposals, and consequent revisions, if needed;

• discussion in a plenary session (up to 80 to 100 individuals) with the help of a

discussion leader (resource person/faculty member); and

• post-plenary session discussion with co-learners and discussion leader to consolidate

the learning, if necessary.
Study and analysis of a case by an individual manager would bring to bear only that
individual's knowledge, skill, experiences and attitudes in resolving the problems faced
by the manager in the case situation. Discussion in small groups or a class by several
managers, with their respective backgrounds, knowledge, skills and attitudes and
values, has the potential to enlarge the perspective of each individual. Discussion is
supposed to take place in a democratic spirit, where each participant is free to present
their analysis and the rest of the class or group tries to assimilate and understand it. Co-
learners try to see the similarities and differences in such presentations. On the basis of
strong logic, and not brute force of lung power, the issues are analysed and final
assessments made. Thus, through discussion in small groups and class, an individual
would:

• acquire new knowledge, and learn about skills and attitudes possessed by others,
• reflect on the applicability of their own knowledge, skills and attitudes or values, and
• learn the art of listening to others, convincing others and social interaction in a group
setting.

Usefulness of the case method

The case method has been found to be extremely useful in acquiring knowledge,
developing skills, forming attitudes and influencing behaviour.

Acquiring knowledge

In the managerial context, knowledge is, firstly, situation-specific concerning policies of

those - both external and internal - who influence managers' actions, and, secondly,
concepts, approaches and techniques expounded in the literature or by colleagues, or
from other sources. A manager needs to acquire such knowledge, not merely as words
but so as to be able to appropriately interpret it for improved decision making. In the
case method, knowledge is acquired while grappling with a real-life situation and not in
isolation of its context.

Developing skills

Development of skills involves an element of actually doing. The case method helps,
through discussion of real-life situations, to discriminate properly between the situations
where particular skills could or could not be applied. The practice part could be
accomplished by doing the exercise repeatedly or using different cases over a period of
time.

Forming attitudes and values

Formation of attitudes and values for adults is a time consuming process, as attitudes
and values are fixed early in life. It seems that the discussion mode of the case method,
particularly with co-learners, helps a great deal in re-examining the attitudes and values
of managers. Such discussions in small groups should be characterized by a relaxed,
tension free, non-evaluative atmosphere in which participants may discuss their own
experiences. Exposure to different ways of looking at the same situation might provoke
the process of re-examining one's own attitudes and values. Needless to say, the longer
the duration of the programme, the higher the likelihood of more participants starting
such personal re-examination and attaining a greater degree of change in attitudes and
values.

Behavioural learning

Behavioural learning is done mostly through on-the-job training and experience.

However, the learning of attitudes and behaviour could be enhanced by supplementing
the case method with the syndicate method and field project work. The syndicate
method (discussions in small groups) is an integral part of the case method. Field
projects are widely used in degree-type programmes to provide real life behavioural
exposure. It is, however, difficult to use this method in short-duration, executive
development programmes (SEDPs).

Facilitating the process of learning

For any learner, the major motivating element in the case method is the process of
grappling with a situation faced by another manager. A better identification with the
situation leads to increased involvement and enhanced learning for the entire group of
participants. Other motivating elements could be embedded in the process by which
participants are selected by their organizations, possibly in combination with the interest
they show in the programme. As noted earlier, an element of feedback also leads to
improved learning of positively reinforced action. In SEDPs, depending on the maturity
and experience of participants, the discussion leader or teacher may have to provide
feedback to improve the learning climate. Participants would receive the feedback and
develop their own mechanisms of improving learning. This would not only help in
learning during a programme but also afterwards in real life.

The application of learning obtained through the case method is effective on two counts.
Firstly, the learning instrument (a case) is just like the situation faced in real life.
Secondly, the process of arriving at the situation in real life, i.e., discussion with peers,
use of the problem solving approach, and convincing others about one's proposed
action, also matches with the process used in the method.

Training of managers
The case method has been found to be quite successful for training managers and
administrators in both conceptual and pragmatic considerations. Some of the important
features and dimensions of the case method which have enhanced learning are:

• The approach suits the mission of training managers and administrators, which is not
merely to know but to act, and, there too, not merely to act but to learn how to act. This
matches with the everchanging and complex situations encountered by managers and
administrators.

• The method provides practical experience in group behaviour, such as learning to

listen, express and gain confidence in one's judgment.
• It helps individuals discover and develop their own unique frameworks for decision
making.

• It is suitable for all three forms of learning: acquiring knowledge, gaining skills and
developing attitudes and values.

• The resource person finds the method intellectually stimulating, as each group of
participants raises different questions and group dynamics are always distinct, although
the case being discussed may be same.

• It meets the learning and research needs of a resource person in a professional

institution by requiring him or her to keep in touch with practice by way of writing cases
and deep interaction with practitioners in the teaching-learning encounter.

• It is an economically efficient method for a class size as large as 60 to 100 participants.

In comparison, on-the-job training and small group learning could be very costly and
time consuming, besides having a narrower perspective.

Using the case method

The decision to use cases would be based on programme objectives, potential
participant profile and contents of the programme. The case method of learning requires
significant preparation by individual participants, discussion in a small group (of 6 to 8
members) before attending the class, class discussion by participants with the help and
guidance of a resource person, and after-class discussion and reflection. The above
processes take place each session, day after day, during the programme to achieve the
programme objectives and to match the contents and the profile of participants. The
learning from each class session and from the programme could be significantly
influenced by some characteristics of short-duration executive development
programmes.

Sequential process of the case method

The process of training through the case method involves the steps below.

(i) The case method involves preparation, both individual and in small groups, and also
discussion with the help of a discussion leader (resource person) of a situation as
described in the case. This is done with the aim of not only of solving the problems faced
by the manager in that situation, but also of learning to solve problems by gaining
repeated experience in resolving real-life problems through analysis and discussion of a
variety of cases.

(ii) In stage (i) participants first go through and prepare each case individually by
assuming the role of the decision-maker in the situation and then decide on appropriate
decisions and action plans to resolve the problems faced. During this preparation, a
participant struggles with, first, defining the appropriate decision areas; second,
specifying objectives, purposes and criteria for resolving the issues; third, generating
options to resolve the issues; fourth, evaluating the alternatives on the basis of
information available, which is usually incomplete; and, finally, deciding the course of
action and contingency plan on the basis of their best judgment. In other words, they
apply a problem solving approach.

(iii) The individual participants next discuss their inferences and action plans in the forum
of a small group of 6 to 10 participants. Different individuals might, and in fact do, come
up with different inferences and action plans. Group members need to carefully listen,
understand, and appreciate these different views, and thus expand their range of
thinking as well as depth of analysis. For this to happen effectively, the group
atmosphere should be as free as possible, and focusing on important issues.

(iv) In-class discussion is also like small-group discussion, except that the range of
experiences encountered in the inferences and action plans may be much larger, and
that there is also a discussion leader to help the class in its deliberations. To enhance
class learning, individual participants can play different roles, involving presenting,
listening, clarifying, synthesizing and generalizing. However, a participant or a group of
participants should not try to dominate the discussion, and should try to convince rather
than to impose their views on co-participants.

(v) After-class discussion should be used to reflect on class discussion. Synthesis

should be made within the initial small group, aiming to arrive at both an improved
understanding of, and better decisions made in, the particular situation, and also
tentative generalizations about individual approaches, attitudes and values for improved
decision making in the future.

(vi) The instructors assign the cases and associated readings for the classes, provide
guidance, if any, for preparation, and make themselves available for any clarifications.
They do a thorough analysis of the case and devise a class strategy for themselves,
which includes:

• deciding the objectives of the session,

• how to open the discussion,

• whom to call on for opening the discussion, for particular clarification or synthesizing,

• decide on the nature of questioning to bring out certain crucial issues if participants do
not touch those issues,

• how much direction to use in the particular case discussion, and

• how to close the discussion.

While doing all this, the resource person should not seem to teach but merely provide
learning impetus and thought space during the course of class discussion.

(vii) The programme coordinator, along with the programme faculty and support staff,
creates a learning climate conducive to peer learning through planning as well as
implementing both academic and non-academic components of the programme.
(viii) The method as such demands time, effort, involvement and self-discipline from
participants as well as from the programme teachers and resource persons. This could
be frustrating, particularly at the beginning of a programme. However, as the programme
progresses, the pace and quality of learning improve and is quite satisfying in terms of
achieving the learning objectives.

Role of the resource person

One of the critical components in the effective use of the case method is the degree of
preparedness of the resource person. A poor case, poorly prepared by the participants,
can still be a valuable learning experience if the resource person is fully prepared. The
case method relies heavily on the leadership skills of the resource person.

The role of the resource person in a case discussion is basically to guide and direct. The
objective is to keep the discussion moving towards useful goals, with a minimum of
intervention. The resource persons should keep themselves in the background until they
feel that direction has been lost, that there is a need for more analysis, or that the key
points are not receiving proper emphasis. To be effective, the resource person:

• should be prepared;

• should be flexible. Accept the fact that this is necessary in using case materials. Try
not to force the discussion along predetermined lines;

• should ask questions when necessary, but ask as few as possible to support the open
nature of the decision without leading into unproductive channels;

• should never become emotionally involved in the case discussion; they should never
advocate or oppose a particular idea; and

• should summarize at the end and leave time to pull together the key points of the case.
Many participants will need assistance in drawing out concepts from the ongoing
discussion.

Participants in the case method approach often feel uncomfortable because, more often
than not, there is no single solution to the situation described in the case. There are
likely to be no irrefutable principles of management highlighted by the case which can be
remembered for use in future situations. There is no hard and fast answer. To resolve
this dilemma, the resource person must make clear to the participants that the case
method is designed to develop their analytical and judgmental skills. It is the process by
which they reach their decision that is important. The objective of the case method is to
nurture this thought process; not to communicate facts to be memorized.

Role of participants

The case method heavily relies on adequate preparation and analysis by participants.
Discussions are best for cases which are short and can be analysed on the spot. Case
materials should be given to the participants at least one day before the proposed
discussion, together with both instructions as to the amount of time they should spend
on case analysis, and some insights as to how the case should be analysed. The former
is important since many participants underestimate the amount of effort needed for
effective case analysis. For example, a 30-page case would require approximately one
hour to read. A preliminary analysis might take a further hour, and a detailed analysis
and preparation might take an additional one to three hours, depending upon the
complexity of the case. Case analysis is clearly not something which can be dismissed
in ten minutes just before the discussion.

Guidance to participants
The extent to which a resource person may wish to provide guidance as to the optimal
line of analysis will depend on a number of factors, such as the complexity of the case,
relative time available for its discussion, and the participants' experience and skills in
analyses. If the case is complex and there is a strong possibility that the class discussion
will fail to focus on the key topics, or if participants are inexperienced in handling cases -
as they normally will be in research and development (R&D) management workshops -
analyses and instructions are both appropriate and desirable.

The following is a general set of instructions, which could be given to workshop

participants to help them with case analyses.

(i) Read the case through quickly to get a first impression of what it is about or what the
basic issues may be. Then, re-read more slowly and begin to note down the facts and
quasi-facts supplied and their relationship.

(ii) Once the data in the case have been itemized, analyse and determine the major as
well as the secondary issues. The analysis itself can be done in several ways. For
example, it may be conducted by

- examining the background environment in which the organization operates and the
events and circumstances leading to the points at issue, and

- determining the major areas with which the problem is concerned.

Some major points for analysis, commonly encountered in analyzing R&D management
cases are:

• The nature of competitive R&D organizations.

• The organization's reputation and how this affects the issues.

• National economic conditions and their effect on the demand for R&D.

• The characteristics of the user community for the R&D organization's services in terms
of location and relationship to the R&D organization.

• The characteristics of the organization's product, i.e., research, development,

information, consultancy, etc.
• The nature of the extension activities that connect the laboratory to the ultimate user or
benefactor of R&D results.

• The impact of end-user attitudes and interests on the R&D organization's outputs.

• The project initiation and approval processes in the organization and their implications.

• The willingness to delegate authority in the organization.

• The degree or urgency of the project.

• The amount of uncertainty involved in the project.

(iii) As the analysis proceeds, several possible courses of action will become apparent.
Each of these should be examined, retained, or rejected as the analysis proceeds.

Take note of both the strengths and weaknesses of each point. Few, if any, situations
are totally correct or incorrect.

(iv) The participant should try to realize when there is a need for more data and what
information is needed, or, if they are not available, what assumptions should be made.

(v) Once all this has been done, it should be feasible to arrive at one or more decisions.
It should be remembered, of course, that possible solutions, or approaches to them, are
many, and others may develop an entirely different solution or approach. Both may be
equally correct if the participant has thought through the analysis clearly and logically.

Utility of small group discussions

In an attempt to lighten the workload, participants can be divided into groups to analyse
and prepare positions on a case. Such group discussions have proven to be highly
valuable, provided each participant has made his or her own prior analysis, and they
should be encouraged. Additional insights, ideas and perspectives are often brought out
in such discussions. Participants who are reluctant to speak out in plenary sessions will
usually open out in group discussions. Also, for most workshops, small group
discussions allow participants to discuss the case among themselves in their own
language before having to discuss in the official language of the plenary session. In
using this technique, however, care should be taken to ensure that some participants do
not use group discussions as a means of avoiding the effort associated with an analysis
of their own. It should be made clear that, unlike the lecture approach, the case method
assigns primary responsibility to the participant. In order to maximize the benefits, they
must maximize their own efforts. The resource person should move from one group to
another during case discussions so as to be aware of the emerging analysis.

Case development and writing

Case development and writing should be an ongoing process for any institution using the
case method. Its importance arises from the fact that recent cases not only provide an
element of interest among programme participants, but also bring to the class the latest
situations being faced by decision-makers.

Identifying case development needs

Case development and writing needs arise in two different ways. First, some of the
existing cases in current courses may need replacement by new ones as the old ones
are too old to generate much interest among participants, or they do not adequately
depict the current decision making scenario in real life. Second, an opportunity may arise
to write an additional case which would be useful.

The programme coordinator or resource person should review the objectives of the
training programmes, modules or sessions in which new cases could be used, and then
should specify the contents to be covered, the major issues to be tackled, the level of
decision making (middle, senior or top), and the type and size of organization desired.
Such specifications would provide a somewhat sharper focus when searching for leads
on appropriate cases.

Developing case leads

A case writer, having defined the case writing requirements and prioritized them, has to
look for real-life situations. Several ways are open in locating such situations.

Primary sources Colleagues, alumni, participants in current executive development

programmes, contact persons in organizations where consulting may be in progress or
may have been provided earlier, and visiting executives could all be sources of case
leads.

Secondary sources Scanning relevant reports (including reports of government

commissions, departments, etc.), particular industry and trade papers and journals, and
other relevant publications - all these could generate possible case leads. These need to
be followed up by correspondence or personal visits to ascertain the possibility of
developing the leads into cases from the point of view of availability of required
information as well as willingness of the organization to allow their use.

Pursuing possible case leads The case writer needs to prepare a list of contacts and
associated files, with names and addresses of contact persons and organizations, and
prioritize them on the basis of a priori assessment of converting these into actual case
leads. Some might suitable for immediate application, others at a later date, and still
others may require additional effort, such as inviting the relevant executives for an oral
presentation. Systematic recording and follow-up procedures need to be established in
pursuing possible case leads.

Initial clearance

Getting initial clearance, preferably from top executives of the organization, is necessary
for efficient time utilization in case writing. If this step is not followed, the time spent on
developing cases is wasted.
It may be helpful to brief the contact executive as well as the top executive about the
purposes for which cases are used, with assurances both of confidentiality while working
on it and of its non-use until the case draft is cleared by the organization. While there
could be benefits to the organization through discussion of the situation, care must be
exercised in making assurances which cannot be fulfilled. In any case, initial clearance
for writing the case should be obtained fairly early.

Data collection

The real work of case writing starts by planning and implementing the data collection
phase through secondary sources, both published and in-company, and primary sources
(interviews with executives and other knowledgeable persons). In the first phase of data
collection, the case writer familiarizes him- or herself with the situation. This could
include scanning of published materials for understanding the industry and the
organization, records or personal knowledge of colleagues about previous attempts at
case writing on the organization, and other knowledgeable persons about the industry,
the company and the phenomenon under study.

The second phase would begin with preliminary interviews with key decision-makers in
the organization in order to understand the situation and acquire an understanding of
what went into decision making. Following this, detailed data from both primary and
secondary sources will have to be collected according to a work schedule.

While secondary data from outside the organization could be collected independently,
many in-company documents are obtained whilst or as a result of interviewing
executives. It may be useful to plan out the nature of data that the case writer is seeking
since many documents may not be allowed to leave the organization's premises and so
will have to be studied in the limited time available during the visit. This phase is like
conducting research based on secondary sources of data as well as in-depth interviews
of executives. It demands all the capabilities of a good researcher.

Preparing the case outline

The case writer may have prepared a preliminary case outline even before embarking on
data collection, but, having collected the data, a firm outline of the case should be
elaborated. Some of the elements to be dealt with in this phase are listed below.

• Identify the major issues in the situation and those which need to be highlighted in the
case.

• A background of the organization, its situation and executives should be included in the
case as it is relevant and useful in providing a perspective for the case analyst. Usually
this description follows the opening paragraphs on the major issues in the case.

• The nature of information from secondary and primary sources and their sequencing in
the text.

• Essential aspects to be included in the text, versus explanatory and supportive

information to be put in exhibits or appendixes.
• A sequencing of items to provide for easy reading and comprehension, unless the
purpose of the case suggests otherwise.

Preparing a case draft

The efforts put into preparing the case outline should help in writing the case draft.
Additional considerations and suggestions are given below.

(i) The case writer must keep the focus on the decision-maker, and be faithful and
objective in describing the situation. Therefore personal comments, reactions, etc., of the
case writer must be avoided. The language and terminology used by executives or
generally used in the trade or profession must be retained. If such terminology is not
likely to be understood by participants, explanations should be given in a glossary.

(ii) A case should be written using a structure which promotes an easy flow of thought for
better understanding and comprehension by the participant. For the same reason, the
language of the case should be understood by the participant. Details could be
increased or reduced according to participant's anticipated knowledge and ability,
interest and experience.

(iii) A catchy title and dramatic opening will attract reader attention immediately. The
length should be kept as short as possible so that no unnecessary time has to spent on
reading to attain comprehension. Generally, cases are written in the past tense. The
case writer must maintain complete confidentiality.

(iv) The final draft should be written with as much care as a professional journal article.

Clearance, registration and testing

Clearance of interview transcripts needs to be sought from executives before finalizing

the case draft, more so if they are quoted. Having written the final draft, formal clearance
must be requested from the organization. The organization may suggest disguising the
name of the organization, names of executives, financial data, etc. Disguise helps
participants in concentrating on and discussing the case per se, without possible
introduction of extraneous information from other sources. However, disguise should not
distort the situation to the extent where the purpose of the case is defeated. Having
made such changes, formal clearance must be sought and obtained.

After obtaining formal clearance, the case needs to be tested. This could be in two
stages. First, it could be discussed among other faculty members. This is particularly
helpful when case writing activity is new, and many faculty members are willing to
participate in such an activity not only to help a colleague but probably also to learn from
each other's experiences. Alternatively, the case writer could request experienced
faculty colleagues to comment on or personally discuss the draft.

The second, and more useful, test should be on the kinds of participants for whom the
case is prepared. It would be useful if another colleague is involved in this process to
learn about how the case was discussed, what issues emerged, how were they
analysed, was some critical information missing, was some available information
irrelevant, etc. Depending on the reactions, the case could be revised.

The case should be formally registered so that issues of copyright, use and distribution
are in proper form.

Teaching notes
Writing a teaching note is an extremely important activity in the case writing process. It
helps in checking the adequacy of the case for the purposes it was written, in describing
its use, in ensuring that proper analysis can be done, and in outlining strategy of its use.
A teaching note should cover:

• programmes in which the case could be used;

• position of the case in the programme and module for which it is intended;

• learning objectives, major or minor, which could be achieved by using the case;

• major issues and their analysis, both qualitative and quantitative;

• background information and reading which would facilitate learning from and use of the
case;

• preparation required by the resource person and the participants;

• possible assignments for facilitating preparation and learning;

• strategies to be used by the resource persons to get the best out of the case;

• past experience in using the case; and

• what happened in real life (if the organization featured in the study allows the
information to be shared).