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5 Benefits of Learning Through the Case Study Method

• 28 Nov 2023

While several factors make HBS Online unique —including a global Community and real-world outcomes —active learning through the case study method rises to the top.

In a 2023 City Square Associates survey, 74 percent of HBS Online learners who also took a course from another provider said HBS Online’s case method and real-world examples were better by comparison.

Here’s a primer on the case method, five benefits you could gain, and how to experience it for yourself.

Access your free e-book today.

What Is the Harvard Business School Case Study Method?

The case study method , or case method , is a learning technique in which you’re presented with a real-world business challenge and asked how you’d solve it. After working through it yourself and with peers, you’re told how the scenario played out.

HBS pioneered the case method in 1922. Shortly before, in 1921, the first case was written.

“How do you go into an ambiguous situation and get to the bottom of it?” says HBS Professor Jan Rivkin, former senior associate dean and chair of HBS's master of business administration (MBA) program, in a video about the case method . “That skill—the skill of figuring out a course of inquiry to choose a course of action—that skill is as relevant today as it was in 1921.”

Originally developed for the in-person MBA classroom, HBS Online adapted the case method into an engaging, interactive online learning experience in 2014.

In HBS Online courses , you learn about each case from the business professional who experienced it. After reviewing their videos, you’re prompted to take their perspective and explain how you’d handle their situation.

You then get to read peers’ responses, “star” them, and comment to further the discussion. Afterward, you learn how the professional handled it and their key takeaways.

HBS Online’s adaptation of the case method incorporates the famed HBS “cold call,” in which you’re called on at random to make a decision without time to prepare.

“Learning came to life!” said Sheneka Balogun , chief administration officer and chief of staff at LeMoyne-Owen College, of her experience taking the Credential of Readiness (CORe) program . “The videos from the professors, the interactive cold calls where you were randomly selected to participate, and the case studies that enhanced and often captured the essence of objectives and learning goals were all embedded in each module. This made learning fun, engaging, and student-friendly.”

If you’re considering taking a course that leverages the case study method, here are five benefits you could experience.

5 Benefits of Learning Through Case Studies

1. take new perspectives.

The case method prompts you to consider a scenario from another person’s perspective. To work through the situation and come up with a solution, you must consider their circumstances, limitations, risk tolerance, stakeholders, resources, and potential consequences to assess how to respond.

Taking on new perspectives not only can help you navigate your own challenges but also others’. Putting yourself in someone else’s situation to understand their motivations and needs can go a long way when collaborating with stakeholders.

2. Hone Your Decision-Making Skills

Another skill you can build is the ability to make decisions effectively . The case study method forces you to use limited information to decide how to handle a problem—just like in the real world.

Throughout your career, you’ll need to make difficult decisions with incomplete or imperfect information—and sometimes, you won’t feel qualified to do so. Learning through the case method allows you to practice this skill in a low-stakes environment. When facing a real challenge, you’ll be better prepared to think quickly, collaborate with others, and present and defend your solution.

3. Become More Open-Minded

As you collaborate with peers on responses, it becomes clear that not everyone solves problems the same way. Exposing yourself to various approaches and perspectives can help you become a more open-minded professional.

When you’re part of a diverse group of learners from around the world, your experiences, cultures, and backgrounds contribute to a range of opinions on each case.

On the HBS Online course platform, you’re prompted to view and comment on others’ responses, and discussion is encouraged. This practice of considering others’ perspectives can make you more receptive in your career.

“You’d be surprised at how much you can learn from your peers,” said Ratnaditya Jonnalagadda , a software engineer who took CORe.

In addition to interacting with peers in the course platform, Jonnalagadda was part of the HBS Online Community , where he networked with other professionals and continued discussions sparked by course content.

“You get to understand your peers better, and students share examples of businesses implementing a concept from a module you just learned,” Jonnalagadda said. “It’s a very good way to cement the concepts in one's mind.”

4. Enhance Your Curiosity

One byproduct of taking on different perspectives is that it enables you to picture yourself in various roles, industries, and business functions.

“Each case offers an opportunity for students to see what resonates with them, what excites them, what bores them, which role they could imagine inhabiting in their careers,” says former HBS Dean Nitin Nohria in the Harvard Business Review . “Cases stimulate curiosity about the range of opportunities in the world and the many ways that students can make a difference as leaders.”

Through the case method, you can “try on” roles you may not have considered and feel more prepared to change or advance your career .

5. Build Your Self-Confidence

Finally, learning through the case study method can build your confidence. Each time you assume a business leader’s perspective, aim to solve a new challenge, and express and defend your opinions and decisions to peers, you prepare to do the same in your career.

According to a 2022 City Square Associates survey , 84 percent of HBS Online learners report feeling more confident making business decisions after taking a course.

“Self-confidence is difficult to teach or coach, but the case study method seems to instill it in people,” Nohria says in the Harvard Business Review . “There may well be other ways of learning these meta-skills, such as the repeated experience gained through practice or guidance from a gifted coach. However, under the direction of a masterful teacher, the case method can engage students and help them develop powerful meta-skills like no other form of teaching.”

How to Experience the Case Study Method

If the case method seems like a good fit for your learning style, experience it for yourself by taking an HBS Online course. Offerings span seven subject areas, including:

• Business essentials
• Leadership and management
• Entrepreneurship and innovation
• Finance and accounting
• Business in society

No matter which course or credential program you choose, you’ll examine case studies from real business professionals, work through their challenges alongside peers, and gain valuable insights to apply to your career.

Are you interested in discovering how HBS Online can help advance your career? Explore our course catalog and download our free guide —complete with interactive workbook sections—to determine if online learning is right for you and which course to take.

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Top 40 Most Popular Case Studies of 2021

Two cases about Hertz claimed top spots in 2021's Top 40 Most Popular Case Studies

Two cases on the uses of debt and equity at Hertz claimed top spots in the CRDT’s (Case Research and Development Team) 2021 top 40 review of cases.

Hertz (A) took the top spot. The case details the financial structure of the rental car company through the end of 2019. Hertz (B), which ranked third in CRDT’s list, describes the company’s struggles during the early part of the COVID pandemic and its eventual need to enter Chapter 11 bankruptcy. 

The success of the Hertz cases was unprecedented for the top 40 list. Usually, cases take a number of years to gain popularity, but the Hertz cases claimed top spots in their first year of release. Hertz (A) also became the first ‘cooked’ case to top the annual review, as all of the other winners had been web-based ‘raw’ cases.

Besides introducing students to the complicated financing required to maintain an enormous fleet of cars, the Hertz cases also expanded the diversity of case protagonists. Kathyrn Marinello was the CEO of Hertz during this period and the CFO, Jamere Jackson is black.

Sandwiched between the two Hertz cases, Coffee 2016, a perennial best seller, finished second. “Glory, Glory, Man United!” a case about an English football team’s IPO made a surprise move to number four.  Cases on search fund boards, the future of malls,  Norway’s Sovereign Wealth fund, Prodigy Finance, the Mayo Clinic, and Cadbury rounded out the top ten.

Other year-end data for 2021 showed:

• Online “raw” case usage remained steady as compared to 2020 with over 35K users from 170 countries and all 50 U.S. states interacting with 196 cases.
• Fifty four percent of raw case users came from outside the U.S..
• The Yale School of Management (SOM) case study directory pages received over 160K page views from 177 countries with approximately a third originating in India followed by the U.S. and the Philippines.
• Twenty-six of the cases in the list are raw cases.
• A third of the cases feature a woman protagonist.
• Orders for Yale SOM case studies increased by almost 50% compared to 2020.
• The top 40 cases were supervised by 19 different Yale SOM faculty members, several supervising multiple cases.

CRDT compiled the Top 40 list by combining data from its case store, Google Analytics, and other measures of interest and adoption.

All of this year’s Top 40 cases are available for purchase from the Yale Management Media store .

And the Top 40 cases studies of 2021 are:

1.   Hertz Global Holdings (A): Uses of Debt and Equity

2.   Coffee 2016

3.   Hertz Global Holdings (B): Uses of Debt and Equity 2020

4.   Glory, Glory Man United!

5.   Search Fund Company Boards: How CEOs Can Build Boards to Help Them Thrive

6.   The Future of Malls: Was Decline Inevitable?

7.   Strategy for Norway's Pension Fund Global

8.   Prodigy Finance

9.   Design at Mayo

10. Cadbury

11. City Hospital Emergency Room

13. Volkswagen

14. Marina Bay Sands

15. Shake Shack IPO

16. Mastercard

17. Netflix

18. Ant Financial

19. AXA: Creating the New CR Metrics

20. IBM Corporate Service Corps

21. Business Leadership in South Africa's 1994 Reforms

22. Alternative Meat Industry

23. Children's Premier

24. Khalil Tawil and Umi (A)

25. Palm Oil 2016

26. Teach For All: Designing a Global Network

27. What's Next? Search Fund Entrepreneurs Reflect on Life After Exit

28. Searching for a Search Fund Structure: A Student Takes a Tour of Various Options

30. Project Sammaan

31. Commonfund ESG

32. Polaroid

33. Connecticut Green Bank 2018: After the Raid

34. FieldFresh Foods

35. The Alibaba Group

36. 360 State Street: Real Options

37. Herman Miller

38. AgBiome

39. Nathan Cummings Foundation

40. Toyota 2010

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Blog Beginner Guides 6 Types of Case Studies to Inspire Your Research and Analysis

6 Types of Case Studies to Inspire Your Research and Analysis

Written by: Ronita Mohan Sep 20, 2021

Case studies have become powerful business tools. But what is a case study? What are the benefits of creating one? Are there limitations to the format?

If you’ve asked yourself these questions, our helpful guide will clear things up. Learn how to use a case study for business. Find out how cases analysis works in psychology and research.

We’ve also got examples of case studies to inspire you.

Haven’t made a case study before? You can easily  create a case study  with Venngage’s customizable case study templates .

Click to jump ahead:

What is a case study?

6 types of case studies, what is a business case study, what is a case study in research, what is a case study in psychology, what is the case study method, benefits of case studies, limitations of case studies, faqs about case studies.

A case study is a research process aimed at learning about a subject, an event or an organization. Case studies are use in business, the social sciences and healthcare.

A case study may focus on one observation or many. It can also examine a series of events or a single case. An effective case study tells a story and provides a conclusion.

Healthcare industries write reports on patients and diagnoses. Marketing case study examples , like the one below, highlight the benefits of a business product.

Now that you know what a case study is, let’s look at the six different types of case studies next.

There are six common types of case reports. Depending on your industry, you might use one of these types.

Descriptive case studies

Explanatory case studies, exploratory case reports, intrinsic case studies, instrumental case studies, collective case reports.

We go into more detail about each type of study in the guide below.

Related:  15+ Professional Case Study Examples [Design Tips + Templates]

When you have an existing hypothesis, you can design a descriptive study. This type of report starts with a description. The aim is to find connections between the subject being studied and a theory.

Once these connections are found, the study can conclude. The results of this type of study will usually suggest how to develop a theory further.

A study like the one below has concrete results. A descriptive report would use the quantitative data as a suggestion for researching the subject deeply.

When an incident occurs in a field, an explanation is required. An explanatory report investigates the cause of the event. It will include explanations for that cause.

The study will also share details about the impact of the event. In most cases, this report will use evidence to predict future occurrences. The results of explanatory reports are definitive.

Note that there is no room for interpretation here. The results are absolute.

The study below is a good example. It explains how one brand used the services of another. It concludes by showing definitive proof that the collaboration was successful.

Another example of this study would be in the automotive industry. If a vehicle fails a test, an explanatory study will examine why. The results could show that the failure was because of a particular part.

Related: How to Write a Case Study [+ Design Tips]

An explanatory report is a self-contained document. An exploratory one is only the beginning of an investigation.

Exploratory cases act as the starting point of studies. This is usually conducted as a precursor to large-scale investigations. The research is used to suggest why further investigations are needed.

An exploratory study can also be used to suggest methods for further examination.

For example, the below analysis could have found inconclusive results. In that situation, it would be the basis for an in-depth study.

Intrinsic studies are more common in the field of psychology. These reports can also be conducted in healthcare or social work.

These types of studies focus on a unique subject, such as a patient. They can sometimes study groups close to the researcher.

The aim of such studies is to understand the subject better. This requires learning their history. The researcher will also examine how they interact with their environment.

For instance, if the case study below was about a unique brand, it could be an intrinsic study.

Once the study is complete, the researcher will have developed a better understanding of a phenomenon. This phenomenon will likely not have been studied or theorized about before.

Examples of intrinsic case analysis can be found across psychology. For example, Jean Piaget’s theories on cognitive development. He established the theory from intrinsic studies into his own children.

Related: What Disney Villains Can Tell Us About Color Psychology [Infographic]

This is another type of study seen in medical and psychology fields. Instrumental reports are created to examine more than just the primary subject.

When research is conducted for an instrumental study, it is to provide the basis for a larger phenomenon. The subject matter is usually the best example of the phenomenon. This is why it is being studied.

Take the example of the fictional brand below.

Assume it’s examining lead generation strategies. It may want to show that visual marketing is the definitive lead generation tool. The brand can conduct an instrumental case study to examine this phenomenon.

Collective studies are based on instrumental case reports. These types of studies examine multiple reports.

There are a number of reasons why collective reports are created:

• To provide evidence for starting a new study
• To find pattens between multiple instrumental reports
• To find differences in similar types of cases
• Gain a deeper understanding of a complex phenomenon
• Understand a phenomenon from diverse contexts

A researcher could use multiple reports, like the one below, to build a collective case report.

Related: 10+ Case Study Infographic Templates That Convert

A business or marketing case study aims at showcasing a successful partnership. This can be between a brand and a client. Or the case study can examine a brand’s project.

There is a perception that case studies are used to advertise a brand. But effective reports, like the one below, can show clients how a brand can support them.

Hubspot created a case study on a customer that successfully scaled its business. The report outlines the various Hubspot tools used to achieve these results.

Hubspot also added a video with testimonials from the client company’s employees.

So, what is the purpose of a case study for businesses? There is a lot of competition in the corporate world. Companies are run by people. They can be on the fence about which brand to work with.

Business reports  stand out aesthetically, as well. They use  brand colors  and brand fonts . Usually, a combination of the client’s and the brand’s.

With the Venngage  My Brand Kit  feature, businesses can automatically apply their brand to designs.

A business case study, like the one below, acts as social proof. This helps customers decide between your brand and your competitors.

Don’t know how to design a report? You can learn  how to write a case study  with Venngage’s guide. We also share design tips and examples that will help you convert.

Related: 55+ Annual Report Design Templates, Inspirational Examples & Tips [Updated]

Research is a necessary part of every case study. But specific research fields are required to create studies. These fields include user research, healthcare, education, or social work.

For example, this UX Design  report examined the public perception of a client. The brand researched and implemented new visuals to improve it. The study breaks down this research through lessons learned.

Clinical reports are a necessity in the medical field. These documents are used to share knowledge with other professionals. They also help examine new or unusual diseases or symptoms.

The pandemic has led to a significant increase in research. For example,  Spectrum Health  studied the value of health systems in the pandemic. They created the study by examining community outreach.

The pandemic has significantly impacted the field of education. This has led to numerous examinations on remote studying. There have also been studies on how students react to decreased peer communication.

Social work case reports often have a community focus. They can also examine public health responses. In certain regions, social workers study disaster responses.

You now know what case studies in various fields are. In the next step of our guide, we explain the case study method.

In the field of psychology, case studies focus on a particular subject. Psychology case histories also examine human behaviors.

Case reports search for commonalities between humans. They are also used to prescribe further research. Or these studies can elaborate on a solution for a behavioral ailment.

The American Psychology Association  has a number of case studies on real-life clients. Note how the reports are more text-heavy than a business case study.

Famous psychologists such as Sigmund Freud and Anna O popularised the use of case studies in the field. They did so by regularly interviewing subjects. Their detailed observations build the field of psychology.

It is important to note that psychological studies must be conducted by professionals. Psychologists, psychiatrists and therapists should be the researchers in these cases.

Related: What Netflix’s Top 50 Shows Can Teach Us About Font Psychology [Infographic]

The case study method, or case method, is a learning technique where you’re presented with a real-world business challenge and asked how you’d solve it.

After working through it independently and with peers, you learn how the actual scenario unfolded. This approach helps develop problem-solving skills and practical knowledge.

This method often uses various data sources like interviews, observations, and documents to provide comprehensive insights. The below example would have been created after numerous interviews.

Case studies are largely qualitative. They analyze and describe phenomena. While some data is included, a case analysis is not quantitative.

There are a few steps in the case method. You have to start by identifying the subject of your study. Then determine what kind of research is required.

In natural sciences, case studies can take years to complete. Business reports, like this one, don’t take that long. A few weeks of interviews should be enough.

The case method will vary depending on the industry. Reports will also look different once produced.

As you will have seen, business reports are more colorful. The design is also more accessible . Healthcare and psychology reports are more text-heavy.

Designing case reports takes time and energy. So, is it worth taking the time to write them? Here are the benefits of creating case studies.

• Collects large amounts of information
• Helps formulate hypotheses
• Builds the case for further research
• Discovers new insights into a subject
• Builds brand trust and loyalty
• Engages customers through stories

For example, the business study below creates a story around a brand partnership. It makes for engaging reading. The study also shows evidence backing up the information.

We’ve shared the benefits of why studies are needed. We will also look at the limitations of creating them.

Related: How to Present a Case Study like a Pro (With Examples)

There are a few disadvantages to conducting a case analysis. The limitations will vary according to the industry.

• Responses from interviews are subjective
• Subjects may tailor responses to the researcher
• Studies can’t always be replicated
• In certain industries, analyses can take time and be expensive
• Risk of generalizing the results among a larger population

These are some of the common weaknesses of creating case reports. If you’re on the fence, look at the competition in your industry.

Other brands or professionals are building reports, like this example. In that case, you may want to do the same.

What makes a case study a case study?

A case study has a very particular research methodology. They are an in-depth study of a person or a group of individuals. They can also study a community or an organization. Case reports examine real-world phenomena within a set context.

How long should a case study be?

The length of studies depends on the industry. It also depends on the story you’re telling. Most case studies should be at least 500-1500 words long. But you can increase the length if you have more details to share.

What should you ask in a case study?

The one thing you shouldn’t ask is ‘yes’ or ‘no’ questions. Case studies are qualitative. These questions won’t give you the information you need.

Ask your client about the problems they faced. Ask them about solutions they found. Or what they think is the ideal solution. Leave room to ask them follow-up questions. This will help build out the study.

How to present a case study?

When you’re ready to present a case study, begin by providing a summary of the problem or challenge you were addressing. Follow this with an outline of the solution you implemented, and support this with the results you achieved, backed by relevant data. Incorporate visual aids like slides, graphs, and images to make your case study presentation more engaging and impactful.

Now you know what a case study means, you can begin creating one. These reports are a great tool for analyzing brands. They are also useful in a variety of other fields.

Use a visual communication platform like Venngage to design case studies. With Venngage’s templates, you can design easily. Create branded, engaging reports, all without design experience.

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Methodology

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

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

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Research bias

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

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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 Case Managers Should Know About Their Roles and Functions

A national study from the commission for case manager certification.

Tahan, Hussein M. PhD, RN; Watson, Annette C. RN-BC, CCM, MBA; Sminkey, Patrice V. RN

Hussein M. Tahan, PhD, RN, is the corporate VP of nursing professional development and workforce planning at MedStar Health, Columbia, MD. Hussein has more than 25 years of experience in health care and is an expert in case management. He is a past commissioner and chair of the Commission for Case Manager Certification (CCMC), and a member of the editorial board of Professional Case Management . Dr Hussein is widely published, including being a coauthor of four case management textbooks, one of which is Case Management: A Practical Guide for Education and Practice , 3rd Edition. Hussein is the knowledge editor for CCMC's Case Management Body of Knowledge online portal.

Annette C. Watson, RN-BC, CCM, MBA, is national expert and thought leader in case management and health and human services delivery systems. She is also a past-chair of the CCMC, a current member of its executive committee, and was chair of the Program and Services at the time of this study. She is President of Watson International Consulting, LLC, the consulting firm she founded to assist organizations with innovation and transformation activities that focus on achieving the Triple Aim–better care, better health, and better costs.

Patrice V. Sminkey, RN, is CEO of the CCMC, the first and largest nationally accredited organization that certifies case managers. Nearly 60,000 case managers have earned board certification with the CCM credential since 1992. There are more than 35,000 board-certified case managers in practice today.

Address correspondence to Patrice V. Sminkey, RN, Commission for Case Manager Certification, 1120 Route 73, Suite 200, Mt Laurel, NJ 08054 ( [email protected] ).

The authors acknowledge the work of International Credentialing Associates (ICA) and its “Certified Case Manager (CCM) Role and Function Study Report” (October 2014), from which much of the data and findings of this article are derived. In addition, the authors acknowledge the 2014–2015 CCMC Commissioners, the subject matter experts who participated in the taskforces, and CCMC staff, including MaryBeth Kurland, Chief Operations Office, and Debby Formica, Senior Director of Administration and Operations.

The authors report no conflicts of interest.

Purpose: 

The purpose of this national role and function study was to identify the essential activities and necessary knowledge areas for effective case manager practice from the perspective of those currently functioning in various care settings and across diverse professional disciplines.

Primary Practice Setting(s): 

The national study covered all case management practices and/or work settings across the full continuum of health care.

Methodology and Sample: 

This cross-sectional descriptive study used the practice analysis method and online survey research design. It employed a purposive sample of case managers, in which 52,370 individuals received an invitation to participate. Data collection completed over a 4-week period, resulting in 7,668 useable survey responses (nearly a 15% response rate).

Results: 

The study identified the common activities and knowledge areas necessary for competent and effective performance of case managers, as is highlighted in this article, which is the first of a 2-part series on the role and function study. The results informed the needed update of the test specifications for the Certified Case Manager (CCM) certification examination, as will be delineated in Part 2 of the article series, to ensure that it continues to be substantiated in current practice. Of special note are the emergence of specific activity and knowledge domains in the area of case management ethical, legal, and practice standards, and an increase in the number of employers requiring certified case managers to fill vacant positions and compensating them financially for such qualifications.

Implications for Case Management Practice: 

This study helps keep the CCM credentialing examination evidence-based and maintain its validity for evaluating competency of case managers. Specifically, the study identified essential activities and knowledge domains that define competent case management practice. Findings can be used for developing programs and curricula for the training and development of case managers. The study instrument also can be used for further research of case management practice.

Health care executives, regulators, accreditation agencies, consumer advocates, other stakeholders, and the marketplace in general are placing increasing demands for improved outcomes, efficiency, cost-effectiveness, and safe health care and human services. This era of increased accountability and transparency more than ever emphasizes the importance of patient-centered care, care coordination, care/case management, and care transitions as necessary strategies to achieve desired outcomes. Pursuit of the “triple aim” in health care—improving the experience of care, achieving better health of individuals and populations, and reducing the per capita cost of care ( Berwick, Nolan, & Whittington, 2008 )—is no longer an abstract concept; rather, it is a tangible objective and imperative. Noticeably, however, these demands and expectations have put the professional case manager in the spotlight not only as the interdisciplinary health care team members responsible for care management and care coordination activities, but also to undertake quality measurement and evaluation of the systems of care delivery and their impact on the patient. To that end, new care models such as accountable care organizations and patient-centered medical homes put the onus on interdisciplinary teams working together to ensure achievement of desirable outcomes: safe, quality, cost-effective, and affordable care. As a key team member, the professional case manager is uniquely prepared to impact the experience of both the patient and the health care organization in the systems of health and human service delivery. The case manager is often responsible for the measurement and evaluation of the outcomes achieved by the team of physicians, nurses, and other clinicians against specific goals such as reduced utilization of scarce and costly resources and improved safety and quality of care.

The ability of the case manager to fulfill these demands underscores the importance of acquired credentials: educational background, certification, and experience. Competency in essential activities (i.e., the day-to-day activities case managers engage in when providing care for patients or “clients” as they are also known in some practice settings) and knowledge areas (i.e., what case managers must know and skills they must demonstrate to competently and effectively perform these day-to-day activities) provide assurance to the various health care stakeholders, especially the consumers of care, that case managers are well qualified for their roles. One widely accepted approach to demonstrating competency is through certification. While many health care stakeholders, including case management practitioners themselves, may equate certification with credentialing, one should not lose sight of the development of the certification examination and the process that keeps it meaningful and relevant to current practice. This process is rooted in rigorous, scientifically valid field research referred to as practice analysis or roles and functions study. The Commission for Case Manager Certification (CCMC), which offers the Certified Case Manager (CCM) credential, conducts a role and function study on a regular and ongoing basis to ensure that the CCM certification process and the content of the certification examination remain relevant to practice, recognizing the increasing needs of patients across the health care continuum and the expanding dimensions of the transdisciplinary health care team.

This article, the first of a two-part series on a national role and function study, details the importance of such a study for the field of case management, the conduct and scientific rigor of the practice analysis by surveying thousands of practicing case managers, and the evaluation of relevance of essential activities and knowledge areas to current practice. What emerges is a detailed “portrait” of the state of case management practice today—the typical practice of a case manager, years of experience, professional background, work setting, and more. Part 2, to be published in the January–February 2016 issue of this journal, examines the findings of the role and function study as an evidence base that informs the structure and design of the CCM certification examination.

The CCMC—established in 1992, making it the first and largest nationally accredited organization that certifies case managers—conducts a national role and function study every 5 years. Assuring that the CCM examination is empirically based is one factor that allows the CCMC to maintain its accreditation by the National Commission for Certifying Agencies (NCCA), specifically by meeting NCCA's research standard (Standard 7) that requires certification examinations to be evidence-based and updated regularly due to changes in practice. The NCCA was established by the National Organization for Competency Assurance, now known as the Institute for Credentialing Excellence. Role and function studies in credentialing are typically used to generate a specification or blueprint for certification examinations. However, there are other benefits for these studies: they offer guidance for certification eligibility criteria; professional development guidelines; training and educational curricula, courseware, and materials; competency development or competency models; and creation of a body of knowledge in the related area of practice.

For the health care practitioner, the rigor of the certification process and CCMC's 20-year history of conducting role and function studies is of vital professional importance. Because it is backed by a scientific, evidence-based study of real-world professional practice, the CCM credential is increasingly recognized in the field, including by a growing percentage of case management employers who require certification as a condition of employment. Thus, attainment of the CCM attests that the credential holders have demonstrated through testing that they possess the knowledge, experience, and skills required to perform the case management role. The rigor of the research process ensures relevancy and currency of the CCM certification and is a proxy for excellence by the individual who holds the credential.

The Role and Function Study

To fulfill organizational objectives and maintain adherence to testing and measurement standards, the CCMC collaborated with International Credentialing Associates in 2014 to perform its national role and function study of the case management profession. This type of study seeks to understand the current practice of case management at the micro level and directly from the field where case managers practice. A role and function study is sometimes referred to as a practice analysis, job analysis, task analysis, role delineation, or functional analysis. Regardless of the nomenclature utilized, this research method refers to the investigation of a certain profession, or a work position within a profession (e.g., case manager), to obtain descriptive information about the responsibilities (e.g., activities, tasks, and behaviors) of the position and the competencies (e.g., knowledge, skills, and abilities) needed to be effective in the position.

As with prior role and function studies (1994, 1999, 2004, and 2009), the most recent study conducted in 2014 used the practice analysis survey method to describe case management practice in diverse settings and from the perspective of various professional disciplines. The practice analysis research method was used to analyze case management practice and delineate both (1) the roles and functions of the case manager and (2) the related and necessary knowledge areas. This method is appropriate because it applies procedures that are designed to obtain descriptive information about tasks performed by case managers and the important knowledge and skills needed to adequately perform those tasks ( Tahan, Downey, & Huber, 2006 ).

The 5-year research cycle is purposeful and necessary to allow changes in the field to evolve and become routine practice expectations. Certification examinations are then built on the basis of generally common rather than unique or exceptional practices. (More details about the design, method, and procedures unique to practice analysis are published elsewhere; Tahan, Huber, & Downey, 2006 ; Tahan, Downey, et al., 2006 ; Tahan and Campagna, 2010 .)

The practice analysis involves a multimethod approach consisting of individual and group meetings with subject-matter experts, survey instrument development, and data collection from a large number of practicing case managers using the role and function survey instrument developed for the purpose of this national practice analysis. As a scientific approach, the survey instrument, national data collection methods, and data analysis procedures in the role and function study addressed three main research questions (identical with prior years):

• What are the essential activities/domains of practice of case managers?
• What are the knowledge areas necessary for effective case management practice?
• Is there a need to revise the blueprint of the CCM certification examination? And if so, what modifications are warranted?

Researchers typically conduct a role and function study in four phases. The first is to determine a description of the profession of interest: case management. Using current literature and past similar study instruments about the role of the case manager, researchers draft an initial list of essential activities and knowledge areas, as well as a set of questions to ascertain the background and demographic characteristics of those participating in the study. Second, the draft description is refined through input from groups of practitioners known as subject-matter experts, composed of case managers from a range of professional backgrounds, practice settings, and geographic regions in the United States. This team of experts is selected to resemble the professionals involved in the practice.

Third, a pilot study is conducted to evaluate the relevance, currency, and completeness of the survey instrument prior to nationwide data collection. This phase focuses on gathering the input and feedback of a small sample of case managers about the survey. Researchers then modify the survey on the basis of the information obtained and deem it final and ready for wide use. Fourth, the final instrument is used for national data collection employing a large sample of practicing case managers. The purpose of this phase is to obtain a practical description of the role of case managers, with particular emphasis on the important activities and knowledge areas the certification examination should focus on. Survey participants evaluate each element of the description with specific rating scales. Results produce a picture of current professional practice.

Preparation for the role and function study began with a kick-off planning meeting held in February 2014 with key stakeholders including the researchers and CCMC representatives. They agreed on the goals of the study, project roles, logistics, requirements for subject-matter experts, distribution plan for the survey data collection, and the project schedule. The researchers obtained CCMC's existing CCM test specifications and past role and function study reports to use in drafting the delineation of essential activities and knowledge domains. In conjunction with this task, researchers conducted a select literature review of relevant published works and publically available job descriptions for case managers. They gathered and summarized the literature and used the findings to revise and add to the existing delineation (the draft survey instrument).

Subject-matter experts were then appointed to serve on the role and function study task force. Appointments were made to ensure relevant diversity, including practice settings, years holding the CCM certification, non-certified case managers, practicing case managers, work settings, practice specialization, professional backgrounds, and geographic location. The subject-matter experts consisted of case managers with nursing, social work, vocational rehabilitation, disability management, professional counseling, or workers' compensation backgrounds. They came from various geographic locations across the United States, and worked in settings across the continuum of health and human services delivery (e.g., preacute, acute, and postacute), health insurance plans, workers' compensation, and private/independent practice.

An in-person 2-day task force meeting of the subject-matter experts was held in April 2014 to review and revise the initial draft of essential activities and knowledge statements associated with case management practice. Working as a group and drawing upon their diverse expertise and experiences, the task force established a clear meaning and useful structure of the domains of case management practice and knowledge , discussed the importance and criticality of the essential activities and knowledge areas , and ensured that each essential activity and knowledge statement was accurately delineated, simple, clear, and concise, and that there were no redundancies across statements.

The revised essential activities and knowledge statements were used to construct the role and function study instrument. After further review and editing of the draft survey, a group of case management professionals who were not yet involved in the role and function study process reviewed the survey independently, as a pilot test, to provide further assurance that no activity or knowledge statements were omitted, redundant, unnecessary, and/or unclear.

The researchers compiled the results and comments from the pilot survey review and examined them for any issues that would impede or invalidate data analysis for the full survey; no such issues were identified. A follow-up subject-matter experts meeting was held via a web conference, during which participants reviewed the findings and recommendations of the pilot test. They then incorporated what they considered significant and necessary into the final study instrument.

The 2014 Case Manager's Role and Function Study Instrument

Similar to the CCMC's past survey instruments, the final case manager role and function survey instrument used in the 2014 study contained five sections as described later. The instrument consisted of theoretical domains, applying those that were used in the 2009 survey.

• Section 1—Background and Demographic Questions (19 items): Survey participants were asked to provide general background information, including primary job title, percentage of time spent in providing direct case management services to patients/client, primary workplace setting, the number of years performing case management work, professional background, whether or not the participant is certified as a CCM, practice location in the United States, highest academic educational degree, age, gender, and ethnicity.
• Section 2—Essential Activities (125 items): The essential activities were organized across six theoretical domains (based on the 2009 survey): Case finding and intakeProvision of case management servicesPsychosocial and economic issuesUtilization management activitiesVocational and rehabilitation servicesOutcomes evaluation and case closure

Survey participants were asked to rate each of the essential activity statements using two rating scales that focused on importance and frequency. First, they responded to the question “how important is performance of this essential activity in your current position?” using a 5-point rating scale (rating of 0 = of no importance , 1 = of little importance , 2 = moderately important , 3 = important , and 4 = very important ). They then responded to the second question “on average, how frequently do you perform this essential activity in your current position based on your average day of work?” using a 5-point rating scale (0 = never , 1 = seldom , 2 = occasionally , 3 = often , and 4 = very often ).

• Section 3—Knowledge Areas (94 items): The knowledge statements were organized across five domains (based on the 2009 survey): (Note: Essential activity domains differ from those of knowledge and skills. Essential activity statements started with an action verb, while knowledge statements used a noun instead. This was logical and indicated by the organization of the essential activity and knowledge/skills statements.) Case management concepts and strategiesHealth care management and deliveryHealth care reimbursementRehabilitation and vocational concepts and strategiesPsychosocial and support systems

The knowledge statements, similar to essential activity statements, were also rated using two scales: one for importance and one for frequency. Survey participants were asked to answer the question “how important is this knowledge to performance of your job responsibilities in your current position?” using a 5-point scale (0 = of no importance , 1 = of little importance , 2 = moderately important , 3 = important , 4 = very important ). They were also asked to answer the question “on average how frequently do you use this knowledge in your current position based on your average day of work?” using a 5-point scale (0 = never , 1 = seldom , 2 = occasionally , 3 = often , 4 = very often ).

• Section 4—Domain Comprehensiveness & Test Content Recommendations: After survey participants rated each of the essential activities and knowledge statements for a specific content (domain) area, they rated the adequacy of the content, using a 5-point scale (0 =very poorly, 1 =poorly, 2 =adequately, 3 =well, and 4 = very well). Participants were also asked if any of the essential activities or knowledge statements were missing, and if so to submit additional essential activities or knowledge statements using a designated free text area on the survey.
• For each of the five knowledge domains—case management concepts and strategies, health care management and delivery, health care reimbursement, rehabilitation and vocational concepts and strategies, and psychosocial and support systems—participants were asked to suggest how many test questions should be included in each of the domains. Participants answered on the basis of a scenario of 100 questions to make it easier for them to determine the amount per domain. Since certification examinations test knowledge rather than activities, participants were restricted to answer this section for the knowledge domains only.
• Section 5—Other Comments: The survey concluded with two open-ended questions to elicit further feedback on professional development/continuing education and the changing role of the case manager (responses will be addressed in Part 2).

The case manager's role and function study was launched in late May 2014 via a multipronged communications campaign, with 4 weeks of data collection employing a purposive, nonrandomized sample of case managers. Researchers promoted the survey and invited potential participants via direct e-mails to 52,370 invitees, which included CCM credential holders and other case manager contacts in the CCMC database. Those who were invited to participate included both CCM-certified and non-certified case managers. The survey was also promoted via a press release, newsletter articles, posts on the CCMC's social media channels, and a link on the CCMC website. Reminders were sent out weekly for a total of four times during the month of June, and the survey was closed for data collection on July 1, 2014.

Data Analysis

Prior to data analysis, the researchers removed any participants' identifying information from the database to ensure their anonymity, confidentiality, and privacy. The researchers then segmented the analysis into several sections: demographic questions, essential activities, knowledge areas, and comparative analysis of the essential activity and knowledge ratings by subgroups. Descriptive statistics using sample and subgroup size and frequency distributions were calculated for each demographic survey question.

The researchers also employed descriptive statistics in the analysis of the participants' responses to the essential activity and knowledge statements and content coverage ratings. These included frequency distributions, means, and standard deviations.

The researchers reviewed the demographic questions and determined which comparative subgroup analyses could identify significant differences between groups on importance ratings of essential activity and knowledge statements. The proposed subgroups were then reviewed for appropriateness with representatives from the CCMC. This was necessary because survey participants reported more than 35 different job titles and 30 work settings. Combining job titles and work settings on the basis of perceived similarities resulted in a manageable number of subgroups for meaningful analyses. For example, participants who indicated disability specialist, vocational evaluator, rehabilitation counselor, and work adjustment specialist as their job titles were combined into one subgroup. Similarly, those who reported working in a government agency, military treatment facility, or Veterans health administration agency were combined into one subgroup. This resulted in a total of 16 subgroups based on job titles and 15 based on work settings.

Location of practice by state and participants' demographics were additional factors included in the analysis. To make the analysis more manageable and meaningful, categorization by geographical regions of the United States was used instead of by state.

Researchers applied the index of agreement (IOA) test statistic to examine the degree of the similarities or differences that existed among subgroups relevant to their perception of importance ratings on essential activities and knowledge areas.

Role and Function Study Results

Characteristics of the study sample.

Although 7,723 participants responded to the survey during the 4 weeks of data collection, 7,668 survey responses were deemed appropriate for inclusion in the analyses. The researchers excluded 65 surveys from the analysis: 4 from international regions (the study focused on the United States only) and 61 surveys that were less than 50% complete. Final participation in the 2009 study was 6,909 and the 2004 study consisted of 4,165 participants. Thus, the number of eligible survey responses in the 2014 role and functions study nearly doubled (+84%) compared with the 2004 study. In the 2014 study, examination of the demographic data, combined with comparisons with previous studies, demonstrated that the cohort of respondents represented the practice. Furthermore, the 14.64% response rate of the 52,370 potential survey participants approached was deemed sufficient to generalize the findings with a high degree of confidence and precision (99% confidence level and a 1.36 confidence interval).

Answers to the background and demographic questions (see Table 1 ) revealed that slightly more than half of respondents (53.99%) were care/case managers while 8.66% were managers/supervisors and 5.62% were directors of care/case management. In addition, a third of participants (34.14%) spent 81%–100% of their time on case management activities. The study also revealed a wide range of titles held by professionals in addition to case/care manager: care/case coordinator (5.49%), transitional care nurse (0.56%), utilization reviewer/manager (4.93%), social worker (2.24%), consultant (2.65%), and others.

The most common primary work/practice settings were health insurance (28.94%) and hospitals (22.76%). Workers compensation was another setting for 11.6% of respondents, followed by independent care/case management, 7.3%, and ambulatory/outpatient care, 5.48%. Of special note are emerging case management practice settings such as rehabilitation facilities (almost 2%), Veterans health or other government agencies (3.64%), home care (2.28%), and skilled care facility (1%). It is likely that case management presence in these settings was a result of the Patient Protection and Affordable Care Act of 2010 and value-based purchasing; most likely it will continue to increase.

Nearly half of survey respondents (49.1%) said that their organizations do not require case managers to work on weekends, while more than one-third (37.44%) said that they were required to work weekends, and another 13.46% reported being on-call only on weekends. The rate of working on weekends doubled compared with the 2009 study results (18.66%) and being on call showed an increase by 1.65% over 2009. When combining work on weekends, whether physically present on site or via phone (50.9%), one can conclude that case management practice was no longer a 5-day operation for more than half the respondents.

More than half of survey respondents (53.05%) also said that case managers were not required to work on holidays; while 27.07% said that case managers were required to work on holidays, and 19.87% on-call only for holidays. These results also demonstrate a rising trend compared to the 2009 study findings, which showed 13.87% physically present on site and 14.29% on-call during holidays. Similar to working on weekends, this, too, nearly doubled, further supporting the trend that case management practice is no longer a 5-day operation.

More than half of respondents (58.07%) have performed case management work for more than 10 years. More specifically, 21.05% of respondents performed case management work for 11– 15 years, 17.29% for 16–20 years, 10.88% for 21– 25 years, and 8.85% for more than 25 years. In addition, 22.93% reported practicing case management for 6–10 years. This demonstrates that the case management workforce is experienced. On the contrary, only a small number of case managers are new to the profession, which ultimately may present concerns for filling positions upon the retirement of a large portion of case managers (about 20% have been practicing case management for more than 20 years). The ongoing effort by the CCMC to address workforce readiness is a strategic initiative supported by these findings. Professional organizations and associations directly or indirectly involved in case management practice must address the aging workforce if they have not done so yet and be proactive in dealing with the supply versus demand concerns; otherwise, a delay in filling vacant case manager positions will be a reality that organizations cannot afford to ignore.

While most respondents indicated that certification in case management was not required to practice at their organization, more employers are making certification a requirement, as reported by 40.36% of survey respondents. Five years ago, in the 2009 role and function study, 35.9% of employers required certification. In addition, nearly 30% of survey respondents reported that they received monetary rewards/compensation from their employers for achieving certification, an increase from 26.7% in 2009. These findings are interesting and demonstrate that certification in case management is becoming increasingly recognized. More employers appear to value board-certified case managers, not only for their positive impact on the quality of care, but in the economics of health care, as well. This is likely attributable to changes in the regulatory environment and proliferation of the Patient Protection and Affordable Care Act, pay-for-performance, and value-based purchasing models that measure and reward quality and safe outcomes and penalize providers who fail to meet benchmarks for specific indicators such as readmission rates ( CCMC, 2015 ).

Consistent with prior role and function study findings, the most commonly reported professional background for case managers is nursing (88.78%). However, the field is professionally diverse with 5.84% of respondents identifying themselves as social workers, 2.27% vocational rehabilitation specialists, and 1.13% professional counselors. Most of the participants in the study (89%) hold the CCM credential; however, 11% do not, which also reflects the CCMC's efforts to include certified and noncertified professionals in the practice analysis. Among those who reported being CCM credentialed, about one third (32.47%) received the credential after 2010. An additional 21.12% were certified between 2000 and 2005, and 23.55% between 2005 and 2010; 22.86% were certified prior to 2000. Asked to identify all the other credentials currently held, 28.43% of the participants reported to hold the care manager, certified (CMC), 19.9% were registered nurse case manager (RN-CM), 11.5% registered nurse, board-certified (RN-BC), 2.35% certified rehabilitation registered nurse, 2.16% certified disability management specialist, 1.81% certified rehabilitation counselor, 1.33% accredited case manager, and 15% do not hold any additional certifications or are not certified at all. These various certifications, in addition to the CCM (89% of study participants), demonstrate that the case management workforce possess a wide range of qualifications.

Among those surveyed, 70.3% held a bachelor's degree or higher (44.4% bachelor's degree, 24.8% master's degree, and 1.1% doctorate), a 5-percentage point gain from 2009. In addition, 20.7% held associate degrees and 9.0% a nursing diploma. Compared with the 2009 survey, those who hold nursing diploma went down by 3.4 percentage points, while those who hold a master's or doctorate degree increased by 4.61 and 0.39 percentage points, respectively; those holding a bachelor's degree remained about the same. This is another characteristic of the rising qualifications for those who assume case management roles today.

Nearly half of the respondents (46.91%) were between the ages of 51 and 60 years, with the largest age group being 56–60 years (24.69%). Another 14.3% were aged 61–65 years, and 4.7% were over 65 years; while 13.74% were 46–50 years, 10.27% were 41–45 years, and 10% were 40 years of age or younger. These statistics reveal two important insights. First, case management is not an entry-level role; rather, it is a specialty or advanced practice. Those who become case managers have had a number of years in prior roles, such as nursing, social work, or vocational rehabilitation. With 43.7% of respondents older than 55 years and 19% older than 65 years, it raises a concern especially when training for case managers is primarily identified as being on the job. The profession needs to act quickly and strategically to address the impact of a large number of case managers retiring and a lack of qualified replacements ( CCMC, 2015 ).

The vast majority (95.2%) were female and 80% were white (non-Hispanic). Other ethnic groups included black or African-American, 8.5%, Hispanic or Latino, 3.2%, Asian, 2.8%, Native American or Alaska Native, 0.54%, and native Hawaiian or pacific islander, 0.2% (nearly 3.0% preferred not to answer this question). Geographically, the largest percentages of study participants practiced in states in the southern United States, with Texas at 8.4% and Florida at 6.5%. In addition, New York accounted for 7.1% of participants; California at 5.7%, Pennsylvania at 5.5%, North Carolina at 4.8%, and Ohio at 4.7%. Representation of participants in this study reflected the population density of the various states and regions; the larger the population in an area, the higher the percentage of study participants from that area. The South Atlantic region came in at 22.2%, and East North Central and Middle Atlantic at 15.9% and 15.03%, respectively.

Essential Activities and Knowledge Areas

The data analysis consisted primarily of descriptive statistics: mean, frequencies, and standard deviations. Results reported by CCMs and non-CCMs were combined because of the strength of agreement between the two groups in terms of their ratings of activities and knowledge. To determine the appropriateness of combining responses of the two groups, researchers used the IOA test ( Tabachnick & Fidel, 2001 ; Tahan & Campagna, 2010 ). Specifically in this instance, this statistical measure was used to show the extent to which CCMs and non-CCMs agreed on which essential activities and knowledge statements are important. The IOA of essential activities and knowledge areas based on CCMs versus non-CCMs was 0.93 and 0.98, respectively, which demonstrated close to perfect agreement. Given the high IOA for CCMs and non-CCMs, it was determined that combining the responses of both subgroups as one group was appropriate, including for evaluating certification test content. This finding was consistent with that of the 2004 and 2009 studies.

As with the 2004 and 2009 role and function studies, the most recent (2014) study applied criterion for interpreting the mean importance ratings based on the 5-point rating scale. This criterion would ensure that only validated essential activities and knowledge statements were used to answer the three research questions (as stated earlier: what are the essential activities/domains of practice of case managers; what are the knowledge areas necessary for effective case management practice, and is there a need to revise the blueprint of the CCM certification examination?). The cut point value for accepting or rejecting a statement was set at 2.50, which is the mid-point between moderately important and important ( Tahan, Huber, et al., 2006 ). This criterion was consistent with the past studies. Detailed results are shown in Tables 2 and 3 .

Among the essential activity domains, all 14 statements within “case finding and intake” were given an importance rating of 2.5 or higher, as were all 48 statements of “provision of case management services” and all 18 statements of “psychosocial and economic issues.” Within “utilization management activities,” 12 out of 15 statements received the requisite importance rating of 2.5, as did 13 out of 17 “outcomes evaluation and case closure” statements. However, only one out of 13 statements in “vocational rehabilitation services” received an importance rating of 2.5 or higher, while five statements achieved a rating higher than 2 (moderate importance) but less than 2.5. These findings are consistent with the 2009 role and function study with regard to essential activities domains associated with vocational rehabilitation. This observation may be reflective of case managers not spending much of their time on vocational and rehabilitation activities, and that such care may be necessary only for a small percentage of the patient population generally served by case managers. In addition, only 1.08% of participants indicated having a rehabilitation-related job title; 1.9% work in a rehabilitation-type setting, and 2.9% have a rehabilitation-related professional background.

Among the knowledge domains, 32 out of 35 statements in “case management concepts and strategies” were given an importance rating of 2.5 or greater, along with 13 out of 20 statements in “healthcare management and delivery,” eight out of 11 statements in “health care reimbursement,” and all 14 statements in “psychosocial and support systems.” Consistent with the findings in vocational and rehabilitation essential activities explained earlier, only one out of 14 statements in “rehabilitation and vocational concepts and strategies” received the requisite importance rating of 2.5, while five statements achieved a rating higher than 2 (moderately important) but below 2.5. The essential activity and knowledge area statements that achieved higher than moderately important ratings were reflective of the use of assistive devices, assessment for rehabilitation services, need for rehabilitation after an injury or hospitalization due to serious acute health condition, implementation of a rehabilitation plan of care, and need for environmental modifications to address barriers. These interventions and services make an important and relevant contribution for all case management practice.

Tables 2 and 3 show the mean importance rating of each of the items included in the essential activity and knowledge area domains. The tables also include the percentage of importance ratings of 4 (important) and 5 (very important) combined as well as the percentage of frequency of use ratings of 4 (often) and 5 (very often). These calculations and analyses are necessary for the test specifications committee's consideration of which items are accepted as being a common part of case management practice and which are not. Any item with a mean important rating of 2.5 was automatically considered as common case management practice. Those with ratings lower than 2.5 were considered questionable and would require further exploration. Overall, 106 items (84.8%) of the 125 essential activity items demonstrated 2.5 or greater mean importance ratings, and 68 (72.3%) of the 94 knowledge items demonstrated acceptable mean importance ratings. These items demonstrated their importance for competent performance of case managers.

Analysis of Findings by Participant Subgroups

The researchers analyzed the role and functions study data to determine how similar or different the perceptions of the various participants were relevant to their importance ratings of the essential activities and knowledge areas, using the IOA test statistic. As with prior analyses, if the subgroups' mean importance ratings were above the critical importance value (at or above 2.50), there was agreement that the content is important. If the subgroup ratings were below the critical level (<2.50), then the subgroups were in agreement that the content is considered less important. Any differences in mean importance ratings among subgroups indicated that there was disagreement as to whether the content is important. The IOA computed score usually range from 0 to 1, with 1 being perfect agreement and 0 being perfect disagreement. The researchers evaluated the IOA results among the participant subgroups, applying the following criteria:

• Perfect agreement when IOA = 1.00
• High agreement when IOA ≥0.80 but <1.00
• Moderate agreement when IOA <0.80 and ≥0.70
• Disagreement when IOA <0.70

The IOA ranges for essential activities (see Table 4 ) by participant subgroups were as follows:

• Job title: 0.20–0.97
• Percentage of time in direct case management services: 0.22–1.00
• Work/practice setting: 0.12–0.96
• Years of experience in case management: 0.84–0.99
• Requirement of work on weekends: 0.95–0.97
• Professional background/discipline: 0.63–0.97
• Presence of CCM certification: 0.93
• Geographic region: 0.93–1.00
• Highest academic degree achieved: 0.93–0.99
• Age: 0.84–1.00
• Gender: 0.95
• Ethnicity: 0.92–1.00

The IOA ranges for knowledge areas (to be discussed in Part 2) by participant subgroups were as follows:

• Job title: 0.34–0.98
• Percentage of time in direct case management services: 0.46–0.99
• Work/practice setting: 0.36–0.97
• Years of experience in case management: 0.67–1.00
• Requirement of work on weekends: 0.87–0.91
• Professional background/discipline: 0.50–0.90
• Presence of CCM certification: 0.89
• Geographic region: 0.85–0.98
• Highest academic degree achieved: 0.85–0.97
• Age: 0.84–0.98
• Gender: 0.91
• Ethnicity: 0.86–0.99

The IOA analyses showed high agreements among the subgroups for both the essential activities and knowledge areas, except for job titles, practice settings, professional background, years of experience (knowledge-related only), and percentage of time in direct case management. These subgroups demonstrated some varied degrees of agreement and disagreement.

For the essential activities analysis using job title subgroups, when taking the case/care manager as the central job title subgroup and comparing it against the other 15 job title subgroups (see Table 4 ), there was strong agreement of ratings between the care/case manager and disease manager, administrator/director, social worker, health coach, clinical nurse, workers' compensation, transitional care, care/case coordinator, and director subgroups. However, disagreements existed with consultant, admission liaison, disability manager, insurance benefit manager, case management educator, and quality specialist titles.

Concerning the primary work/practice settings, among the 15 subgroups, all IOAs in the essential activities analyses were higher than 0.75 with the majority IOAs higher than 0.80 except for the liability and disability insurer subgroup, which demonstrated the most disagreements with the rest of the subgroups. The IOAs for liability and disability insurer subgroup compared with the others ranged between 0.12 and 0.32. This subgroup consisted of 99 participants, slightly more than 1% of the total sample. This observation was consistent in knowledge areas in which IOAs for the liability and disability insurer ranged between 0.38 and 0.53 compared with the remaining subgroups that were consistently higher than 0.71, with the majority of the IOAs higher than 0.80. Most of the IOAs in the 0.71–0.79 range were those of the wellness organization subgroup consisting of 36 participants.

Upon careful examination of the professional background subgroups, the disagreements were prominent in the subgroup with rehabilitation backgrounds (i.e., physical therapy, disability manager, and vocational rehabilitation). Indexes of agreement ranged between 0.63 and 0.66 for essential activities and between 0.50 and 0.57 for knowledge areas in this subgroup. When compared with the IOAs of the other three subgroups, IOAs of essential activities ranged between 0.91 and 0.97 while those for knowledge areas ranged between 0.89 and 0.90. This was not a surprise, considering that most of the below-acceptable mean importance ratings were in the vocational and rehabilitation domains of activities and knowledge.

For percentage of time spent in provision of direct case management services, the subgroup that demonstrated disagreement based on the IOA test was the no (or 0%) direct involvement subgroup. Indices of agreement for essential activities for this group ranged between 0.22 and 0.30, and between 0.46 and 0.61 for the knowledge area. Interestingly, for the knowledge areas, eight IOAs were greater than 0.50, implying a 50–50 agreement/disagreement. This demonstrates that despite the lack of involvement in provision of direct case management services, this subgroup still agreed 50% of the time with the other subgroups on what knowledge areas were important for the practice. Indexes of agreement for the other subgroups ranged between 0.82 and 0.99 for essential activities and 0.83 and 1.00 for knowledge areas demonstrating acceptable to perfect agreement.

Subgroup analyses based on years of experience demonstrated acceptable to perfect IOAs in both the essential activities (0.84–0.99) and knowledge areas (0.67–1.00), except for the subgroup of less than 1 year of experience. This subgroup had an IOA of 0.67 in knowledge areas when compared against the subgroup with 1–2 years of experience.

Comprehensiveness of the Case Manager Role and Function Study Instrument

The researchers asked the study participants to indicate at the end of each of the essential activity and knowledge domain sections of the study instrument how well the statements reflected important case management practice in the domain's specific focus area. Participants used a 5-point rating scale (1 = poorly representative , 5 = very well representative ).

For each essential activity or knowledge domain, at least 98% of the participants rated the content as “adequately,” “well,” or “very well” in covering the essential activity or knowledge domain area. In addition, the comprehensiveness of the essential activity domains ranged from 4.16 to 4.37 and the knowledge domains from 4.11 to 4.23, both indicating well to very well representation. These favorable results indicated that the construct and content of the study instrument were comprehensive enough and therefore appropriate to describe the case manager's role and function from the perspective of those currently in actual practice.

After rating the content coverage of each essential activity or knowledge domain, the survey participants had the opportunity to write in (free text) any essential activity or knowledge statements that they believed were missing from the delineation. Upon review of these responses by researchers and subject-matter experts on the test specifications committee, it was found that they were either located in other essential activity or knowledge domains already part of the delineation, covered as a subset of another essential activity or knowledge statement, or were deemed unnecessary to include.

The role and function study revealed the profile of a case manager: someone who holds the title care/case manager (54%), is white (80%), female (95%), over 55 years of age (44%), spends more than 60% of her time in direct case management care provision (51%), works in either a health insurance plan or in a hospital (52%), has worked as a case manager for more than 10 years (58%), is a registered professional nurse (89%), holds a bachelor's degree (44.5%) and the CCM credential (89%), learned the case manager's role on-the-job (89%), and practices in South Atlantic region (22%) or in the State of Texas (15.5%). The study also answered the research questions 1 and 2. It identified what activities and knowledge areas are current and common practice in case management. Part 2 will answer research question 3 and the activity and knowledge domains based on case management practice.

As case management professionals, who may be known by various titles, gain increased visibility and importance they must possess the requisite knowledge and competency in the essential activities of the profession. The 2014 role and function study has identified and evaluated these requirements through a rigorous, scientifically based, large national survey and practice analysis. Research findings, as will be discussed in Part 2, are also used to inform the content and composition of the CCM certification examination, based on new essential activities domains and new knowledge domains identified via the 2014 role and function survey and analysis.

Part 2 will be published in the January–February 2016 issue of Professional Case Management.

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activity; care coordination; case management; certification; factor analysis; function; index of agreement; knowledge; practice analysis; role; survey research; test specifications; transitions of care

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What is case management?

• October 15, 2021

Case management is a set of tasks involved in working with a client under a case management model.

In healthcare and social work, case managers must first find access to a person they wish to support. So you have to access what the client needs, what the family needs. You need to know what’s going on behind the scenes of the patients, whether there are medical or health issues, so you can provide the right support and coordination. You need to know exactly what is happening with the client.

Management case studies are real-world examples of procedural steps to address concerns and problems that may arise in a specific workplace or organization. Using case studies, students and trainees can apply theoretical concepts to real circumstances. Most case studies are presented in a way that puts the reader in the role of the case manager and has to make decisions that contribute to the solution at all stages of a problem. Almost all case studies require a decision, even if that decision is to leave the situation alone and do nothing.

According to the Commission for Case Manager Certification, case management is defined as a “collaborative process that assesses, plans, implements, coordinates, monitors, and evaluates the options and services required to meet a client’s health and human services needs.” Case management firms are primarily concerned with the health, well-being and full functioning of the client.

Levels of case management: what does a case manager do

In managing compensation cases, case managers not only work with injured workers and employers in their case management, but also with physicians who assess the cause of the damage and create a treatment plan and insurance companies that are important to reimbursement.

referrals and transfers

The first stage is the admission of the client by the case manager. Upon receiving the referral, Case Managers receive all information about the injured worker, their medical records and application documents, including past and current health conditions, their socio-economic and financial status, health insurance benefits and coverage, and much more. In the information gathering phase, whether over the phone or in person, it is crucial to identify the injured person’s urgent needs and begin to build trust and a relationship.

On-site and over-the-phone health care nurses who are familiar with medical treatment guidelines will deal with all medical aspects of the claim. For the case manager, the initial level is critical to moving forward.

needs assessment

In the second stage, the case manager reviews the documents and information collected during the intake and referral phase. The primary objective of this stage is to identify the difficulties, obstacles and hazards faced by an injured worker and the conditions that led to the injury or illness. For successful rehabilitation, case managers consider the injured worker’s comorbidities and socioeconomic barriers. Within 24 hours, the case manager liaises with the necessary agencies to develop the most appropriate and cost-effective treatment solutions. This ensures that the injured worker’s health improves and he or she can return to work with fewer days off work.

planning of supply

The third stage is critical to the success or failure of an injured worker case. The case manager creates a thorough care plan that addresses the concerns and needs of the injured worker after establishing precise goals and short and long-term rehabilitation care goals. The action-oriented and time-limited plan also establishes the treatments and services needed to meet the needs identified in the needs assessment phase. The case manager reviews all input and approvals from the client, their employer, and their healthcare professionals when creating the case management plan for the care of the client or injured worker. After determining the required services and resources. The case manager is responsible for assigning, conducting, organizing and scheduling care management activities and interventions.

monitoring and evaluation

The case manager assesses and evaluates the complexity and effectiveness of the client’s case management plan, its impact on the client’s health, the client’s understanding of the treatment regimen, and the outcomes of the procedures and medical interventions in the closing phase. A reassessment is made and, where necessary, improvements and suggestions for further care are made. Monitoring the injured person from the time of discharge until transfer to another facility or home care is another important aspect of this stage. The case manager, the casualty, their support system and the other members of the healthcare team must communicate effectively.

The case manager must inform their client about post-transition care and aftercare, and assist them with obtaining medical and disability aids and with scheduled transportation services. During this time, Case Managers are also required to provide regular progress reports that include key information about the client’s well-being, medication intake, any issues or concerns, and any adjustments to the care plan and return-to-work schedule.

Examples of case management

Onboarding new employees.

Onboarding new employees is one of HR’s most time-consuming tasks. Onboarding new employees has a positive impact on their engagement, retention and productivity. However, when a company leaves this procedure unchanged, important nuances in the hiring process are missed. The onboarding process has multiple goals, including collecting the required documentation, providing resources and tools, training, and accounting activities.

With the help of case management, a company can ensure that all onboarding requirements are met. With case management software, companies can create checklists and workflows, and automate important tasks. For example, onboarding systems can be automated and integrated into contract management. Signing and storing documents online streamlines record keeping and eliminates inefficient processes like manual filing.

HR leaders can use case management to check new hires on how well they’ve settled in, improving the onboarding experience and increasing new hire retention. Case managers can also evaluate key performance indicators and make adjustments to the onboarding process as needed.

Inquiries and Permissions

In many organizations, stakeholders have to travel a long way to get approval for work orders, time off, or paying an invoice. This can lead to conflicts and bottlenecks in the workflow and severely affect productivity. Requests and approvals are expedited via case management so everyone involved is kept in the loop. The parties involved can communicate and retrieve information via a single interface. Online documents can be signed and kept.

User input initiates the case management process for requests and approvals. The application will be reviewed and signed by the required stakeholders. Staff can follow up with these stakeholders to verify that requests are being processed in a timely manner. It is important to regularly analyze and improve these procedures using clearly defined workflows.

For example, if an employee requests a week’s vacation from the employer, it should be sufficient to obtain approval from their manager and/or Human Resources. In most cases, executives such as the CEO or COO do not need to be involved in such regular requests. Organizations can use tools like a process modeler to map their processes and ensure effective information flow and task assignment.

Case management solutions

Don’t know how to solve a case study? We show you how to solve a case study in eight steps. There are some simple principles for solving case studies in marketing, human resources, finance, collaboration, groups, organizational program, business project, and other areas of industry.

1. Read the case carefully

First of all, you must read the case study carefully.

2. Learn everything there is to know about the topic.

In a second step, you have to familiarize yourself with the topic.

Familiarize yourself with the characters and the main people involved in the case.

3. Get a picture of the main problem or goal.

Make an effort to understand the problem statement of the case study.

Have an idea of the basic need, problem, or goal of the case study.

4. Go through them again.

Read them again.

Make a model of the core need, problem, or goal that should be included.

Facts that are important and relate to the problem and goals.

5. Name the claims

List the statements that help further define the problem, the goals, and the nature of the problem.

6. Recognize the context of the case study

By noting insights, limitations, opportunities, resources, etc., you can better understand the context in which the case is set.

7. A real life problem!

There are real life situations for which you rarely have all the information or time.

8. A loophole and an educated guess

Determine the information gap and make a reasonable guess given the circumstances. You should sharpen your ability to make time-bound decisions.

What is dynamic case management?

Dynamic Case Management (DCM) is a process in which case-related tasks are handled using technology to automate and simplify various components of each case. A case in this context is a collection of information about a specific issue, e.g. B. a person, a company, an event or a problem.

Informatik Aktuell  has addressed the topic in a detailed article by the two authors Katharina Hersztowski and Matthias Steding, which can  be  read here.

Further education: Certificate of advanced Studies (CAS) – Case Management

For people with professional experience in the field of case management in social and health care with a tertiary degree in Switzerland (technical college, university, ETH, higher technical school, federal professional examination, federal higher professional examination) the degree “Certificate of advanced Studies (CAS) – Acquire Case Management”. Interested parties without a tertiary degree can be granted access to further education via a standardized admission procedure («sur dossier»).

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• Definition/Introduction

Case management is defined as a health care process in which a professional helps a patient or client develop a plan that coordinates and integrates the support services that the patient/client needs to optimize the healthcare and psychosocial possible goals and outcomes. [1]  The case management process helps the patient and their family navigate through a complicated set of services and supports available within a benefit plan, an organization or institution, and their community. Concerning cost-effective outcome analysis, Hudon et al. found that approximately 10% of patients account for approximately 70% of all healthcare expenditures. [1]  Statistics show that 5% of emergency department patients account for 30 to 50% of emergency department visits and these high utilizing patients may unsuccessfully attempt to meet their healthcare and related needs on their own which often is ineffective, characterized by overutilization of expensive, or underutilization and uncoordinated effective health care and social services. [1] [2]

Case management is often a part of other healthcare activities embodied in terms such as care management, care coordination, and disease management. All these terms have overlapping definitions and identities. Case management is a fundamental element of these other activities. Care management, frequently used in the payer context, is somewhat of an umbrella term and describes a program composed of a broad set of activities and tasks that include the healthcare-related aspects of case management but also extends to a wide array of services, supports, benefits, and entitlements spanning many domains to which the patient/client may have access, including healthy lifestyle programs, recreational activities, and social enrichment programs within a benefit plan. [3]

Care coordination also encompasses the activities and tasks included in case management but is seen in a broader programmatic context and frequently is discussed in the population health context as a means for an organization or institution pursuing population health strategies to manage the many needs of a population of patients, often by determining specific sub-groups who should receive case management services. [3]  In contrast to care management and care coordination, disease management is a narrower form of case management. It typically is case management directed at particular patient groups who all share a common diagnosis or condition. For example, patients with arthritis or patients after joint replacement surgery may be offered a discrete disease management program for a specific period. [3] Those professionals who conduct case management are described as service brokers, service coordinators, or system navigators. [4]

Since health care is often likened to a journey, other metaphors like travel companion, travel agent, and travel guide are used that attempt to capture not only the centrality of case management to the health care journey but also the need for navigational assistance in helping to shape the itinerary of the health care journey for the patient/client. [4]

The components of case management are many. Hudon et al. summarize several descriptions of case management including those from the Case Management Society of America and the National Case Management Network of Canada and describe six core elements which include patient identification and eligibility determination, assessment, care planning along with goal setting, plan implementation, plan monitoring, and transition and discharge. [2]  Ahmed and Kanter, also summarize similar case management core element lists. [3] [4]  However, case management descriptions may go beyond these six core elements and include additional activities and tasks that comprise case management. [3] [4]  

In a literature review, Lukersmith et al. identified 79 articles that identified 22 definitions of case management, described five models, and delineated 17 key components to case management comprising 69 activities and tasks that include and build upon the six core elements. [5]  This variability in both the definition and description of case management may lead to an amorphous sense of case management in a given healthcare initiative. It may also contribute to potential role confusion and ambiguity among those who conduct case management activities and tasks. The 17 key components identified in the literature review include: case finding, establishing rapport, assessment, planning, navigation, provision of care, implementation, coordination, monitoring, evaluation, feedback, providing education and information, advocacy, supportive counseling, administration, discharge, and community service development. [5]

Since case management is so encompassing as a concept and a set of activities and tasks in health care, there are many perspectives from which to understand and view case management. Case management may be used by health insurers/payers, hospitals, health systems, physician practices, and community health organizations. Also, case management may be directed at broad populations of patients in primary care with various chronic conditions or a more narrowly defined population of patients affected by a specific clinical circumstance or disease, such as patients with brain injury. Case management goes from the identification and engagement of patients/clients through the assessment and care planning steps and culminating in monitoring the care described in the care plan and ultimately achieving the targeted outcomes in a measurable manner. The fundamental ingredient to case management is the planning of care, which results in a care plan that essentially is the roadmap for a given patient/client to navigate through.

• Issues of Concern

Case management encompasses a wide range of activities; therefore, it is challenging to define case management as a discrete intervention precisely. Besides, the definitional variability of case management and the clinical setting in which case management occurs is also ample. Lukersmith et al., in their review of 79 articles, identified a variety of service sectors and service settings that utilize case management. [5] The service sectors include health, social, correctional, vocational, veterans, and legal sectors. The service settings include public, private, and non-governmental organizations that could be further stratified by the number of resources and support. [5]

Depending on the service sector and the service setting, case management occurs across a continuum of involvement ranging from a relatively brief episodic type interaction that might be offered to a patient during and after an inpatient orthopedic procedure to a much more holistic, longitudinal interaction as might occur in the context of a patient with a severe mental health disorder who is served by a community-based organization over many years.

The evolving and expansive nature of what to include in case management has led to variability definitions and variability in what constitutes a case management intervention. This ambiguity is often observable in the literature. Hudon et al. conducted a systematic analysis involving 21 articles and 89 other related documents and identified at least five different service delivery configurations classified as case management in the healthcare setting. [6]  Lambert et al. characterize current literature on case management as somewhat of a black box, and propose that case management is so complex and variable in practice and definition, that it should be considered a process that unfolds that links interconnected actions within a complicated, adaptive health care system. [7]

• Clinical Significance

The case management process occurs over time and in the context of a relationship among the patient/client, the case manager, and the various healthcare providers and organizations that interact and provide services and supports. Case management's process unfolds as the six core elements to case management are operationalized for a given patient/client in their specific clinical context. The six core elements are included in the long lists of the 17 components identified by Lukersmith et al. and are described below. [5]

• Patient identification and eligibility determination: Case finding describes a process involving activities focused upon the identification of patients/clients not currently receiving case management services. Establishing rapport consists of building an interpersonal connection between the case manager and the patient/client.
• Assessment: Assessment refers to construct a detailed, comprehensive understanding of the patient/client which includes, their healthcare and social needs, their capabilities, and the resources they have access to in their family and community.
• Care planning along with goal setting: Planning encompasses the steps necessary to build a care plan that defines treatment goals, tasks and actions needed to move towards those goals, access to specific services and supports required to achieve the stated goals and final the identification of targeted outcomes that are specific to that the patient/client. Navigation encompasses the part of the case management process where the case manager helps guide the patient/client to services and supports recognizing and working to remove barriers that can either be anticipated or those that unexpectedly arise. Provision of care occurs when the case manager is also part of the treatment team as might happen in the mental health setting. For example, where the patient' s/client's case manager might also be part of the therapy team providing counseling and skills training.
• Plan implementation: Implementation, is the part of the case management program where the plan of care with its varied activities and tasks, is set in motion. Coordination is related to navigation but is broader and refers to the myriad of facilitations that must occur between and among care providers, service settings, organizations, and institutions with the patient/client also being the focus and at the center of this component of the case management process.
• Plan monitoring: Monitoring occurs throughout the entire process and is related to seeking ongoing feedback and conducting follow-up as necessary to how the plan of care is being implemented and producing results. Evaluation is closely related to monitoring but occurs at specific milestones during the case management process to formally determine if the care plan helps the patient/client achieve progress towards goals and outcomes. Feedback as a component of case management involves communication back to service providers about their services' effectiveness. It supports in assisting the patient/client in making progress as defined in the plan of care. Providing education and information encompasses helping the patient/client and their family/support system develop a deeper understanding of relevant health and health care topics. Advocacy refers to activities directed at empowering the patient/client to pursue services and supports and related accommodations and proper entitlements to their circumstances. Supportive counseling describes the case manager's effort to consistently provide encouragement and emotional support as the care plan unfolds. Administration encompasses the paperwork, report writing, and data gathering and analysis that are part and parcel of the modern health care system.
• Transition and discharge: Transition describes the process when a client is prepared to move across the healthcare continuum, depending on the patient's health and the need for services. The client can be moved home or transferred to another facility for further care. Discharge represents the case management process component in which the patient's/client's case reaches the point of closure, goals are met, and the patient's needs warrant disengagement with the case management process. Finally, community service development occurs when the case management process uncovers a need or service gap within a given community. Then the case manager catalyzes efforts to create that service or support to fill that gap.

Case management is about helping patients coordinate and navigate through their health care in a cost-effective manner. Hudon et al. identified a set of 5 patient-centric positive outcomes that include improvement in self-management skills, care plan adherence, satisfaction, self-reported health status, and perceived quality of life. [6]  They also identified two system-level outcomes: a reduction in overuse and cost and improvement in measured quality of care. A year earlier in a related article, Hudon et al. described a list of positive outcomes that spanned patient and system-oriented parameters which included: health status, functional status, patient satisfaction, self-management, emergency department visits, clinic visits, hospital admissions, hospital length of stay, and inpatient costs. [1]

In this review, positive outcomes were most likely to be documented in case management interventions that included high-intensity interventions (i.e., case management described by small case-loads, face-to-face contacts were frequent and the first assessment occurred in person) were offered to the patients/clients as well as when multi-disciplinary and inter-organizational plans of care where part of the intervention as well. [1]

The case management process fundamentally assists a specific patient/client in coordinating and navigating through their healthcare journey. The key to this assistance is the construction and implementation of a relevant and feasible plan of care that, when followed, will help the patient move towards their stated goals and positive health outcomes with an optimal level of functional capability, wellness, and self-management. Case management will ultimately improve the quality of life for the client.

• Nursing, Allied Health, and Interprofessional Team Interventions

Case management, owing to its focus on coordination, is inherently rooted in multi-disciplinary communication and teamwork. [8] An effective case manager must facilitate communication among various disciplines to develop a plan of care that is inclusive of the many fields that are typically involved in the care of a patient. It is especially important in those patients/clients with chronic conditions or who find themselves in circumstances where they frequently utilize healthcare services. The case manager must interact with a wide range of patients/clients from various backgrounds, have a wide range of capabilities, and access varying family and community support levels.

Nurses and social workers are often seen as ideal for conducting case management due to their clinical experience and communication and teamwork training. [9] [10]  Specific clinical areas may also include other related professionals. They might bring expertise to the case management process such as occupational therapists in the rehabilitation setting, or psychologists in the behavioral health setting. [4] [11]  Clinical experience is uniformly recognized as useful in the training process towards becoming an effective case manager. Most agree that a baccalaureate degree in nursing is an expected minimum with a master's degree preferred and seen as ideal. [10]

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Disclosure: Angelo Giardino declares no relevant financial relationships with ineligible companies.

Disclosure: Orlando De Jesus declares no relevant financial relationships with ineligible companies.

This book is distributed under the terms of the Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International (CC BY-NC-ND 4.0) ( http://creativecommons.org/licenses/by-nc-nd/4.0/ ), which permits others to distribute the work, provided that the article is not altered or used commercially. You are not required to obtain permission to distribute this article, provided that you credit the author and journal.

• Cite this Page Giardino AP, De Jesus O. Case Management. [Updated 2023 Aug 14]. In: StatPearls [Internet]. Treasure Island (FL): StatPearls Publishing; 2024 Jan-.

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How To Become A Case Manager: Salary, Education Requirements And Job Growth

Updated: Apr 29, 2024, 4:20am

Key Takeaways

• Case managers help connect individuals and families in need to medical and social services resources.
• These professionals often come from professional and educational backgrounds in areas like nursing and social work.
• Most case managers hold bachelor’s degrees and some have completed master’s programs.
• There are no state licensing requirements for case managers, but some hold licensure as nurses or licensed clinical social workers.
• Case managers can expand their career prospects and salary potential through voluntary certification.

Case managers help individuals deal with complex social and health issues, connecting clients with the social services they need. The ideal case manager is an organized problem solver who enjoys building relationships and cares about helping others.

A case manager’s day-to-day work depends on their area of specialization. Case managers can specialize in areas like nursing, education or mental health. Some case management roles require a nursing or social work license, while others do not.

Depending on their role, a case manager might help a family experiencing homelessness find housing resources or develop a treatment plan for someone struggling with a substance use disorder. A registered nurse (RN) case manager might help a newly diagnosed patient navigate how to get the best medical care.

Read on to learn how to become a case manager, what these professionals do and whether this could be the right career path for you.

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What Does a Case Manager Do?

Case managers help their clients navigate social services and healthcare systems to access the support they need to live better, healthier and more stable lives. These specialized professionals serve as intermediaries between people who need help and the organizations that can help them.

The role of a case manager varies depending on their area of specialization and employer. Case managers work in settings like hospitals, child welfare agencies, homeless shelters, and short- and long-term care facilities. Other work environments include mental health clinics, insurance companies and correctional facilities.

Case management duties also include preparing reports, writing grants and advocating for clients. Case managers frequently support the families of their clients and patients.

Types of Case Managers

Case managers specialize in many areas, so this profession can look different in different fields. All case managers perform social service work, but the people they work with, their day-to-day job duties and their professional backgrounds can vary significantly.

Some case managers who work in healthcare settings are licensed RNs who use their medical knowledge to coordinate patient care with other healthcare professionals. Other case managers are not licensed medical professionals but offer social service help in healthcare environments like hospitals, rehabilitation clinics and short- and long-term care facilities.

Case management work can also take place outside of the medical field, dealing with issues like education, housing and corrections. Some case workers in these roles are licensed social workers , while others are not.

Below are some of the different types of case managers.

• Correctional case manager
• Disability case manager
• Education/academic case manager
• Geriatric case manager
• Housing case manager
• Mental health case manager
• Registered nurse case manager
• Rehabilitation case manager
• Social work case manager
• Substance abuse case manager

Case Manager Salary and Career Growth

Demand for case managers and the social services they provide may grow in coming years as the U.S. population ages. While the U.S. Bureau of Labor Statistics (BLS) does not provide data specifically for the case management profession, it does report data on social service managers, a closely related career. The BLS projects a 9% growth in employment (much faster than average) for social and community service managers between 2022 and 2032.

Payscale reports that case managers earn an average annual salary of around $47,100. However, some case managers earn significantly more. For example, nurse case managers make an average annual salary of around $79,000, according to Payscale .

What’s the Difference Between a Case Manager and a Social Worker?

Some case managers come from social worker careers . Both occupations work in social services and help people dealing with difficult experiences like substance use disorders, homelessness and mental illness.

Becoming a clinical social worker usually requires a state license. Case managers may earn voluntary certifications, such as Certified Case Manager (CCM)® or Accredited Case Manager (ACM), but there is no license for case management work.

Moreover, licensed social workers can offer therapy to clients, unlike case managers who are not licensed social workers. Case managers usually act as intermediaries between their clients or patients and the organizations that provide direct services.

Steps To Become a Case Manager

Before determining whether case management is the right career for you, make sure you have the required skills. One of the most important skills in case management is empathy. Case managers often work with people who are experiencing difficult life situations, so they must demonstrate a high level of compassion to earn their clients’ trust. Case managers also need organizational, time management, communication and problem solving skills.

The specific stipulations to become a case manager vary depending on the type of case management you want to pursue. Keep reading to learn more about the education, experience and certification required to become a case manager.

Earn a Bachelor’s Degree

Case managers usually need at least a bachelor’s degree, but the degree does not need to be in a specific field. Case workers often hold a bachelor’s in social work , a bachelor’s in psychology , a sociology B.A. or an undergraduate degree in healthcare administration. Nursing case managers need a degree and license in nursing.

If you opt to major in social work, seek a program that’s accredited by the Council on Social Work Education (CSWE). Check out CSWE’s directory to see if your prospective program is accredited.

Undergraduate nursing programs should be accredited by the Commission on Collegiate Nursing Education (CCNE) or the Accreditation Commission for Education in Nursing (ACEN). See CCNE’s program directory and ACEN’s program directory to make sure your degree program of choice holds accreditation.

Most bachelor’s degrees, regardless of academic field, take four years to complete for full-time students.

Look Into a Master’s Degree

Some employers prefer or require case managers to have master’s degrees. The type of master’s degree required varies by type of case management. Earning a master’s can also help case managers find better job opportunities and may lead to higher salaries. The BLS reports that both nurses and social workers earn more with master’s degrees than with bachelor’s degrees alone.

Leadership- and management-oriented graduate programs provide excellent preparation for case management careers, as case managers often take leadership roles in their workplaces. Management programs can help develop interpersonal, communication, problem solving and decision making skills, all of which are useful in case management.

A CSWE-accredited master’s in social work can help students develop their expertise and qualify for more advanced social work case manager positions. Graduate social work programs explore many issues relevant to case management, including social work practice, legal issues in social work and leadership strategies.

Case managers specializing in nursing or healthcare may need a master’s in nursing or a related healthcare subject. A nursing master’s degree accredited by CCNE or ACEN can develop the clinical skills, medical knowledge and leadership acumen that nursing case managers need to manage patient care.

Completing graduate-level education can also help professionals meet case management certification requirements, discussed in more detail below.

Get Certified

According to a survey by the Commission for Case Manager Certification (CCMC), 74% of employers prefer or require case manager candidates to hold certification. The survey also reports that the median annual salary among case managers who hold the Certified Case Manager (CCM)® credential is between $90,000 and $100,000.

CCMC, one of the most popular certifying bodies for case managers, coordinates CCM certification. Case managers can qualify to take the CCM exam by meeting either licensure, education, or professional experience qualifications.

Case managers in transitions of care and health delivery system roles can seek the ACM certification from the American Case Management Association. Licensed RNs and social workers with either social work licensure or a bachelor’s or master’s in social work can apply for the ACM. Applicants need at least one year of supervised case management experience as well.

Frequently Asked Questions (FAQs) About How To Become a Case Manager

Is it hard to be a case manager.

Being a case manager requires hard work and can be stressful. You might have a heavy caseload and lack the resources and support necessary to do your job. Case managers make difficult decisions every day, which can lead to compassion fatigue and burnout. However, the sense of satisfaction and accomplishment gained from helping people in need can make this career worthwhile.

What is the role of a case manager?

Case management professionals help connect people with needed healthcare and social services. Case managers specialize in areas like mental health, rehabilitation, housing and nursing.

What is the career path of a case manager?

The requirements to be a case manager vary depending on the type of role, but most case managers start by earning a bachelor’s degree and gaining relevant work experience. Case managers often come from other positions in nursing or social work, which may require getting a professional license.

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Liz Simmons has been writing for various online publications about career development, higher education and college affordability for nearly a decade. Her articles demystify the college application process and help prospective students figure out how to choose a major or career path.

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How to Write a Management Case Study

Last Updated: December 23, 2023

wikiHow is a “wiki,” similar to Wikipedia, which means that many of our articles are co-written by multiple authors. To create this article, volunteer authors worked to edit and improve it over time. This article has been viewed 141,731 times. Learn more...

A management case study contains a description of real-life management issues and proposed solutions. Students, practitioners and professionals write case studies to thinking critically about issues, and devise and implement remedies for challenging management situations. A case study generally contains facts, theories, assumptions, analysis, and prioritized solutions. The following are the steps for writing a management case study.

Identify the Objective, Method and Facts

• Choose an analytical approach to increase awareness. In the preliminary stages of solving management problems, an analytical case study might best meet the goal of alerting upper management to core facts and issues. An analytical case study primarily focuses on what has occurred and why.
• Select a problem-solving approach to pinpoint and solve major issues. If the goal is to make solution recommendations, write a problem-solving case study that clearly outlines problems and solutions.

Set the Scope for Readers

Focus on Issues and Solutions

• Address the challenges that might accompany suggested solutions. For example, cross-cultural conflicts in an organization might require additional training for managers, which may require funds or an extensive search for topic experts.

Provide a Clear Conclusion

Cite References

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• ↑ https://www.wordstream.com/blog/ws/2017/04/03/how-to-write-a-case-study
• ↑ https://libguides.usc.edu/writingguide/assignments/casestudy
• http://monash.edu/lls/llonline/quickrefs/27-case-study.pdf
• http://www.schreyerinstitute.psu.edu/pdf/CaseWritingGuide.pdf

About This Article

To write a management case study, first give a clear industry overview of the problem and explain theories and current knowledge. Next, pinpoint all the important issues and identify any underlying problems. For example, conflicts between team members might stem from unclear workplace policies. Finally, generate effective solutions and explain why they will work. Wrap it up with a conclusion that summarizes the problems and solutions you discussed. Read on for more details on how to conduct research for a management case study and cite your sources. Did this summary help you? Yes No

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How to Write a Business Case (Template Included)

Table of Contents

What is a business case, business case template, how to write a business case, key elements of a business case, how projectmanager helps with your business case, watch our business case training video.

A business case is a project management document that explains how the benefits of a project overweigh its costs and why it should be executed. Business cases are prepared during the project initiation phase and their purpose is to include all the project’s objectives, costs and benefits to convince stakeholders of its value.

A business case is an important project document to prove to your client, customer or stakeholder that the project proposal you’re pitching is a sound investment. Below, we illustrate the steps to writing one that will sway them.

The need for a business case is that it collects the financial appraisal, proposal, strategy and marketing plan in one document and offers a full look at how the project will benefit the organization. Once your business case is approved by the project stakeholders, you can begin the project planning phase.

Our business case template for Word is the perfect tool to start writing a business case. It has 9 key business case areas you can customize as needed. Download the template for free and follow the steps below to create a great business case for all your projects.

Projects fail without having a solid business case to rest on, as this project document is the base for the project charter and project plan. But if a project business case is not anchored to reality, and doesn’t address a need that aligns with the larger business objectives of the organization, then it is irrelevant.

The research you’ll need to create a strong business case is the why, what, how and who of your project. This must be clearly communicated. The elements of your business case will address the why but in greater detail. Think of the business case as a document that is created during the project initiation phase but will be used as a reference throughout the project life cycle.

Whether you’re starting a new project or mid-way through one, take time to write up a business case to justify the project expenditure by identifying the business benefits your project will deliver and that your stakeholders are most interested in reaping from the work. The following four steps will show you how to write a business case.

Step 1: Identify the Business Problem

Projects aren’t created for projects’ sake. They should always be aligned with business goals . Usually, they’re initiated to solve a specific business problem or create a business opportunity.

You should “Lead with the need.” Your first job is to figure out what that problem or opportunity is, describe it, find out where it comes from and then address the time frame needed to deal with it.

This can be a simple statement but is best articulated with some research into the economic climate and the competitive landscape to justify the timing of the project.

Step 2: Identify the Alternative Solutions

How do you know whether the project you’re undertaking is the best possible solution to the problem defined above? Naturally, prioritizing projects is hard, and the path to success is not paved with unfounded assumptions.

One way to narrow down the focus to make the right solution clear is to follow these six steps (after the relevant research, of course):

• Note the alternative solutions.
• For each solution, quantify its benefits.
• Also, forecast the costs involved in each solution.
• Then figure out its feasibility .
• Discern the risks and issues associated with each solution.
• Finally, document all this in your business case.

Get your free

Use this free Business Case Template for Word to manage your projects better.

Step 3: Recommend a Preferred Solution

You’ll next need to rank the solutions, but before doing that it’s best to set up criteria, maybe have a scoring mechanism such as a decision matrix to help you prioritize the solutions to best choose the right one.

Some methodologies you can apply include:

• Depending on the solution’s cost and benefit , give it a score of 1-10.
• Base your score on what’s important to you.
• Add more complexity to your ranking to cover all bases.

Regardless of your approach, once you’ve added up your numbers, the best solution to your problem will become evident. Again, you’ll want to have this process also documented in your business case.

Step 4: Describe the Implementation Approach

So, you’ve identified your business problem or opportunity and how to reach it, now you have to convince your stakeholders that you’re right and have the best way to implement a process to achieve your goals. That’s why documentation is so important; it offers a practical path to solve the core problem you identified.

Now, it’s not just an exercise to appease senior leadership. Who knows what you might uncover in the research you put into exploring the underlying problem and determining alternative solutions? You might save the organization millions with an alternate solution than the one initially proposed. When you put in the work on a strong business case, you’re able to get your sponsors or organizational leadership on board with you and have a clear vision as to how to ensure the delivery of the business benefits they expect.

One of the key steps to starting a business case is to have a business case checklist. The following is a detailed outline to follow when developing your business case. You can choose which of these elements are the most relevant to your project stakeholders and add them to our business case template. Then once your business case is approved, start managing your projects with a robust project management software such as ProjectManager.

1. Executive Summary

The executive summary is a short version of each section of your business case. It’s used to give stakeholders a quick overview of your project.

2. Project Definition

This section is meant to provide general information about your projects, such as the business objectives that will be achieved and the project plan outline.

3. Vision, Goals and Objectives

First, you have to figure out what you’re trying to do and what is the problem you want to solve. You’ll need to define your project vision, goals and objectives. This will help you shape your project scope and identify project deliverables.

4. Project Scope

The project scope determines all the tasks and deliverables that will be executed in your project to reach your business objectives.

5. Background Information

Here you can provide a context for your project, explaining the problem that it’s meant to solve, and how it aligns with your organization’s vision and strategic plan.

6. Success Criteria and Stakeholder Requirements

Depending on what kind of project you’re working on, the quality requirements will differ, but they are critical to the project’s success. Collect all of them, figure out what determines if you’ve successfully met them and report on the results .

7. Project Plan

It’s time to create the project plan. Figure out the tasks you’ll have to take to get the project done. You can use a work breakdown structure template  to make sure you are through. Once you have all the tasks collected, estimate how long it will take to complete each one.

Project management software makes creating a project plan significantly easier. ProjectManager can upload your work breakdown structure template and all your tasks are populated in our tool. You can organize them according to your production cycle with our kanban board view, or use our Gantt chart view to create a project schedule.

8. Project Budget

Your budget is an estimate of everything in your project plan and what it will cost to complete the project over the scheduled time allotted.

9. Project Schedule

Make a timeline for the project by estimating how long it will take to get each task completed. For a more impactful project schedule , use a tool to make a Gantt chart, and print it out. This will provide that extra flourish of data visualization and skill that Excel sheets lack.

10. Project Governance

Project governance refers to all the project management rules and procedures that apply to your project. For example, it defines the roles and responsibilities of the project team members and the framework for decision-making.

11. Communication Plan

Have milestones for check-ins and status updates, as well as determine how stakeholders will stay aware of the progress over the project life cycle.

12. Progress Reports

Have a plan in place to monitor and track your progress during the project to compare planned to actual progress. There are project tracking tools that can help you monitor progress and performance.

Again, using a project management tool improves your ability to see what’s happening in your project. ProjectManager has tracking tools like dashboards and status reports that give you a high-level view and more detail, respectively. Unlike light-weight apps that make you set up a dashboard, ours is embedded in the tool. Better still, our cloud-based software gives you real-time data for more insightful decision-making. Also, get reports on more than just status updates, but timesheets, workload, portfolio status and much more, all with just one click. Then filter the reports and share them with stakeholders to keep them updated.

13. Financial Appraisal

This is a very important section of your business case because this is where you explain how the financial benefits outweigh the project costs . Compare the financial costs and benefits of your project. You can do this by doing a sensitivity analysis and a cost-benefit analysis.

14. Market Assessment

Research your market, competitors and industry, to find opportunities and threats

15. Competitor Analysis

Identify direct and indirect competitors and do an assessment of their products, strengths, competitive advantages and their business strategy.

16. SWOT Analysis

A SWOT analysis helps you identify your organization’s strengths, weaknesses, opportunities and threats. The strengths and weaknesses are internal, while the opportunities and threats are external.

17. Marketing Strategy

Describe your product, distribution channels, pricing, target customers among other aspects of your marketing plan or strategy.

18. Risk Assessment

There are many risk categories that can impact your project. The first step to mitigating them is to identify and analyze the risks associated with your project activities.

ProjectManager , an award-winning project management software, can collect and assemble all the various data you’ll be collecting, and then easily share it both with your team and project sponsors.

Once you have a spreadsheet with all your tasks listed, you can import it into our software. Then it’s instantly populated into a Gantt chart . Simply set the duration for each of the tasks, add any dependencies, and your project is now spread across a timeline. You can set milestones, but there is so much more you can do.

You have a project plan now, and from the online Gantt chart, you can assign team members to tasks. Then they can comment directly on the tasks they’re working on, adding as many documents and images as needed, fostering a collaborative environment. You can track their progress and change task durations as needed by dragging and dropping the start and end dates.

But that’s only a taste of what ProjectManager offers. We have kanban boards that visualize your workflow and a real-time dashboard that tracks six project metrics for the most accurate view of your project possible.

Try ProjectManager and see for yourself with this 30-day free trial .

If you want more business case advice, take a moment to watch Jennifer Bridges, PMP, in this short training video. She explains the steps you have to take in order to write a good business case.

Here’s a screenshot for your reference.

Transcription:

Today we’re talking about how to write a business case. Well, over the past few years, we’ve seen the market, or maybe organizations, companies or even projects, move away from doing business cases. But, these days, companies, organizations, and those same projects are scrutinizing the investments and they’re really seeking a rate of return.

So now, think of the business case as your opportunity to package your project, your idea, your opportunity, and show what it means and what the benefits are and how other people can benefit.

We want to take a look today to see what’s in the business case and how to write one. I want to be clear that when you look for information on a business case, it’s not a briefcase.

Someone called the other day and they were confused because they were looking for something, and they kept pulling up briefcases. That’s not what we’re talking about today. What we’re talking about are business cases, and they include information about your strategies, about your goals. It is your business proposal. It has your business outline, your business strategy, and even your marketing plan.

Why Do You Need a Business Case?

And so, why is that so important today? Again, companies are seeking not only their project managers but their team members to have a better understanding of business and more of an idea business acumen. So this business case provides the justification for the proposed business change or plan. It outlines the allocation of capital that you may be seeking and the resources required to implement it. Then, it can be an action plan . It may just serve as a unified vision. And then it also provides the decision-makers with different options.

So let’s look more at the steps required to put these business cases together. There are four main steps. One, you want to research your market. Really look at what’s out there, where are the needs, where are the gaps that you can serve? Look at your competition. How are they approaching this, and how can you maybe provide some other alternatives?

You want to compare and finalize different approaches that you can use to go to market. Then you compile that data and you present strategies, your goals and other options to be considered.

And then you literally document it.

So what does the document look like? Well, there are templates out there today. The components vary, but these are the common ones. And then these are what I consider essential. So there’s the executive summary. This is just a summary of your company, what your management team may look like, a summary of your product and service and your market.

The business description gives a little bit more history about your company and the mission statement and really what your company is about and how this product or service fits in.

Then, you outline the details of the product or service that you’re looking to either expand or roll out or implement. You may even include in their patents may be that you have pending or other trademarks.

Then, you want to identify and lay out your marketing strategy. Like, how are you gonna take this to your customers? Are you going to have a brick-and-mortar store? Are you gonna do this online? And, what are your plans to take it to market?

You also want to include detailed information about your competitor analysis. How are they doing things? And, how are you planning on, I guess, beating your competition?

You also want to look at and identify your SWOT. And the SWOT is your strength. What are the strengths that you have in going to market? And where are the weaknesses? Maybe some of your gaps. And further, where are your opportunities and maybe threats that you need to plan for? Then the overview of the operation includes operational information like your production, even human resources, information about the day-to-day operations of your company.

And then, your financial plan includes your profit statement, your profit and loss, any of your financials, any collateral that you may have, and any kind of investments that you may be seeking.

So these are the components of your business case. This is why it’s so important. And if you need a tool that can help you manage and track this process, then sign up for our software now at ProjectManager .

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Training Industry

Setting clear expectations with competency modeling: case study.

Nesnah Ventures is a family-owned private equity firm that provides financial, administrative and strategic support to all of its operating companies. The organization owns six companies in the agriculture and/or service sectors: Burrachos Fresh Mexican Grill, Venture Fuels, Coda Bow, Unifide CST Scale Systems, Star Blends and Nesnah Properties. Since each company is unlike the next, the talent pool is diverse with a range of roles and specialties, from a caterer to an in-office employee and technician. Lisa Paulson, the learning and development (L&D) manager at Nesnah Ventures, oversees training and development for the entire firm.

Paulson is the sole L&D practitioner in the human resources (HR) department, which consists of seven HR professionals each tasked with different responsibilities in talent management. As the L&D leader of Nesnah, Paulson is tasked with aligning training to business strategy, ensuring the workforce has the skills needed to contribute toward achieving sustainable success. This is how she recognized the organization’s need to determine and define the specific skills and proficiencies needed to fulfill new roles and move internally within the company. In this case study, we’ll review a real-life example of how Nesnah Ventures built a competency model from scratch to provide clear career pathways within the company, promoting leadership development, higher employee retention and increased engagement for the business.

A Case Study of Nesnah Ventures

Competency models are frameworks that identify and define the skills and knowledge expected within a particular role. For an employee to move up the ladder, they must be proficient in these expected behaviors and skills. And many times, they are expected to go above and beyond. This was the case for some of the high-potential contributors at Nesnah Ventures. These employees were interested in being promoted and felt as if their performance aligned with their job description and the company’s expectations. However, this wasn’t the case.

They were completing the tasks and functions based on what they were assigned, however, despite these efforts, they weren’t able to move up a level. This misalignment in expectations caused a lot of confusion and frustration for both employees and their managers. This was especially the case during one on ones when conducting performance discussions. The lack of defined competencies also created confusion in C-suite. Leadership had different opinions on how many and what type of skills were relevant to certain roles, causing inconsistencies of expectations across the organization.

There also wasn’t an established method for identifying high-potential employees for succession planning. As a result, employees were beginning to leave the company to find growth and career development opportunities elsewhere. Nesnah Ventures hadn’t clearly defined what specific skills employees needed to fulfill more challenging roles. These expectations for career growth weren’t officially determined or documented, so for some employees, having a long-term future with Nesnah seemed unattainable.

The Solution: Building a Competency Model

Paulson recognized this dip in the talent pool, and that it was the same employees who were turned down for a promotion. As the solution, Paulson decided to build a competency model for her organization. The framework was called “expectations model” since the skills and behaviors listed in the model were company expectations of how to perform in each role. Within the model, there’d be “role cards,” which listed the specific skills required for that particular job role. The role cards would be accessible via Nesnah Ventures’s human resources information system (HRIS) self-serve portal, which employees would also be able to access via a mobile app.

Paulson’s objective for creating the model was to give employees and managers a tool to conduct better performance conversations, clarify role expectations and identify high-potential employees who could fulfill a leadership role with proper training and development. That way, employees could have a clear roadmap to moving up in the company, and leaders have a better way of explaining the steps to reaching those career goals.

Methodology and Implementation

When starting the process of building the role cards for the expectations model, Paulson says they didn’t officially define what success would look like because they weren’t sure where they were going with the project. It was the first time the company had created a competency model, so they were agile in their approach. However, the main indicator that Paulson was looking for were more candid and open conversations about performance. This impact could be seen through higher employee performance rates as well as a decrease in employee attrition as entry-level employees aspiring to move up receive a clear pathway to their career goals.

After evaluating the organization’s management levels, Paulson determined that the company had three different job levels. The first level included managers/supervisors, the second level included mid-level managers and executives fell into the third level. This categorization of managerial levels helped Nesnah Ventures determine competencies that should be consistent for each manager level across the organization.

Here’s an example of a role card that shows the job level, title and associated competencies:

Here are the steps Paulson took to develop their organization’s competency model:

• Planning : They researched existing competency models from other companies and adapted elements from existing frameworks to support the creation of their own unique model, tailored for their organization’s needs. A lot of meetings were held with executive level leaders and management to gain multiple viewpoints. They met with employee groups, too, to gather data on what they’d like to see and what would help them in having performance discussions and knowing what these role expectations are. This process helped create organization-wide expectations.
• Defining : “Leading self and others in the organization” is an established term for the company, meaning that everyone is a leader, it just depends on which kind at that moment. Paulson used this terminology to hone in on how the company identified and defined “leading self and others” and what that looks like. This was to unify everyone’s separate definition and perspective of what those words meant, connecting it to the business’s expectations. Paulson mentions that the process of defining was the longest step because it was foundational and set the tone for the program.
• Creating : From there they met with each leader of a functional area of business and talked about every single role and what the expectations were. The first couple of meetings weren’t as successful as Paulson hoped since leaders weren’t necessarily sure where to begin with describing each specific role. As a solution, Paulson did some pre-work by creating possible expectations to give leaders a starting point. This turned out to be very helpful, enabling them to clarify and articulate what these competencies and behaviors look like. During this process, there was a lot of debate between the word skills and competencies. Since a lot of these expectations could be either behavioral, skills or knowledge-based, they found it more appropriate to consider them as expectations. Employees were also hesitant to the term “competency model.” However, when they heard “role card” and “expectations” they felt much more at ease.
• Implementing : The project took approximately a year to complete, with six months dedicated to meeting with managers and executives to go through different iterations. Besides the collective perspectives sought from leadership, Paulson was the only one working on the project, so that also had a factor with completion time.
• Evaluation : To ensure program success, Paulson set up one-on-one meetings and group meetings with leadership to solicit feedback. In-person meetings are preferable to company managers, so they tend to avoid surveys for gathering data.

Challenges and Encounters

The vision for the role cards changed a few times after deployment after having conversations with different groups of stakeholders. The model had to be modified a few times, which was a challenge since it required constant pivoting to incorporate new information. Another issue was creating different definitions for the same competencies based on that particular team, role and industry. For example, the expectations for digital skills may look different for a team of accountants versus a sales team, and as a result, will need to be worded and defined accordingly.

Lastly, the library of competencies was becoming too long. As a solution, Paulson revisited the role card with leaders to see which competencies could be made into one. To ensure buy in throughout the process, Paulson kept leadership closely involved and informed, giving them a hand in the revisions. A maximum number of six competencies per card was also established to prevent leaders from going overboard.

Business Results and Outcomes

Thanks to the role cards, employees are more empowered to conduct performance discussions with their supervisors. They are also more confident in their future with the company with a clear road to success. Every role card is made accessible to Nesnah Ventures’s people, providing all employees with the opportunity to fulfill any of the roles within the firm, promoting continuous internal mobility and career development.

• #building impactful competency models
• #competency modeling
• #competency models

Danielle Johnson

Danielle Johnson is an editor at Training Industry, Inc. with 5+ years’ experience in writing/editing and the talent to curate compelling, creative content for a target audience. At Training Industry, Danielle connects with thought leaders to publish articles with actionable solutions.

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Privacy Overview

What is CRM?

Manage, track, and store information related to potential customers using a centralized, data-driven software solution.

Defining CRM

Customer relationship management (CRM) is a set of integrated, data-driven software solutions that help manage, track, and store information related to your company’s current and potential customers. By keeping this information in a centralized system, business teams have access to the insights they need, the moment they need them.

Without the support of an integrated CRM solution, your company may miss growth opportunities and lose potential revenue because it’s not optimizing operating processes or making the most of customer relationships and sales leads.

What does a CRM do?

Not too long ago, companies tracked customer-related data with spreadsheets, email, address books, and other siloed, often paper-based CRM solutions. A lack of integration and automation prevented people within and across teams from quickly finding and sharing up-to-date information, slowing their ability to create marketing campaigns, pursue new sales leads, and service customers.

Fast forward to today. CRM systems automatically collect a wealth of information about existing and prospective customers. This data includes email addresses, phone numbers, company websites, social media posts, purchase histories, and service and support tickets. The system next integrates the data and generates consolidated profiles to be shared with appropriate teams.

CRM systems also connect with other business tools, including online chat and document sharing apps. In addition, they have built-in business intelligence and artificial intelligence (AI) capabilities that accelerate administrative tasks and provide actionable insights.

In other words, modern CRM tools give sales, marketing, commerce, field service, and customer service teams immediate visibility into—and access to—everything crucial to developing, improving, and retaining customer relationships.

Some ways you can use CRM capabilities to benefit your company are to:

• Monitor each opportunity through the sales funnel for better sales. CRM solutions help track lead-related data, accompanied with insights, so sales and marketing teams can stay organized, understand where each lead is in the sales process, and know who has worked on each opportunity.
• Use sales monitoring to get real-time performance data. Link sales data into your CRM solution to provide an immediate, accurate picture of sales. With a real-time view of your pipeline, you’ll be aware of any slowdowns and bottlenecks—or if your team won a major deal.
• Plan your next step with insight generation. Focus on what matters most using AI and built-in intelligence to identify the top priorities and how your team can make the most of their time and efforts. For example, sales teams can identify which leads are ready to hand off and which need follow-up.
• Optimize workflows with automation. Build sales quotes, gather customer feedback, and send email campaigns with task automation, which helps streamline marketing, sales, and customer service. Thus, helping eliminate repetitive tasks so your team can focus on high-impact activities.
• Track customer interactions for greater impact. CRM solutions include features that tap into customer behavior and surface opportunities for optimization to help you better understand engagement across various customer touchpoints.
• Connect across multiple platforms for superior customer engagement. Whether through live chat, calls, email, or social interactions, CRM solutions help you connect with customers where they are, helping build the trust and loyalty that keeps your customers coming back.
• Grow with agility and gain a competitive advantage. A scalable, integrated CRM solution built on a security-rich platform helps meet the ever-changing needs of your business and the marketplace. Quickly launch new marketing, e-commerce, and other initiatives and deliver rapid responses to consumer demands and marketplace conditions.

Why implement a CRM solution?

As you define your CRM strategy and evaluate customer relationship management solutions , look for one that provides a complete view of each customer relationship. You also need a solution that collects relevant data at every customer touchpoint, analyzes it, and surfaces the insights intelligently.

Learn how to choose the right CRM for your needs in The CRM Buyer’s Guide for Today’s Business . With the right CRM system, your company helps enhance communications and ensure excellent experiences at each stage of the customer journey, as outlined below:

• Identify and engage the right customers. Predictive insight and data-driven buyer behavior helps you learn how to identify, target, and attract the right leads—and then turn them into customers.
• Improve customer interaction. With a complete view of the customer, every member of the sales team will know a customer’s history, purchasing patterns, and any specific data that’ll help your team provide the most attentive service to each individual customer.
• Track progress across the customer journey. Knowing where a customer is in your overall sales lifecycle helps you target campaigns and opportunities for the highest engagement.
• Increase team productivity. Improved visibility and streamlined processes help increase productivity, helping your team focus on what matters most.

How can a CRM help your company?

Companies of all sizes benefit from CRM software. For small businesses seeking to grow, CRM helps automate business processes, freeing employees to focus on higher-value activities. For enterprises, CRM helps simplify and improve even the most complex customer engagements.

Take a closer look at how a CRM system helps benefit your individual business teams.

Marketing teams

Improve your customers’ journey. With the ability to generate multichannel marketing campaigns, nurture sales-ready leads with targeted buyer experiences, and align your teams with planning and real-time tracking tools, you’re able to present curated marketing strategies that’ll resonate with your customers.

As you gain insights into your brand reputation and market through customized dashboards of data analysis, you’re able to prioritize the leads that matter most to your business and adapt quickly with insights and business decisions fueled by the results of targeted, automated processes.

Sales teams

Empower sellers to engage with customers to truly understand their needs, and effectively win more deals. As the business grows, finding the right prospects and customers with targeted sales strategies becomes easier, resulting in a successful plan of action for the next step in your pipeline.

Building a smarter selling strategy with embedded insights helps foster relationships, boost productivity, accelerate sales performances, and innovate with a modern and adaptable platform. And by using AI capabilities that can measure past and present leading indicators, you can track customer relationships from start to finish and automate sales execution with contextual prompts that delivers a personalized experience and aligns with the buyer’s journey anytime, anywhere.

Customer service teams

Provide customers with an effortless omnichannel experience. With the use of service bots, your customer service teams will have the tools to be able to deliver value and improve engagement with every interaction. Offering personalized services, agents can upsell or cross-sell using relevant, contextual data, and based on feedback, surveys, and social listening, optimize their resources based on real-time service trends.

In delivering a guided, intelligent service supported on all channels, customers can connect with agents easily and quickly resolve their issues, resulting in a first-class customer experience.

Field service teams

Empower your agents to create a better in-person experience. By implementing the Internet of Things (IoT) into your operations, you’re able to detect problems faster—automate work orders, schedule, and dispatch technicians in just a few clicks. By streamlining scheduling and inventory management , you can boost onsite efficiency, deliver a more personalized service, and reduce costs.

By providing transparent communications with real-time technician location tracking, appointment reminders, quotes, contracts, and scheduling information, customers stay connected to your field agents and build trust with your business.

Project service automation teams

Improve your profitability with integrated planning tools and analytics that help build your customer-centric delivery model. By gaining transparency into costs and revenue using robust project planning capabilities and intuitive dashboards, you’re able to anticipate demands, determine resources capacity, and forecast project profitability.

And with the ability to measure utilization with real-time dashboards, you can empower your service professionals to apply those insights to their own workflows and optimize resources at any given time. With visibility into those insights, teams are more likely to simplify processes internally, seamlessly collaborate, and increase productivity.

Why use Dynamics 365 for your CRM solution?

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PRINCE2 Case Studies: Real-World Project Management Examples

This blog delves into several compelling PRINCE2 Case Studies where PRINCE2 has been instrumental in driving project success across various industries. PRINCE2 (Projects IN Controlled Environments) is a broadly recognised project management methodology that provides a structured approach to managing projects.

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• PRINCE2® Foundation
• PRINCE2® Practitioner
• PRINCE2® Foundation Exam Resit

This blog gives insights on prominent PRINCE2 Case Studies. The examples are from different organisations. They illustrate how these organisations have successfully applied this methodology to achieve their project goals. We will have a careful look at each of these examples and analyse them. Each example will guide you through the issues that you may face while doing your projects. 

Table of Contents 

1) PRINCE2 Case Studies 

   a) Australian Department of Parliamentary Services  

   b) Environment Canada  

   c) Transpower 

   d) University of Western Australia Library 

   e) VocaLink  

2) Conclusion 

PRINCE2 Case Studies 

The following case studies showcase the application of PRINCE2 in diverse sectors. They highlight the benefits and outcomes of using this robust project management framework. 

Australian Department of Parliamentary Services Case Study 

The Australian Department of Parliamentary Services (DPS) undertook a major IT infrastructure project. The goal was to upgrade their parliamentary network services. This complex project required careful planning. Coordination and execution were also important to avoid disruptions to critical parliamentary activities. 

Application of PRINCE2: 

1) Project Initiation: The project began with a clear project brief and a detailed Project Initiation Document (PID). This helped define the project scope and clarified the objectives and deliverables. 

2) Roles and Responsibilities: PRINCE2's role-based structure ensured that everyone involved had a clear understanding of responsibilities. This ranged from the project board to the project team. 

3) Stages and Plans: The project was divided into manageable stages. Each stage had its plan and review process. This approach allowed for continuous monitoring. Adjustments were made as needed. 

4) Risk Management: A comprehensive Risk Management strategy was implemented. It identified potential risks and developed mitigation plans. 

Outcomes: 

The use of PRINCE2 enabled DPS to complete project on time and within budget. There were minimal disruptions. The structured approach facilitated effective communication. It also supported decision-making. This led to a successful upgrade of the IT infrastructure.  

Environment Canada Case Study 

Environment Canada launched a project to develop and implement new environmental monitoring system. The objective was to enhance the accuracy. It also aimed to improve the efficiency of data collection. An analysis for environmental protection and policymaking was a key goal. 

Application of PRINCE2:

1) Business Case: A strong business case was developed. It outlined the need for the new system and expected benefits. This document was crucial for securing stakeholder buy-in and funding. 

2) Quality Management: PRINCE2's focus on quality ensured project deliverables met the required standards. Regular quality reviews were conducted. Audits were performed throughout the project lifecycle. 

3) Change Control: The project adopted a rigorous change control process. This was necessary to manage any changes to the project scope or requirements. It helped maintain project stability and control costs. 

Environment Canada successfully implemented a new environmental monitoring system, which has significantly improved data accuracy and efficiency. The project was completed within the set timelines. And it stayed on budget. This was thanks to the disciplined application of PRINCE2 principles. 

Transpower Case Study 

Transpower New Zealand's state-owned electricity transmission company, embarked on project to upgrade its national grid infrastructure. The project aimed to enhance the reliability. It also sought to increase the capacity of the electricity transmission network. 

1) Tailoring PRINCE2: Transpower tailored the PRINCE2 methodology to fit the specific needs of the project. This ensured flexibility while maintaining the core principles. 

2) Stakeholder Engagement: Active stakeholder engagement was key focus. Regular communication and updates were provided to all interested parties. This helped manage expectations. It also secured ongoing support. 

3) Issue Management: A structured issue management process was in place to address any problems that arose during the project. This ensured issues were resolved promptly and effectively. 

The project resulted in a more robust and reliable national grid. It met the growing demand for electricity. The use of PRINCE2 enabled Transpower. They managed project complexities. They delivered the desired outcomes.  

Enhance your understanding of the core principles of PRINCE2® Foundation & Practitioner Training – Register now!  

University of Western Australia Library Case Study 

The University of Western Australia (UWA) Library initiated project to digitise its extensive collection of rare and valuable documents. The goal was to preserve these documents. Also make them accessible to a wider audience. 

1) Project Planning: Detailed project plans were developed. These plans outlined the steps required to digitise the documents. Steps included scanning, cataloguing, and storage. 

2) Resource Management: PRINCE2's resource management framework helped ensure that necessary resources were available when needed. This included staff, equipment and budget. 

3) Progress Monitoring: Regular progress reports and reviews were conducted. These tracked the project's progress and allowed necessary adjustments. 

The digitisations project was a success. Thousands of documents were preserved. They were made accessible online. The structured approach of PRINCE2 facilitated efficient project execution. The strategy ensured high-quality results. 

VocaLink Case Study 

VocaLink a leading payment systems provider took on project to develop a new real-time payment platform. The objective was to provide faster. It also aimed to deliver more efficient payment processing services. 

1) Detailed Planning: A comprehensive project plan was formulated. It details each phase of platform development, from the initial design to the final implementation. 

2) Risk Management: A proactive Risk Management strategy employed to identify potential risks early. Mitigation plans were developed to address them. 

3) Customer Focus: The project maintained strong focus on customer needs, ensuring the final platform met user requirements. It delivered high-quality User Experience (UX). 

The new real-time payment platform was successfully launched. It provides VocaLink's customers with faster. More reliable payment services. The application of PRINCE2 principles ensured that project was provided on time and met all Key Performance Indicators (KPI). 

Attain in-depth knowledge about PRINCE2® principles, themes, and processes with our PRINCE2® Foundation Course .  

Conclusion 

PRINCE 2 Case Studies highlight the effectiveness of the PRINCE2 methodology in managing diverse projects across various sectors. By providing a structured framework for planning, executing, and monitoring, PRINCE2 helps organisations achieve their objectives, manage risks, and deliver high-quality outcomes. 

Frequently Asked Questions

A successful PRINCE2 project example is the construction of Heathrow Airport Terminal 5. It applied PRINCE2 methodology effectively in planning, execution, and delivery, incorporating regular reviews and clear roles, leading to its completion within budget and on time.  

Deciding between PRINCE2 and Agile should be based on project needs and personal career goals. PRINCE2 is ideal for structured environments requiring clear governance, while Agile suits dynamic projects with frequent changes. For a blend of both, PRINCE2 Agile offers structure with flexibility to adapt to changes. 

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Alongside our diverse Online Course Catalogue, encompassing 17 major categories, we go the extra mile by providing a plethora of free educational Online Resources like News updates, Blogs , videos, webinars, and interview questions. Tailoring learning experiences further, professionals can maximise value with customisable Course Bundles of TKA .

The Knowledge Academy’s Knowledge Pass , a prepaid voucher, adds another layer of flexibility, allowing course bookings over a 12-month period. Join us on a journey where education knows no bounds.  

The Knowledge Academy offers various Project Management Courses , including the PRINCE2® Foundation & Practitioner Training and PRINCE2 Agile® Practitioner Course. These courses cater to different skill levels, providing comprehensive insights into Agile Roles and Responsibilities .  

Our Project Management Blogs cover a range of topics related to PRINCE2®, offering valuable resources, best practices, and industry insights. Whether you are a beginner or looking to advance your Project Management skills, The Knowledge Academy's diverse courses and informative blogs have got you covered.  

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AI risk management is the process of systematically identifying, mitigating and addressing the potential risks associated with AI technologies. It involves a combination of tools, practices and principles, with a particular emphasis on deploying formal AI risk management frameworks.

Generally speaking, the goal of AI risk management is to minimize AI’s potential negative impacts while maximizing its benefits.

AI risk management and AI governance

AI risk management is part of the broader field of AI governance . AI governance refers to the guardrails that ensure AI tools and systems are safe and ethical and remain that way.

AI governance is a comprehensive discipline, while AI risk management is a process within that discipline. AI risk management focuses specifically on identifying and addressing vulnerabilities and threats to keep AI systems safe from harm. AI governance establishes the frameworks, rules and standards that direct AI research, development and application to ensure safety, fairness and respect for human rights.

Learn how IBM Consulting can help weave responsible AI governance into the fabric of your business.

Why risk management in AI systems matters

In recent years, the use of AI systems has surged across industries. McKinsey reports that 72% of organizations now use some form of artificial intelligence (AI), up 17% from 2023.

While organizations are chasing AI’s benefits—like innovation, efficiency and enhanced productivity—they do not always tackle its potential risks, such as privacy concerns, security threats and ethical and legal issues.

Leaders are well aware of this challenge. A recent IBM Institute for Business Value (IBM IBV) study found that 96% of leaders believe that adopting generative AI makes a security breach more likely. At the same time, the IBM IBV also found that only 24% of current generative AI projects are secured .

AI risk management can help close this gap and empower organizations to harness AI systems’ full potential without compromising AI ethics or security.

Understanding the risks associated with AI systems

Like other types of security risk, AI risk can be understood as a measure of how likely a potential AI-related threat is to affect an organization and how much damage that threat would do.

While each AI model and use case is different, the risks of AI generally fall into four buckets:

Model risks

Operational risks, ethical and legal risks.

If not managed correctly, these risks can expose AI systems and organizations to significant harm, including financial losses, reputational damage, regulatory penalties, erosion of public trust and data breaches .

AI systems rely on data sets that might be vulnerable to tampering, breaches, bias or cyberattacks . Organizations can mitigate these risks by protecting data integrity, security and availability throughout the entire AI lifecycle, from development to training and deployment.

 Common data risks include:

• Data security : Data security is one of the biggest and most critical challenges facing AI systems. Threat actors can cause serious problems for organizations by breaching the data sets that power AI technologies, including unauthorized access, data loss and compromised confidentiality.
• Data privacy : AI systems often handle sensitive personal data, which can be vulnerable to privacy breaches, leading to regulatory and legal issues for organizations.
• Data integrity: AI models are only as reliable as their training data. Distorted or biased data can lead to false positives, inaccurate outputs or poor decision-making.

Threat actors can target AI models for theft, reverse engineering or unauthorized manipulation. Attackers might compromise a model’s integrity by tampering with its architecture, weights or parameters, the core components determining an AI model’s behavior and performance.

Some of the most common model risks include:

• Adversarial attacks: These attacks manipulate input data to deceive AI systems into making incorrect predictions or classifications. For instance, attackers might generate adversarial examples that they feed to AI algorithms to purposefully interfere with decision-making or produce bias.
• Prompt injections : These attacks target large language models (LLMs). Hackers disguise malicious inputs as legitimate prompts, manipulating generative AI systems into leaking sensitive data, spreading misinformation or worse. Even basic prompt injections can make AI chatbots like ChatGPT ignore system guardrails and say things that they shouldn’t.
• Model interpretability: Complex AI models are often difficult to interpret, making it hard for users to understand how they reach their decisions. This lack of transparency can ultimately impede bias detection and accountability while eroding trust in AI systems and their providers.
• Supply chain attacks: Supply chain attacks occur when threat actors target AI systems at the supply chain level, including at their development, deployment or maintenance stages. For instance, attackers might exploit vulnerabilities in third-party components used in AI development, leading to data breaches or unauthorized access.

Though AI models can seem like magic, they are fundamentally products of sophisticated code and machine learning algorithms. Like all technologies, they are susceptible to operational risks. Left unaddressed, these risks can lead to system failures and security vulnerabilities that threat actors can exploit. 

Some of the most common operational risks include:

• Drift or decay: AI models can experience model drift , a process where changes in data or the relationships between data points can lead to degraded performance. For example, a fraud detection model might become less accurate over time and let fraudulent transactions slip through the cracks.
• Sustainability issues: AI systems are new and complex technologies that require proper scaling and support. Neglecting sustainability can lead to challenges in maintaining and updating these systems, causing inconsistent performance and increased operating costs and energy consumption.
• Integration challenges: Integrating AI systems with existing IT infrastructure can be complex and resource-intensive. Organizations often encounter issues with compatibility, data silos and system interoperability. Introducing AI systems can also create new vulnerabilities by expanding the attack surface for cyberthreats . 
• Lack of accountability: With AI systems being relatively new technologies, many organizations don’t have the proper corporate governance structures in place. The result is that AI systems often lack oversight. McKinsey found that just 18 percent of organizations have a council or board with the authority to make decisions about responsible AI governance.

If organizations don’t prioritize safety and ethics when developing and deploying AI systems, they risk committing privacy violations and producing biased outcomes. For instance, biased training data used for hiring decisions might reinforce gender or racial stereotypes and create AI models that favor certain demographic groups over others.

 Common ethical and legal risks include:

• Lack of transparency: Organizations that fail to be transparent and accountable with their AI systems risk losing public trust.
• Failure to comply with regulatory requirements: Noncompliance with government regulations such as the GDPR or sector-specific guidelines can lead to steep fines and legal penalties.
• Algorithmic biases: AI algorithms can inherit biases from training data, leading to potentially discriminatory outcomes such as biased hiring decisions and unequal access to financial services.
• Ethical dilemmas : AI decisions can raise ethical concerns related to privacy, autonomy and human rights. Mishandling these dilemmas can harm an organization’s reputation and erode public trust.
• Lack of explainability: Explainability in AI refers to the ability to understand and justify decisions made by AI systems. Lack of explainability can hinder trust and lead to legal scrutiny and reputational damage. For example, an organization’s CEO not knowing where their LLM gets its training data can result in bad press or regulatory investigations.

AI risk management frameworks 

Many organizations address AI risks by adopting AI risk management frameworks, which are sets of guidelines and practices for managing risks across the entire AI lifecycle.

One can also think of these guidelines as playbooks that outline policies, procedures, roles and responsibilities regarding an organization’s use of AI. AI risk management frameworks help organizations develop, deploy and maintain AI systems in a way that minimizes risks, upholds ethical standards and achieves ongoing regulatory compliance.

Some of the most commonly used AI risk management frameworks include:

• The NIST AI Risk Management Framework
• The EU AI ACT

ISO/IEC standards

The us executive order on ai, the nist ai risk management framework (ai rmf) .

In January 2023, the National Institute of Standards and Technology (NIST) published the AI Risk Management Framework (AI RMF) to provide a structured approach to managing AI risks. The NIST AI RMF has since become a benchmark for AI risk management.

The AI RMF’s primary goal is to help organizations design, develop, deploy and use AI systems in a way that effectively manages risks and promotes trustworthy, responsible AI practices.

Developed in collaboration with the public and private sectors, the AI RMF is entirely voluntary and applicable across any company, industry or geography.

The framework is divided into two parts. Part 1 offers an overview of the risks and characteristics of trustworthy AI systems. Part 2, the AI RMF Core, outlines four functions to help organizations address AI system risks:

• Govern: Creating an organizational culture of AI risk management
• Map: Framing AI risks in specific business contexts
• Measure: Analyzing and assessing AI risks
• Manage: Addressing mapped and measured risks

The EU Artificial Intelligence Act (EU AI Act) is a law that governs the development and use of artificial intelligence in the European Union (EU). The act takes a risk-based approach to regulation, applying different rules to AI systems according to the threats they pose to human health, safety and rights. The act also creates rules for designing, training and deploying general-purpose artificial intelligence models, such as the  foundation models  that power ChatGPT and Google Gemini.

The International Organization for Standardization (ISO) and the International Electrotechnical Commission (IEC) have developed standards that address various aspects of AI risk management.

ISO/IEC standards emphasize the importance of transparency, accountability and ethical considerations in AI risk management. They also provide actionable guidelines for managing AI risks across the AI lifecycle, from design and development to deployment and operation.

In late 2023, the Biden administration issued an executive order on ensuring AI safety and security. While not technically a risk management framework, this comprehensive directive does provide guidelines for establishing new standards to manage the risks of AI technology.

The executive order highlights several key concerns, including the promotion of trustworthy AI that is transparent, explainable and accountable. In many ways, the executive order helped set a precedent for the private sector, signaling the importance of comprehensive AI risk management practices.

How AI risk management helps organizations

While the AI risk management process necessarily varies from organization to organization, AI risk management practices can provide some common core benefits when implemented successfully.

Enhanced security

AI risk management can enhance an organization’s cybersecurity posture and use of AI security .

By conducting regular risk assessments and audits, organizations can identify potential risks and vulnerabilities throughout the AI lifecycle.

Following these assessments, they can implement mitigation strategies to reduce or eliminate the identified risks. This process might involve technical measures, such as enhancing data security and improving model robustness. The process might also involve organizational adjustments, such as developing ethical guidelines and strengthening access controls.

Taking this more proactive approach to threat detection and response can help organizations mitigate risks before they escalate, reducing the likelihood of data breaches and the potential impact of cyberattacks.

Improved decision-making

AI risk management can also help improve an organization’s overall decision-making.

By using a mix of qualitative and quantitative analyses, including statistical methods and expert opinions, organizations can gain a clear understanding of their potential risks. This full-picture view helps organizations prioritize high-risk threats and make more informed decisions around AI deployment, balancing the desire for innovation with the need for risk mitigation.  

Regulatory compliance

An increasing global focus on protecting sensitive data has spurred the creation of major regulatory requirements and industry standards, including the  General Data Protection Regulation (GDPR) , the  California Consumer Privacy Act (CCPA)  and the EU AI Act.

Noncompliance with these laws can result in hefty fines and significant legal penalties. AI risk management can help organizations achieve compliance and remain in good standing, especially as regulations surrounding AI evolve almost as quickly as the technology itself.

Operational resilience

AI risk management helps organizations minimize disruption and ensure business continuity by enabling them to address potential risks with AI systems in real time. AI risk management can also encourage greater accountability and long-term sustainability by enabling organizations to establish clear management practices and methodologies for AI use. 

Increased trust and transparency

AI risk management encourages a more ethical approach to AI systems by prioritizing trust and transparency.

Most AI risk management processes involve a wide range of stakeholders, including executives, AI developers, data scientists, users, policymakers and even ethicists. This inclusive approach helps ensure that AI systems are developed and used responsibly, with every stakeholder in mind. 

Ongoing testing, validation and monitoring

By conducting regular tests and monitoring processes, organizations can better track an AI system’s performance and detect emerging threats sooner. This monitoring helps organizations maintain ongoing regulatory compliance and remediate AI risks earlier, reducing the potential impact of threats. 

Making AI risk management an enterprise priority

For all of their potential to streamline and optimize how work gets done, AI technologies are not without risk. Nearly every piece of enterprise IT can become a weapon in the wrong hands.

Organizations don’t need to avoid generative AI. They simply need to treat it like any other technology tool. That means understanding the risks and taking proactive steps to minimize the chance of a successful attack.

With IBM® watsonx.governance™, organizations can easily direct, manage and monitor AI activities in one integrated platform. IBM watsonx.governance can govern generative AI models from any vendor, evaluate model health and accuracy and automate key compliance workflows.

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Research: Using AI at Work Makes Us Lonelier and Less Healthy

• David De Cremer
• Joel Koopman

Employees who use AI as a core part of their jobs report feeling more isolated, drinking more, and sleeping less than employees who don’t.

The promise of AI is alluring — optimized productivity, lightning-fast data analysis, and freedom from mundane tasks — and both companies and workers alike are fascinated (and more than a little dumbfounded) by how these tools allow them to do more and better work faster than ever before. Yet in fervor to keep pace with competitors and reap the efficiency gains associated with deploying AI, many organizations have lost sight of their most important asset: the humans whose jobs are being fragmented into tasks that are increasingly becoming automated. Across four studies, employees who use it as a core part of their jobs reported feeling lonelier, drinking more, and suffering from insomnia more than employees who don’t.

Imagine this: Jia, a marketing analyst, arrives at work, logs into her computer, and is greeted by an AI assistant that has already sorted through her emails, prioritized her tasks for the day, and generated first drafts of reports that used to take hours to write. Jia (like everyone who has spent time working with these tools) marvels at how much time she can save by using AI. Inspired by the efficiency-enhancing effects of AI, Jia feels that she can be so much more productive than before. As a result, she gets focused on completing as many tasks as possible in conjunction with her AI assistant.

• David De Cremer is a professor of management and technology at Northeastern University and the Dunton Family Dean of its D’Amore-McKim School of Business. His website is daviddecremer.com .
• JK Joel Koopman is the TJ Barlow Professor of Business Administration at the Mays Business School of Texas A&M University. His research interests include prosocial behavior, organizational justice, motivational processes, and research methodology. He has won multiple awards from Academy of Management’s HR Division (Early Career Achievement Award and David P. Lepak Service Award) along with the 2022 SIOP Distinguished Early Career Contributions award, and currently serves on the Leadership Committee for the HR Division of the Academy of Management .

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