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

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

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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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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Continuing to enhance the quality of case study methodology in health services research

Shannon l. sibbald.

1 Faculty of Health Sciences, Western University, London, Ontario, Canada.

2 Department of Family Medicine, Schulich School of Medicine and Dentistry, Western University, London, Ontario, Canada.

3 The Schulich Interfaculty Program in Public Health, Schulich School of Medicine and Dentistry, Western University, London, Ontario, Canada.

Stefan Paciocco

Meghan fournie, rachelle van asseldonk, tiffany scurr.

Case study methodology has grown in popularity within Health Services Research (HSR). However, its use and merit as a methodology are frequently criticized due to its flexible approach and inconsistent application. Nevertheless, case study methodology is well suited to HSR because it can track and examine complex relationships, contexts, and systems as they evolve. Applied appropriately, it can help generate information on how multiple forms of knowledge come together to inform decision-making within healthcare contexts. In this article, we aim to demystify case study methodology by outlining its philosophical underpinnings and three foundational approaches. We provide literature-based guidance to decision-makers, policy-makers, and health leaders on how to engage in and critically appraise case study design. We advocate that researchers work in collaboration with health leaders to detail their research process with an aim of strengthening the validity and integrity of case study for its continued and advanced use in HSR.

Introduction

The popularity of case study research methodology in Health Services Research (HSR) has grown over the past 40 years. 1 This may be attributed to a shift towards the use of implementation research and a newfound appreciation of contextual factors affecting the uptake of evidence-based interventions within diverse settings. 2 Incorporating context-specific information on the delivery and implementation of programs can increase the likelihood of success. 3 , 4 Case study methodology is particularly well suited for implementation research in health services because it can provide insight into the nuances of diverse contexts. 5 , 6 In 1999, Yin 7 published a paper on how to enhance the quality of case study in HSR, which was foundational for the emergence of case study in this field. Yin 7 maintains case study is an appropriate methodology in HSR because health systems are constantly evolving, and the multiple affiliations and diverse motivations are difficult to track and understand with traditional linear methodologies.

Despite its increased popularity, there is debate whether a case study is a methodology (ie, a principle or process that guides research) or a method (ie, a tool to answer research questions). Some criticize case study for its high level of flexibility, perceiving it as less rigorous, and maintain that it generates inadequate results. 8 Others have noted issues with quality and consistency in how case studies are conducted and reported. 9 Reporting is often varied and inconsistent, using a mix of approaches such as case reports, case findings, and/or case study. Authors sometimes use incongruent methods of data collection and analysis or use the case study as a default when other methodologies do not fit. 9 , 10 Despite these criticisms, case study methodology is becoming more common as a viable approach for HSR. 11 An abundance of articles and textbooks are available to guide researchers through case study research, including field-specific resources for business, 12 , 13 nursing, 14 and family medicine. 15 However, there remains confusion and a lack of clarity on the key tenets of case study methodology.

Several common philosophical underpinnings have contributed to the development of case study research 1 which has led to different approaches to planning, data collection, and analysis. This presents challenges in assessing quality and rigour for researchers conducting case studies and stakeholders reading results.

This article discusses the various approaches and philosophical underpinnings to case study methodology. Our goal is to explain it in a way that provides guidance for decision-makers, policy-makers, and health leaders on how to understand, critically appraise, and engage in case study research and design, as such guidance is largely absent in the literature. This article is by no means exhaustive or authoritative. Instead, we aim to provide guidance and encourage dialogue around case study methodology, facilitating critical thinking around the variety of approaches and ways quality and rigour can be bolstered for its use within HSR.

Purpose of case study methodology

Case study methodology is often used to develop an in-depth, holistic understanding of a specific phenomenon within a specified context. 11 It focuses on studying one or multiple cases over time and uses an in-depth analysis of multiple information sources. 16 , 17 It is ideal for situations including, but not limited to, exploring under-researched and real-life phenomena, 18 especially when the contexts are complex and the researcher has little control over the phenomena. 19 , 20 Case studies can be useful when researchers want to understand how interventions are implemented in different contexts, and how context shapes the phenomenon of interest.

In addition to demonstrating coherency with the type of questions case study is suited to answer, there are four key tenets to case study methodologies: (1) be transparent in the paradigmatic and theoretical perspectives influencing study design; (2) clearly define the case and phenomenon of interest; (3) clearly define and justify the type of case study design; and (4) use multiple data collection sources and analysis methods to present the findings in ways that are consistent with the methodology and the study’s paradigmatic base. 9 , 16 The goal is to appropriately match the methods to empirical questions and issues and not to universally advocate any single approach for all problems. 21

Approaches to case study methodology

Three authors propose distinct foundational approaches to case study methodology positioned within different paradigms: Yin, 19 , 22 Stake, 5 , 23 and Merriam 24 , 25 ( Table 1 ). Yin is strongly post-positivist whereas Stake and Merriam are grounded in a constructivist paradigm. Researchers should locate their research within a paradigm that explains the philosophies guiding their research 26 and adhere to the underlying paradigmatic assumptions and key tenets of the appropriate author’s methodology. This will enhance the consistency and coherency of the methods and findings. However, researchers often do not report their paradigmatic position, nor do they adhere to one approach. 9 Although deliberately blending methodologies may be defensible and methodologically appropriate, more often it is done in an ad hoc and haphazard way, without consideration for limitations.

Cross-analysis of three case study approaches, adapted from Yazan 2015

The post-positive paradigm postulates there is one reality that can be objectively described and understood by “bracketing” oneself from the research to remove prejudice or bias. 27 Yin focuses on general explanation and prediction, emphasizing the formulation of propositions, akin to hypothesis testing. This approach is best suited for structured and objective data collection 9 , 11 and is often used for mixed-method studies.

Constructivism assumes that the phenomenon of interest is constructed and influenced by local contexts, including the interaction between researchers, individuals, and their environment. 27 It acknowledges multiple interpretations of reality 24 constructed within the context by the researcher and participants which are unlikely to be replicated, should either change. 5 , 20 Stake and Merriam’s constructivist approaches emphasize a story-like rendering of a problem and an iterative process of constructing the case study. 7 This stance values researcher reflexivity and transparency, 28 acknowledging how researchers’ experiences and disciplinary lenses influence their assumptions and beliefs about the nature of the phenomenon and development of the findings.

Defining a case

A key tenet of case study methodology often underemphasized in literature is the importance of defining the case and phenomenon. Researches should clearly describe the case with sufficient detail to allow readers to fully understand the setting and context and determine applicability. Trying to answer a question that is too broad often leads to an unclear definition of the case and phenomenon. 20 Cases should therefore be bound by time and place to ensure rigor and feasibility. 6

Yin 22 defines a case as “a contemporary phenomenon within its real-life context,” (p13) which may contain a single unit of analysis, including individuals, programs, corporations, or clinics 29 (holistic), or be broken into sub-units of analysis, such as projects, meetings, roles, or locations within the case (embedded). 30 Merriam 24 and Stake 5 similarly define a case as a single unit studied within a bounded system. Stake 5 , 23 suggests bounding cases by contexts and experiences where the phenomenon of interest can be a program, process, or experience. However, the line between the case and phenomenon can become muddy. For guidance, Stake 5 , 23 describes the case as the noun or entity and the phenomenon of interest as the verb, functioning, or activity of the case.

Designing the case study approach

Yin’s approach to a case study is rooted in a formal proposition or theory which guides the case and is used to test the outcome. 1 Stake 5 advocates for a flexible design and explicitly states that data collection and analysis may commence at any point. Merriam’s 24 approach blends both Yin and Stake’s, allowing the necessary flexibility in data collection and analysis to meet the needs.

Yin 30 proposed three types of case study approaches—descriptive, explanatory, and exploratory. Each can be designed around single or multiple cases, creating six basic case study methodologies. Descriptive studies provide a rich description of the phenomenon within its context, which can be helpful in developing theories. To test a theory or determine cause and effect relationships, researchers can use an explanatory design. An exploratory model is typically used in the pilot-test phase to develop propositions (eg, Sibbald et al. 31 used this approach to explore interprofessional network complexity). Despite having distinct characteristics, the boundaries between case study types are flexible with significant overlap. 30 Each has five key components: (1) research question; (2) proposition; (3) unit of analysis; (4) logical linking that connects the theory with proposition; and (5) criteria for analyzing findings.

Contrary to Yin, Stake 5 believes the research process cannot be planned in its entirety because research evolves as it is performed. Consequently, researchers can adjust the design of their methods even after data collection has begun. Stake 5 classifies case studies into three categories: intrinsic, instrumental, and collective/multiple. Intrinsic case studies focus on gaining a better understanding of the case. These are often undertaken when the researcher has an interest in a specific case. Instrumental case study is used when the case itself is not of the utmost importance, and the issue or phenomenon (ie, the research question) being explored becomes the focus instead (eg, Paciocco 32 used an instrumental case study to evaluate the implementation of a chronic disease management program). 5 Collective designs are rooted in an instrumental case study and include multiple cases to gain an in-depth understanding of the complexity and particularity of a phenomenon across diverse contexts. 5 , 23 In collective designs, studying similarities and differences between the cases allows the phenomenon to be understood more intimately (for examples of this in the field, see van Zelm et al. 33 and Burrows et al. 34 In addition, Sibbald et al. 35 present an example where a cross-case analysis method is used to compare instrumental cases).

Merriam’s approach is flexible (similar to Stake) as well as stepwise and linear (similar to Yin). She advocates for conducting a literature review before designing the study to better understand the theoretical underpinnings. 24 , 25 Unlike Stake or Yin, Merriam proposes a step-by-step guide for researchers to design a case study. These steps include performing a literature review, creating a theoretical framework, identifying the problem, creating and refining the research question(s), and selecting a study sample that fits the question(s). 24 , 25 , 36

Data collection and analysis

Using multiple data collection methods is a key characteristic of all case study methodology; it enhances the credibility of the findings by allowing different facets and views of the phenomenon to be explored. 23 Common methods include interviews, focus groups, observation, and document analysis. 5 , 37 By seeking patterns within and across data sources, a thick description of the case can be generated to support a greater understanding and interpretation of the whole phenomenon. 5 , 17 , 20 , 23 This technique is called triangulation and is used to explore cases with greater accuracy. 5 Although Stake 5 maintains case study is most often used in qualitative research, Yin 17 supports a mix of both quantitative and qualitative methods to triangulate data. This deliberate convergence of data sources (or mixed methods) allows researchers to find greater depth in their analysis and develop converging lines of inquiry. For example, case studies evaluating interventions commonly use qualitative interviews to describe the implementation process, barriers, and facilitators paired with a quantitative survey of comparative outcomes and effectiveness. 33 , 38 , 39

Yin 30 describes analysis as dependent on the chosen approach, whether it be (1) deductive and rely on theoretical propositions; (2) inductive and analyze data from the “ground up”; (3) organized to create a case description; or (4) used to examine plausible rival explanations. According to Yin’s 40 approach to descriptive case studies, carefully considering theory development is an important part of study design. “Theory” refers to field-relevant propositions, commonly agreed upon assumptions, or fully developed theories. 40 Stake 5 advocates for using the researcher’s intuition and impression to guide analysis through a categorical aggregation and direct interpretation. Merriam 24 uses six different methods to guide the “process of making meaning” (p178) : (1) ethnographic analysis; (2) narrative analysis; (3) phenomenological analysis; (4) constant comparative method; (5) content analysis; and (6) analytic induction.

Drawing upon a theoretical or conceptual framework to inform analysis improves the quality of case study and avoids the risk of description without meaning. 18 Using Stake’s 5 approach, researchers rely on protocols and previous knowledge to help make sense of new ideas; theory can guide the research and assist researchers in understanding how new information fits into existing knowledge.

Practical applications of case study research

Columbia University has recently demonstrated how case studies can help train future health leaders. 41 Case studies encompass components of systems thinking—considering connections and interactions between components of a system, alongside the implications and consequences of those relationships—to equip health leaders with tools to tackle global health issues. 41 Greenwood 42 evaluated Indigenous peoples’ relationship with the healthcare system in British Columbia and used a case study to challenge and educate health leaders across the country to enhance culturally sensitive health service environments.

An important but often omitted step in case study research is an assessment of quality and rigour. We recommend using a framework or set of criteria to assess the rigour of the qualitative research. Suitable resources include Caelli et al., 43 Houghten et al., 44 Ravenek and Rudman, 45 and Tracy. 46

New directions in case study

Although “pragmatic” case studies (ie, utilizing practical and applicable methods) have existed within psychotherapy for some time, 47 , 48 only recently has the applicability of pragmatism as an underlying paradigmatic perspective been considered in HSR. 49 This is marked by uptake of pragmatism in Randomized Control Trials, recognizing that “gold standard” testing conditions do not reflect the reality of clinical settings 50 , 51 nor do a handful of epistemologically guided methodologies suit every research inquiry.

Pragmatism positions the research question as the basis for methodological choices, rather than a theory or epistemology, allowing researchers to pursue the most practical approach to understanding a problem or discovering an actionable solution. 52 Mixed methods are commonly used to create a deeper understanding of the case through converging qualitative and quantitative data. 52 Pragmatic case study is suited to HSR because its flexibility throughout the research process accommodates complexity, ever-changing systems, and disruptions to research plans. 49 , 50 Much like case study, pragmatism has been criticized for its flexibility and use when other approaches are seemingly ill-fit. 53 , 54 Similarly, authors argue that this results from a lack of investigation and proper application rather than a reflection of validity, legitimizing the need for more exploration and conversation among researchers and practitioners. 55

Although occasionally misunderstood as a less rigourous research methodology, 8 case study research is highly flexible and allows for contextual nuances. 5 , 6 Its use is valuable when the researcher desires a thorough understanding of a phenomenon or case bound by context. 11 If needed, multiple similar cases can be studied simultaneously, or one case within another. 16 , 17 There are currently three main approaches to case study, 5 , 17 , 24 each with their own definitions of a case, ontological and epistemological paradigms, methodologies, and data collection and analysis procedures. 37

Individuals’ experiences within health systems are influenced heavily by contextual factors, participant experience, and intricate relationships between different organizations and actors. 55 Case study research is well suited for HSR because it can track and examine these complex relationships and systems as they evolve over time. 6 , 7 It is important that researchers and health leaders using this methodology understand its key tenets and how to conduct a proper case study. Although there are many examples of case study in action, they are often under-reported and, when reported, not rigorously conducted. 9 Thus, decision-makers and health leaders should use these examples with caution. The proper reporting of case studies is necessary to bolster their credibility in HSR literature and provide readers sufficient information to critically assess the methodology. We also call on health leaders who frequently use case studies 56 – 58 to report them in the primary research literature.

The purpose of this article is to advocate for the continued and advanced use of case study in HSR and to provide literature-based guidance for decision-makers, policy-makers, and health leaders on how to engage in, read, and interpret findings from case study research. As health systems progress and evolve, the application of case study research will continue to increase as researchers and health leaders aim to capture the inherent complexities, nuances, and contextual factors. 7

Perspectives from Researchers on Case Study Design

by Janet Salmons, PhD, Research Community Manager for SAGE Methodspace

Research design is the focus for the first quarter of 2023. Find a post about case study design , and read the unfolding series of posts here .

What is a “case study” research design?

Linda Bloomberg describes a case study as:

An in-depth exploration from multiple perspectives of the richness and complexity of a particular social unit, system, or phenomenon. Its primary purpose is to generate understanding and insights in order to gain knowledge and inform professional practice, policy development, and community or social action. Case study research is typically extensive; it draws on multiple methods of data collection and involves multiple data sources.

The researcher begins by identifying a specific case or set of cases to be studied. Each case is an entity that is described within certain parameters, such as a specific time frame, place, event, and process. Hence, the case becomes a  bounded system . Typically, case study researchers analyze the real-life cases that are currently in progress so that they can gather accurate information that is not lost by time.

This method culminates in the production of a detailed description of a setting and its participants, accompanied by an analysis of the data for themes, patterns, and issues. A case study is therefore both a process of inquiry about the case at hand and the product of that inquiry. (Bloomberg, 2018, p. 276)

Case studies use more than one form of data either within a research paradigm (multimodal ), or more than one form of data from different paradigms (mixed methods). As Bloomberg notes, the case study method is employed across disciplines, including education, health care, social work, history, sociology, management studies, and organizational studies. When you look at lists of most-read and most-cited articles you will find that this flexible approach is widely used and published. Here are some open-access articles about multimodal qualitative or mixed methods designs that include both qualitative and quantitative elements.

Qualitative Research with Case Studies

Brannen, J., & Nilsen, A. (2011). Comparative Biographies in Case-based Cross-national Research: Methodological Considerations. Sociology, 45(4), 603–618. https://doi.org/10.1177/0038038511406602

Abstract. This article examines some methodological issues relating to an embedded case study design adopted in a comparative cross-national study of working parents covering three levels of social context: the macro level; the workplace level; and the individual level. It addresses issues of generalizability, in particular the importance of criteria for the selection of cases in the research design and analysis phases. To illustrate the benefits of the design the article focuses on the level of individual biographies. Three exemplars of biographical trajectories and experiences are presented and discussed. It is argued that a multi-tiered design and a comparative biographical approach can add to the understanding of individual experience by placing it in context and thus yield knowledge that is of general sociological relevance by demonstrating the interrelatedness of agency and structure.

Ebneyamini, S., & Sadeghi Moghadam, M. R. (2018). Toward Developing a Framework for Conducting Case Study Research. International Journal of Qualitative Methods, 17(1). https://doi.org/10.1177/1609406918817954

Abstract. This article reviews the use of case study research for both practical and theoretical issues especially in management field with the emphasis on management of technology and innovation. Many researchers commented on the methodological issues of the case study research from their point of view thus, presenting a comprehensive framework was missing. We try representing a general framework with methodological and analytical perspective to design, develop, and conduct case study research. To test the coverage of our framework, we have analyzed articles in three major journals related to the management of technology and innovation to approve our framework. This study represents a general structure to guide, design, and fulfill a case study research with levels and steps necessary for researchers to use in their research.

Flyvbjerg, B. (2006). Five Misunderstandings About Case-Study Research. Qualitative Inquiry, 12(2), 219–245. https://doi.org/10.1177/1077800405284363

Abstract. This article examines five common misunderstandings about case-study research: (a) theoretical knowledge is more valuable than practical knowledge; (b) one cannot generalize from a single case, therefore, the single-case study cannot contribute to scientific development; (c) the case study is most useful for generating hypotheses, whereas other methods are more suitable for hypotheses testing and theory building; (d) the case study contains a bias toward verification; and (e) it is often difficult to summarize specific case studies. This article explains and corrects these misunderstandings one by one and concludes with the Kuhnian insight that a scientific discipline without a large number of thoroughly executed case studies is a discipline without systematic production of exemplars, and a discipline without exemplars is an ineffective one. Social science may be strengthened by the execution of a greater number of good case studies.

Morgan SJ, Pullon SRH, Macdonald LM, McKinlay EM, Gray BV. Case Study Observational Research: A Framework for Conducting Case Study Research Where Observation Data Are the Focus. Qualitative Health Research. 2017;27(7):1060-1068. doi:10.1177/1049732316649160

Abstract. Case study research is a comprehensive method that incorporates multiple sources of data to provide detailed accounts of complex research phenomena in real-life contexts. However, current models of case study research do not particularly distinguish the unique contribution observation data can make. Observation methods have the potential to reach beyond other methods that rely largely or solely on self-report. This article describes the distinctive characteristics of case study observational research, a modified form of Yin’s 2014 model of case study research the authors used in a study exploring interprofessional collaboration in primary care. In this approach, observation data are positioned as the central component of the research design. Case study observational research offers a promising approach for researchers in a wide range of health care settings seeking more complete understandings of complex topics, where contextual influences are of primary concern. Future research is needed to refine and evaluate the approach.

Rule, P., & John, V. M. (2015). A Necessary Dialogue: Theory in Case Study Research. International Journal of Qualitative Methods , 14 (4). https://doi.org/10.1177/1609406915611575

Abstract. This article is premised on the understanding that there are multiple dimensions of the case–theory relation and examines four of these: theory of the case, theory for the case, theory from the case, and a dialogical relation between theory and case. This fourth dimension is the article’s key contribution to theorizing case study. Dialogic engagement between theory and case study creates rich potential for mutual formation and generative tension. The article argues that the process of constructing and conducting the case is theory laden, while the outcomes of the study might also have theoretical implications. Case study research that is contextually sensitive and theoretically astute can contribute not only to the application and revision of existing theory but also to the development of new theory. The case thus provides a potentially generative nexus for the engagement of theory, context, and research.

Thomas, G. (2011). A Typology for the Case Study in Social Science Following a Review of Definition, Discourse, and Structure. Qualitative Inquiry, 17(6), 511–521. https://doi.org/10.1177/1077800411409884

Abstract. The author proposes a typology for the case study following a definition wherein various layers of classificatory principle are disaggregated. First, a clear distinction is drawn between two parts: (1) the subject of the study, which is the case itself, and (2) the object, which is the analytical frame or theory through which the subject is viewed and which the subject explicates. Beyond this distinction the case study is presented as classifiable by its purposes and the approaches adopted— principally with a distinction drawn between theory-centered and illustrative study. Beyond this, there are distinctions to be drawn among various operational structures that concern comparative versus noncomparative versions of the form and the ways that the study may employ time. The typology reveals that there are numerous valid permutations of these dimensions and many trajectories, therefore, open to the case inquirer.

VanWynsberghe, R., & Khan, S. (2007). Redefining Case Study. International Journal of Qualitative Methods , 6 (2), 80–94. https://doi.org/10.1177/160940690700600208

Abstract. In this paper the authors propose a more precise and encompassing definition of case study than is usually found. They support their definition by clarifying that case study is neither a method nor a methodology nor a research design as suggested by others. They use a case study prototype of their own design to propose common properties of case study and demonstrate how these properties support their definition. Next, they present several living myths about case study and refute them in relation to their definition. Finally, they discuss the interplay between the terms case study and unit of analysis to further delineate their definition of case study. The target audiences for this paper include case study researchers, research design and methods instructors, and graduate students interested in case study research.

Mixed Methods Research with Case Studies

Guetterman, T. C., & Fetters, M. D. (2018). Two Methodological Approaches to the Integration of Mixed Methods and Case Study Designs: A Systematic Review. American Behavioral Scientist, 62(7), 900–918. https://doi.org/10.1177/0002764218772641

Abstract. Case study has a tradition of collecting multiple forms of data—qualitative and quantitative—to gain a more complete understanding of the case. Case study integrates well with mixed methods, which seeks a more complete understanding through the integration of qualitative and quantitative research. We identify and characterize “mixed methods–case study designs” as mixed methods studies with a nested case study and “case study–mixed methods designs” as case studies with nested mixed methods. Based on a review of published research integrating mixed methods and case study designs, we describe key methodological features and discuss four exemplar interdisciplinary studies.

Luyt, R. (2012). A Framework for Mixing Methods in Quantitative Measurement Development, Validation, and Revision: A Case Study. Journal of Mixed Methods Research, 6(4), 294–316. https://doi.org/10.1177/1558689811427912

Abstract. A framework for quantitative measurement development, validation, and revision that incorporates both qualitative and quantitative methods is introduced. It extends and adapts Adcock and Collier’s work, and thus, facilitates understanding of quantitative measurement development, validation, and revision as an integrated and cyclical set of procedures best achieved through mixed methods research. It also offers a systematic guide concerning how these procedures may be undertaken through detailing key “stages,” “levels,” and practical “tasks.” A case study illustrates how qualitative and quantitative methods may be mixed through the use of the proposed framework in the cross-cultural content- and construct-related validation and subsequent revision of a quantitative measure. The contribution of this article to mixed methods research literature is briefly discussed.

Mason, W., Morris, K., Webb, C., Daniels, B., Featherstone, B., Bywaters, P., Mirza, N., Hooper, J., Brady, G., Bunting, L., & Scourfield, J. (2020). Toward Full Integration of Quantitative and Qualitative Methods in Case Study Research: Insights From Investigating Child Welfare Inequalities. Journal of Mixed Methods Research, 14(2), 164–183. https://doi.org/10.1177/1558689819857972

Abstract. Delineation of the full integration of quantitative and qualitative methods throughout all stages of multisite mixed methods case study projects remains a gap in the methodological literature. This article offers advances to the field of mixed methods by detailing the application and integration of mixed methods throughout all stages of one such project; a study of child welfare inequalities. By offering a critical discussion of site selection and the management of confirmatory, expansionary and discordant data, this article contributes to the limited body of mixed methods exemplars specific to this field. We propose that our mixed methods approach provided distinctive insights into a complex social problem, offering expanded understandings of the relationship between poverty, child abuse, and neglect.

Onghena, P., Maes, B., & Heyvaert, M. (2019). Mixed Methods Single Case Research: State of the Art and Future Directions. Journal of Mixed Methods Research, 13(4), 461–480. https://doi.org/10.1177/1558689818789530

Abstract. Mixed methods single case research (MMSCR) is research in which single case experimental and qualitative case study methodologies, and their accompanying sets of methods and techniques, are integrated to answer research questions that concern a single case. This article discusses the historical roots and the distinct nature of MMSCR, the kinds of knowledge MMSCR produces, its philosophical underpinnings, examples of MMSCR, and the trustworthiness and validity of MMSCR. Methodological challenges relate to the development of a critical appraisal tool for MMSCR, to the team work that is involved in designing and conducting MMSCR studies, and to the application of mixed methods research synthesis for multiple case studies and single case experiments.

Sharp, J. L., Mobley, C., Hammond, C., Withington, C., Drew, S., Stringfield, S., & Stipanovic, N. (2012). A Mixed Methods Sampling Methodology for a Multisite Case Study. Journal of Mixed Methods Research, 6(1), 34–54. https://doi.org/10.1177/1558689811417133

Abstract. The flexibility of mixed methods research strategies makes such approaches especially suitable for multisite case studies. Yet the utilization of mixed methods to select sites for these studies is rarely reported. The authors describe their pragmatic mixed methods approach to select a sample for their multisite mixed methods case study of a statewide education policy initiative in the United States. The authors designed a four-stage sequential mixed methods site selection strategy to select eight sites in order to capture the broader context of the research, as well as any contextual nuances that shape policy implementation. The authors anticipate that their experience would provide guidance to other mixed methods researchers seeking to maximize the rigor of their multisite case study sampling designs.

Bloomberg, L. (2018). Case study. In B. B. Frey (Ed.), The SAGE encyclopedia of educational research, measurement, and evaluation . https://doi.org/10.4135/9781506326139

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

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

Research question

• Conceptual framework
• Conceptual vs. theoretical framework

Data collection

• Qualitative research methods
• Focus groups
• Observational research

What is a case study?

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

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

Case studies

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

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

Definition of a case study

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

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

Characteristics of case studies

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

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

The role of case studies in research

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

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

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

What is the purpose of a case study?

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

Why use case studies in qualitative research?

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

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

The explanatory, exploratory, and descriptive roles of case studies

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

The impact of case studies on knowledge development

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

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

Types of case studies

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

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

Exploratory case studies

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

Descriptive case studies

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

Explanatory case studies

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

Intrinsic, instrumental, and collective case studies

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

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

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

Critical information systems research

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

Health research

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

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

Asthma research studies

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

Other fields

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

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

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

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

Propositions

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

Units of analysis

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

Argumentation

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

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

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

Defining the research question

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

Selecting and defining the case

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

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

Developing a detailed case study protocol

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

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

Collecting data

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

Analyzing and interpreting data

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

Writing the case study report

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

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

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

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

Observations

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

Documents and artifacts

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

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

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

Ensuring the quality of data collection

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

Data analysis

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

Organizing the data

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

Categorizing and coding the data

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

Identifying patterns and themes

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

Interpreting the data

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

Verification of the data

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

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

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

Benefits include the following:

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

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

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

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

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• Case Study | Definition, Examples & Methods

Case Study | Definition, Examples & Methods

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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Case Study Research Design

The case study research design have evolved over the past few years as a useful tool for investigating trends and specific situations in many scientific disciplines.

This article is a part of the guide:

• Research Designs
• Quantitative and Qualitative Research
• Literature Review
• Quantitative Research Design
• Descriptive Research

Browse Full Outline

• 1 Research Designs
• 2.1 Pilot Study
• 2.2 Quantitative Research Design
• 2.3 Qualitative Research Design
• 2.4 Quantitative and Qualitative Research
• 3.1 Case Study
• 3.2 Naturalistic Observation
• 3.3 Survey Research Design
• 3.4 Observational Study
• 4.1 Case-Control Study
• 4.2 Cohort Study
• 4.3 Longitudinal Study
• 4.4 Cross Sectional Study
• 4.5 Correlational Study
• 5.1 Field Experiments
• 5.2 Quasi-Experimental Design
• 5.3 Identical Twins Study
• 6.1 Experimental Design
• 6.2 True Experimental Design
• 6.3 Double Blind Experiment
• 6.4 Factorial Design
• 7.1 Literature Review
• 7.2 Systematic Reviews
• 7.3 Meta Analysis

The case study has been especially used in social science, psychology, anthropology and ecology.

This method of study is especially useful for trying to test theoretical models by using them in real world situations. For example, if an anthropologist were to live amongst a remote tribe, whilst their observations might produce no quantitative data, they are still useful to science.

What is a Case Study?

Basically, a case study is an in depth study of a particular situation rather than a sweeping statistical survey . It is a method used to narrow down a very broad field of research into one easily researchable topic.

Whilst it will not answer a question completely, it will give some indications and allow further elaboration and hypothesis creation on a subject.

The case study research design is also useful for testing whether scientific theories and models actually work in the real world. You may come out with a great computer model for describing how the ecosystem of a rock pool works but it is only by trying it out on a real life pool that you can see if it is a realistic simulation.

For psychologists, anthropologists and social scientists they have been regarded as a valid method of research for many years. Scientists are sometimes guilty of becoming bogged down in the general picture and it is sometimes important to understand specific cases and ensure a more holistic approach to research .

H.M.: An example of a study using the case study research design.

The Argument for and Against the Case Study Research Design

Some argue that because a case study is such a narrow field that its results cannot be extrapolated to fit an entire question and that they show only one narrow example. On the other hand, it is argued that a case study provides more realistic responses than a purely statistical survey.

The truth probably lies between the two and it is probably best to try and synergize the two approaches. It is valid to conduct case studies but they should be tied in with more general statistical processes.

For example, a statistical survey might show how much time people spend talking on mobile phones, but it is case studies of a narrow group that will determine why this is so.

The other main thing to remember during case studies is their flexibility. Whilst a pure scientist is trying to prove or disprove a hypothesis , a case study might introduce new and unexpected results during its course, and lead to research taking new directions.

The argument between case study and statistical method also appears to be one of scale. Whilst many 'physical' scientists avoid case studies, for psychology, anthropology and ecology they are an essential tool. It is important to ensure that you realize that a case study cannot be generalized to fit a whole population or ecosystem.

Finally, one peripheral point is that, when informing others of your results, case studies make more interesting topics than purely statistical surveys, something that has been realized by teachers and magazine editors for many years. The general public has little interest in pages of statistical calculations but some well placed case studies can have a strong impact.

How to Design and Conduct a Case Study

The advantage of the case study research design is that you can focus on specific and interesting cases. This may be an attempt to test a theory with a typical case or it can be a specific topic that is of interest. Research should be thorough and note taking should be meticulous and systematic.

The first foundation of the case study is the subject and relevance. In a case study, you are deliberately trying to isolate a small study group, one individual case or one particular population.

For example, statistical analysis may have shown that birthrates in African countries are increasing. A case study on one or two specific countries becomes a powerful and focused tool for determining the social and economic pressures driving this.

In the design of a case study, it is important to plan and design how you are going to address the study and make sure that all collected data is relevant. Unlike a scientific report, there is no strict set of rules so the most important part is making sure that the study is focused and concise; otherwise you will end up having to wade through a lot of irrelevant information.

It is best if you make yourself a short list of 4 or 5 bullet points that you are going to try and address during the study. If you make sure that all research refers back to these then you will not be far wrong.

With a case study, even more than a questionnaire or survey , it is important to be passive in your research. You are much more of an observer than an experimenter and you must remember that, even in a multi-subject case, each case must be treated individually and then cross case conclusions can be drawn .

How to Analyze the Results

Analyzing results for a case study tends to be more opinion based than statistical methods. The usual idea is to try and collate your data into a manageable form and construct a narrative around it.

Use examples in your narrative whilst keeping things concise and interesting. It is useful to show some numerical data but remember that you are only trying to judge trends and not analyze every last piece of data. Constantly refer back to your bullet points so that you do not lose focus.

It is always a good idea to assume that a person reading your research may not possess a lot of knowledge of the subject so try to write accordingly.

In addition, unlike a scientific study which deals with facts, a case study is based on opinion and is very much designed to provoke reasoned debate. There really is no right or wrong answer in a case study.

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Case study: design? Method? Or comprehensive strategy?

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• 1 Faculty of Health & Applied Social Sciences, School of Nursing & Healthcare Studies, Liverpool John Moores University, Liverpool, UK.
• PMID: 15065485
• DOI: 10.7748/nr2004.04.11.3.70.c6206

As the case study approach gains popularity in nursing research, questions arise with regard to what it exactly is, and where it appears to fit paradigmatically. Is it a method, a design, are such distinctions important? Colin Jones and Christina Lyons review some of the key issues, with specific emphasis on the use of case study within an interpretevist philosophy.

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Case Study Method Advantages and Disadvantages: Essential Insights for Success

Ever wondered why the case study method is so popular in fields like business, psychology, and education? It’s because case studies offer a unique way to dive deep into real-world scenarios, allowing you to explore complex issues in a detailed manner. By examining specific instances, you gain insights that are often missed in broader surveys or theoretical research.

But like any other research method, the case study approach has its pros and cons. While it provides in-depth understanding and rich qualitative data, it can also be time-consuming and sometimes lacks generalizability. So, how do you decide if it’s the right method for your research? Let’s explore the advantages and disadvantages to help you make an informed choice.

Key Takeaways

• In-Depth Insights: Case studies provide comprehensive and detailed data by exploring specific real-world scenarios, often revealing nuances and contexts missed by broader research methods.
• Qualitative and Quantitative Data: This method involves gathering a mix of qualitative and quantitative data, enhancing the richness and depth of the research.
• Challenges of Generalizability: While case studies offer in-depth insight, their findings are often specific to the case and may not be broadly applicable to other settings or situations.
• Time-Consuming Process: Conducting case studies requires significant time and effort, which can be a limitation for busy entrepreneurs and researchers needing quick insights.
• Strategic Application: Use case studies when exploring unique business models, understanding specific customer behaviors, or analyzing specific scenarios, but employ strategies like diversifying sources and effective time management to mitigate potential drawbacks.

Understanding the Case Study Method

Curious about how the case study method can enhance your entrepreneurial journey? Let’s break it down.

What Is a Case Study?

A case study is an in-depth investigation of a single entity, such as an individual, group, organization, or event. By focusing on real-life contexts, it provides comprehensive insights that can unveil unique patterns typically missed by broader research methods. This method involves a mix of qualitative and quantitative data collection techniques, including interviews, observations, and document analysis.

How Case Studies Are Used in Research

Researchers use case studies extensively across various fields due to their flexibility and depth of analysis. In business, they help you understand market trends, customer behavior, and effective strategies by examining real-life examples. Successful startups often serve as case studies, providing valuable lessons for budding entrepreneurs. In education, case studies contextualize theories, making learning more relatable. In psychology, they offer detailed explorations of specific issues or treatments, which can inform broader practices.

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Advantages of the Case Study Method

The case study method stands out in business and entrepreneurial research, offering in-depth insights and practical lessons.

In-Depth Data Collection

You gather comprehensive data through case studies, using techniques like interviews, observations, and document reviews. By employing both qualitative and quantitative methods, you gain a thorough understanding of real-world applications and business strategies. This approach lets you explore each aspect of a business scenario, providing detailed evidence for your insights.

Uncovering Nuances and Context

Case studies reveal unique patterns and hidden details often missed by broader research methods. When you analyze a successful startup, you uncover specific strategies that contributed to its success. This method helps you understand the context behind decisions, market conditions, and customer behavior, offering actionable insights for your entrepreneurial endeavors. By focusing on the nuances, you can apply these learnings to your own business and side-hustles, refining your strategies for better outcomes.

Disadvantages of the Case Study Method

Despite the many advantages, the case study method also presents several challenges that can impact its effectiveness in business contexts.

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Limitations in Generalizability

Case studies provide in-depth insights into specific scenarios; however, they often lack broad applicability. When focusing on a single business or entrepreneur, findings may not represent the experiences of others. For instance, a strategy that worked for a particular online startup might not yield the same results for a different venture due to varying market conditions and business models. Limited sample sizes in case studies further constrain their generalizability, making it difficult to formulate universal conclusions or industry-wide trends.

Time-Consuming Nature

Conducting case studies requires significant time and effort. Collecting data through interviews, observations, and document reviews can be particularly exhaustive. As an entrepreneur juggling multiple side-hustles, dedicating time to such detailed research might detract from hands-on activities that directly impact your business. Long research durations also delay the availability of insights, making them less timely or relevant in rapidly evolving market conditions. This time-intensive nature can be a deterrent, especially when quick decision-making and agility are crucial for business success.

Balancing the Pros and Cons

For entrepreneurs and business enthusiasts like you, the case study method offers a way to dive deep into specific business scenarios. It’s a powerful tool, but it has both benefits and challenges.

When to Choose Case Study Method

Use the case study method when you need detailed, practical insights. This method works well when exploring unique business models, understanding specific customer behaviors, or examining the success strategies of other startups. Large-scale statistics can’t capture the nuances you get from a focused case study.

• Launching a new product and needing to understand early adopter behavior.
• Analyzing a failed competitor to learn what went wrong.

Strategies to Mitigate Disadvantages

To mitigate the limitations of case studies, employ these strategies:

• Diversify Sources : Include multiple case studies to build a broader understanding, reducing the risk of overgeneralization.
• Time Management : Allocate specific time slots for case study research to prevent it from consuming your hands-on business activities.
• Collaborate : Work with others to share the research load and bring in diverse perspectives.

These strategies help you get the most out of the case study method while addressing common drawbacks.

The case study method offers a unique way to gain in-depth insights and analyze complex scenarios in various fields. While it has its challenges like time consumption and limited generalizability you can still leverage its strengths by using diverse sources and effective time management. Collaborating with others can also help you make the most out of your case studies. By understanding when and how to use this method you’ll be better equipped to harness its full potential for your business or research endeavors.

Frequently Asked Questions

What are the primary benefits of the case study method in business.

The case study method offers detailed insights, helps analyze market trends, and understands customer behavior through both qualitative and quantitative data collection techniques.

What fields commonly use the case study method?

The case study method is popular in business, psychology, and education for its ability to provide comprehensive and detailed insights.

What are the main disadvantages of using the case study method in business?

The main disadvantages include limitations in generalizability and the time-consuming nature of conducting in-depth research.

How can businesses mitigate the limitations of the case study method?

Businesses can mitigate limitations by diversifying their data sources, managing research time effectively, and collaborating with others to enhance the quality and applicability of their case studies.

When should entrepreneurs and business enthusiasts choose the case study method?

Entrepreneurs and business enthusiasts should choose the case study method when they need detailed, qualitative insights that cannot be captured through other research methods.

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• Published: 08 September 2024

Longitudinal analysis of teacher self-efficacy evolution during a STEAM professional development program: a qualitative case study

• Haozhe Jiang   ORCID: orcid.org/0000-0002-7870-0993 1 ,
• Ritesh Chugh   ORCID: orcid.org/0000-0003-0061-7206 2 ,
• Xuesong Zhai   ORCID: orcid.org/0000-0002-4179-7859 1 , 3   nAff7 ,
• Ke Wang 4 &
• Xiaoqin Wang 5 , 6  

Humanities and Social Sciences Communications volume  11 , Article number:  1162 ( 2024 ) Cite this article

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Despite the widespread advocacy for the integration of arts and humanities (A&H) into science, technology, engineering, and mathematics (STEM) education on an international scale, teachers face numerous obstacles in practically integrating A&H into STEM teaching (IAT). To tackle the challenges, a comprehensive five-stage framework for teacher professional development programs focussed on IAT has been developed. Through the use of a qualitative case study approach, this study outlines the shifts in a participant teacher’s self-efficacy following their exposure to each stage of the framework. The data obtained from interviews and reflective analyses were analyzed using a seven-stage inductive method. The findings have substantiated the significant impact of a teacher professional development program based on the framework on teacher self-efficacy, evident in both individual performance and student outcomes observed over eighteen months. The evolution of teacher self-efficacy in IAT should be regarded as an open and multi-level system, characterized by interactions with teacher knowledge, skills and other entrenched beliefs. Building on our research findings, an enhanced model of teacher professional learning is proposed. The revised model illustrates that professional learning for STEAM teachers should be conceived as a continuous and sustainable process, characterized by the dynamic interaction among teaching performance, teacher knowledge, and teacher beliefs. The updated model further confirms the inseparable link between teacher learning and student learning within STEAM education. This study contributes to the existing body of literature on teacher self-efficacy, teacher professional learning models and the design of IAT teacher professional development programs.

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Introduction.

In the past decade, there has been a surge in the advancement and widespread adoption of Science, Technology, Engineering, and Mathematics (STEM) education on a global scale (Jiang et al. 2021 ; Jiang et al. 2022 ; Jiang et al. 2023 ; Jiang et al. 2024a , b ; Zhan et al. 2023 ; Zhan and Niu 2023 ; Zhong et al. 2022 ; Zhong et al. 2024 ). Concurrently, there has been a growing chorus of advocates urging the integration of Arts and Humanities (A&H) into STEM education (e.g., Alkhabra et al. 2023 ; Land 2020 ; Park and Cho 2022 ; Uştu et al. 2021 ; Vaziri and Bradburn 2021 ). STEM education is frequently characterized by its emphasis on logic and analysis; however, it may be perceived as deficient in emotional and intuitive elements (Ozkan and Umdu Topsakal 2021 ). Through the integration of Arts and Humanities (A&H), the resulting STEAM approach has the potential to become more holistic, incorporating both rationality and emotional intelligence (Ozkan and Umdu Topsakal 2021 ). Many studies have confirmed that A&H can help students increase interest and develop their understanding of the contents in STEM fields, and thus, A&H can attract potential underrepresented STEM learners such as female students and minorities (Land 2020 ; Park and Cho 2022 ; Perignat and Katz-Buonincontro 2019 ). Despite the increasing interest in STEAM, the approaches to integrating A&H, which represent fundamentally different disciplines, into STEM are theoretically and practically ambiguous (Jacques et al. 2020 ; Uştu et al. 2021 ). Moreover, studies have indicated that the implementation of STEAM poses significant challenges, with STEM educators encountering difficulties in integrating A&H into their teaching practices (e.g., Boice et al. 2021 ; Duong et al. 2024 ; Herro et al. 2019 ; Jacques et al. 2020 ; Park and Cho 2022 ; Perignat and Katz-Buonincontro 2019 ). Hence, there is a pressing need to provide STEAM teachers with effective professional training.

Motivated by this gap, this study proposes a novel five-stage framework tailored for teacher professional development programs specifically designed to facilitate the integration of A&H into STEM teaching (IAT). Following the establishment of this framework, a series of teacher professional development programs were implemented. To explain the framework, a qualitative case study is employed, focusing on examining a specific teacher professional development program’s impact on a pre-service teacher’s self-efficacy. The case narratives, with a particular focus on the pre-service teacher’s changes in teacher self-efficacy, are organized chronologically, delineating stages before and after each stage of the teacher professional development program. More specifically, meaningful vignettes of the pre-service teacher’s learning and teaching experiences during the teacher professional development program are offered to help understand the five-stage framework. This study contributes to understanding teacher self-efficacy, teacher professional learning model and the design of IAT teacher professional development programs.

Theoretical background

The conceptualization of steam education.

STEM education can be interpreted through various lenses (e.g., Jiang et al. 2021 ; English 2016 ). As Li et al. (2020) claimed, on the one hand, STEM education can be defined as individual STEM disciplinary-based education (i.e., science education, technology education, engineering education and mathematics education). On the other hand, STEM education can also be defined as interdisciplinary or cross-disciplinary education where individual STEM disciplines are integrated (Jiang et al. 2021 ; English 2016 ). In this study, we view it as individual disciplinary-based education separately in science, technology, engineering and mathematics (English 2016 ).

STEAM education emerged as a new pedagogy during the Americans for the Arts-National Policy Roundtable discussion in 2007 (Perignat and Katz-Buonincontro 2019 ). This pedagogy was born out of the necessity to enhance students’ engagement, foster creativity, stimulate innovation, improve problem-solving abilities, and cultivate employability skills such as teamwork, communication and adaptability (Perignat and Katz-Buonincontro 2019 ). In particular, within the framework of STEAM education, the ‘A’ should be viewed as a broad concept that represents arts and humanities (A&H) (Herro and Quigley 2016 ; de la Garza 2021 , Park and Cho 2022 ). This conceptualization emphasizes the need to include humanities subjects alongside arts (Herro and Quigley 2016 ; de la Garza 2021 ; Park and Cho 2022 ). Sanz-Camarero et al. ( 2023 ) listed some important fields of A&H, including physical arts, fine arts, manual arts, sociology, politics, philosophy, history, psychology and so on.

In general, STEM education does not necessarily entail the inclusion of all STEM disciplines collectively (Ozkan and Umdu Topsakal 2021 ), and this principle also applies to STEAM education (Gates 2017 ; Perignat and Katz-Buonincontro 2019 ; Quigley et al. 2017 ; Smith and Paré 2016 ). As an illustration, Smith and Paré ( 2016 ) described a STEAM activity in which pottery (representing A&H) and mathematics were integrated, while other STEAM elements such as science, technology and engineering were not included. In our study, STEAM education is conceptualized as an interdisciplinary approach that involves the integration of one or more components of A&H into one or more STEM school subjects within educational activities (Ozkan and Umdu Topsakal 2021 ; Vaziri and Bradburn 2021 ). Notably, interdisciplinary collaboration entails integrating one or more elements from arts and humanities (A&H) with one or more STEM school subjects, cohesively united by a shared theme while maintaining their distinct identities (Perignat and Katz-Buonincontro 2019 ).

In our teacher professional development programs, we help mathematics, technology, and science pre-service teachers integrate one component of A&H into their disciplinary-based teaching practices. For instance, we help mathematics teachers integrate history (a component of A&H) into mathematics teaching. In other words, in our study, integrating A&H into STEM teaching (IAT) can be defined as integrating one component of A&H into the teaching of one of the STEM school subjects. The components of A&H and the STEM school subject are brought together under a common theme, but each of them remains discrete. Engineering is not taught as an individual subject in the K-12 curriculum in mainland China. Therefore, A&H is not integrated into engineering teaching in our teacher professional development programs.

Self-efficacy and teacher self-efficacy

Self-efficacy was initially introduced by Bandura ( 1977 ) as a key concept within his social cognitive theory. Bandura ( 1997 ) defined self-efficacy as “people’s beliefs about their capabilities to produce designated levels of performance that exercise influence over events that affect their lives” (p. 71). Based on Bandura’s ( 1977 ) theory, Tschannen-Moran et al. ( 1998 ) defined the concept of teacher self-efficacy Footnote 1 as “a teacher’s belief in her or his ability to organize and execute the courses of action required to successfully accomplish a specific teaching task in a particular context” (p. 233). Blonder et al. ( 2014 ) pointed out that this definition implicitly included teachers’ judgment of their ability to bring about desired outcomes in terms of students’ engagement and learning. Moreover, OECD ( 2018 ) defined teacher self-efficacy as “the beliefs that teachers have of their ability to enact certain teaching behavior that influences students’ educational outcomes, such as achievement, interest, and motivation” (p. 51). This definition explicitly included two dimensions: teachers’ judgment of the ability related to their teaching performance (i.e., enacting certain teaching behavior) and their influence on student outcomes.

It is argued that teacher self-efficacy should not be regarded as a general or overarching construct (Zee et al. 2017 ; Zee and Koomen 2016 ). Particularly, in the performance-driven context of China, teachers always connect their beliefs in their professional capabilities with the educational outcomes of their students (Liu et al. 2018 ). Therefore, we operationally conceptualize teacher self-efficacy as having two dimensions: self-efficacy in individual performance and student outcomes (see Table 1 ).

Most importantly, given its consistent association with actual teaching performance and student outcomes (Bray-Clark and Bates 2003 ; Kelley et al. 2020 ), teacher self-efficacy is widely regarded as a pivotal indicator of teacher success (Kelley et al. 2020 ). Moreover, the enhancement of teaching self-efficacy reflects the effectiveness of teacher professional development programs (Bray-Clark and Bates 2003 ; Kelley et al. 2020 ; Wong et al. 2022 ; Zhou et al. 2023 ). For instance, Zhou et al. ( 2023 ) claimed that in STEM teacher education, effective teacher professional development programs should bolster teachers’ self-efficacy “in teaching the content in the STEM discipline” (p. 2).

It has been documented that teachers frequently experience diminished confidence and comfort when teaching subject areas beyond their expertise (Kelley et al. 2020 ; Stohlmann et al. 2012 ). This diminished confidence extends to their self-efficacy in implementing interdisciplinary teaching approaches, such as integrated STEM teaching and IAT (Kelley et al. 2020 ). For instance, Geng et al. ( 2019 ) found that STEM teachers in Hong Kong exhibited low levels of self-efficacy, with only 5.53% of teachers rating their overall self-efficacy in implementing STEM education as higher than a score of 4 out of 5. Additionally, Hunter-Doniger and Sydow ( 2016 ) found that teachers may experience apprehension and lack confidence when incorporating A&H elements into the classroom context, particularly within the framework of IAT. Considering the critical importance of teacher self-efficacy in STEM and STEAM education (Kelley et al. 2020 ; Zakariya, 2020 ; Zhou et al. 2023 ), it is necessary to explore effective measures, frameworks and teacher professional development programs to help teachers improve their self-efficacy regarding interdisciplinary teaching (e.g., IAT).

Teacher professional learning models

The relationship between teachers’ professional learning and students’ outcomes (such as achievements, skills and attitudes) has been a subject of extensive discussion and research for many years (Clarke and Hollingsworth 2002 ). For instance, Clarke and Hollingsworth ( 2002 ) proposed and validated the Interconnected Model of Professional Growth, which illustrates that teacher professional development is influenced by the interaction among four interconnected domains: the personal domain (teacher knowledge, beliefs and attitudes), the domain of practice (professional experimentation), the domain of consequence (salient outcomes), and the external domain (sources of information, stimulus or support). Sancar et al. ( 2021 ) emphasized that teachers’ professional learning or development never occurs independently. In practice, this process is inherently intertwined with many variables, including student outcomes, in various ways (Sancar et al. 2021 ). However, many current teacher professional development programs exclude real in-class teaching and fail to establish a comprehensive link between teachers’ professional learning and student outcomes (Cai et al. 2020 ; Sancar et al. 2021 ). Sancar et al. ( 2021 ) claimed that exploring the complex relationships between teachers’ professional learning and student outcomes should be grounded in monitoring and evaluating real in-class teaching, rather than relying on teachers’ self-assessment. It is essential to understand these relationships from a holistic perspective within the context of real classroom teaching (Sancar et al. 2021 ). However, as Sancar et al. ( 2021 ) pointed out, such efforts in teacher education are often considered inadequate. Furthermore, in the field of STEAM education, such efforts are further exacerbated.

Cai et al. ( 2020 ) proposed a teacher professional learning model where student outcomes are emphasized. This model was developed based on Cai ( 2017 ), Philipp ( 2007 ) and Thompson ( 1992 ). It has also been used and justified in a series of teacher professional development programs (e.g., Calabrese et al. 2024 ; Hwang et al. 2024 ; Marco and Palatnik 2024 ; Örnek and Soylu 2021 ). The model posits that teachers typically increase their knowledge and modify their beliefs through professional teacher learning, subsequently improving their classroom instruction, enhancing teaching performance, and ultimately fostering improved student learning outcomes (Cai et al. 2020 ). Notably, this model can be updated in several aspects. Firstly, prior studies have exhibited the interplay between teacher knowledge and beliefs (e.g., Basckin et al. 2021 ; Taimalu and Luik 2019 ). This indicates that the increase in teacher knowledge and the change in teacher belief may not be parallel. The two processes can be intertwined. Secondly, the Interconnected Model of Professional Growth highlights that the personal domain and the domain of practice are interconnected (Clarke and Hollingsworth 2002 ). Liu et al. ( 2022 ) also confirmed that improvements in classroom instruction may, in turn, influence teacher beliefs. This necessitates a reconsideration of the relationships between classroom instruction, teacher knowledge and teacher beliefs in Cai et al.’s ( 2020 ) model. Thirdly, the Interconnected Model of Professional Growth also exhibits the connections between the domain of consequence and the personal domain (Clarke and Hollingsworth 2002 ). Hence, the improvement of learning outcomes may signify the end of teacher learning. For instance, students’ learning feedback may be a vital source of teacher self-efficacy (Bandura 1977 ). Therefore, the improvement of student outcomes may, in turn, affect teacher beliefs. The aforementioned arguments highlight the need for an updated model that integrates Cai et al.’s ( 2020 ) teacher professional learning model with Clarke and Hollingsworth’s ( 2002 ) Interconnected Model of Professional Growth. This integration may provide a holistic view of the teacher’s professional learning process, especially within the complex contexts of STEAM teacher education.

The framework for teacher professional development programs of integrating arts and humanities into STEM teaching

In this section, we present a framework for IAT teacher professional development programs, aiming to address the practical challenges associated with STEAM teaching implementation. Our framework incorporates the five features of effective teacher professional development programs outlined by Archibald et al. ( 2011 ), Cai et al. ( 2020 ), Darling-Hammond et al. ( 2017 ), Desimone and Garet ( 2015 ) and Roth et al. ( 2017 ). These features include: (a) alignment with shared goals (e.g., school, district, and national policies and practice), (b) emphasis on core content and modeling of teaching strategies for the content, (c) collaboration among teachers within a community, (d) adequate opportunities for active learning of new teaching strategies, and (e) embedded follow-up and continuous feedback. It is worth noting that two concepts, namely community of practice and lesson study, have been incorporated into our framework. Below, we delineate how these features are reflected in our framework.

(a) The Chinese government has issued a series of policies to facilitate STEAM education in K-12 schools (Jiang et al. 2021 ; Li and Chiang 2019 ; Lyu et al. 2024 ; Ro et al. 2022 ). The new curriculum standards released in 2022 mandate that all K-12 teachers implement interdisciplinary teaching, including STEAM education. Our framework for teacher professional development programs, which aims to help teachers integrate A&H into STEM teaching, closely aligns with these national policies and practices supporting STEAM education in K-12 schools.

(b) The core content of the framework is IAT. Specifically, as A&H is a broad concept, we divide it into several subcomponents, such as history, culture, and visual and performing arts (e.g., drama). We are implementing a series of teacher professional development programs to help mathematics, technology and science pre-service teachers integrate these subcomponents of A&H into their teaching Footnote 2 . Notably, pre-service teachers often lack teaching experience, making it challenging to master and implement new teaching strategies. Therefore, our framework provides five step-by-step stages designed to help them effectively model the teaching strategies of IAT.

(c) Our framework advocates for collaboration among teachers within a community of practice. Specifically, a community of practice is “a group of people who share an interest in a domain of human endeavor and engage in a process of collective learning that creates bonds between them” (Wenger et al. 2002 , p. 1). A teacher community of practice can be considered a group of teachers “sharing and critically observing their practices in growth-promoting ways” (Näykki et al. 2021 , p. 497). Long et al. ( 2021 ) claimed that in a teacher community of practice, members collaboratively share their teaching experiences and work together to address teaching problems. Our community of practice includes three types of members. (1) Mentors: These are professors and experts with rich experience in helping pre-service teachers practice IAT. (2) Pre-service teachers: Few have teaching experience before the teacher professional development programs. (3) In-service teachers: All in-service teachers are senior teachers with rich teaching experience. All the members work closely together to share and improve their IAT practice. Moreover, our community includes not only mentors and in-service teachers but also pre-service teachers. We encourage pre-service teachers to collaborate with experienced in-service teachers in various ways, such as developing IAT lesson plans, writing IAT case reports and so on. In-service teachers can provide cognitive and emotional support and share their practical knowledge and experience, which may significantly benefit the professional growth of pre-service teachers (Alwafi et al. 2020 ).

(d) Our framework offers pre-service teachers various opportunities to engage in lesson study, allowing them to actively design and implement IAT lessons. Based on the key points of effective lesson study outlined by Akiba et al. ( 2019 ), Ding et al. ( 2024 ), and Takahashi and McDougal ( 2016 ), our lesson study incorporates the following seven features. (1) Study of IAT materials: Pre-service teachers are required to study relevant IAT materials under the guidance of mentors. (2) Collaboration on lesson proposals: Pre-service teachers should collaborate with in-service teachers to develop comprehensive lesson proposals. (3) Observation and data collection: During the lesson, pre-service teachers are required to carefully observe and collect data on student learning and development. (4) Reflection and analysis: Pre-service teachers use the collected data to reflect on the lesson and their teaching effects. (5) Lesson revision and reteaching: If needed, pre-service teachers revise and reteach the lesson based on their reflections and data analysis. (6) Mentor and experienced in-service teacher involvement: Mentors and experienced in-service teachers, as knowledgeable others, are involved throughout the lesson study process. (7) Collaboration on reporting: Pre-service teachers collaborate with in-service teachers to draft reports and disseminate the results of the lesson study. Specifically, recognizing that pre-service teachers often lack teaching experience, we do not require them to complete all the steps of lesson study independently at once. Instead, we guide them through the lesson study process in a step-by-step manner, allowing them to gradually build their IAT skills and confidence. For instance, in Stage 1, pre-service teachers primarily focus on studying IAT materials. In Stage 2, they develop lesson proposals, observe and collect data, and draft reports. However, the implementation of IAT lessons is carried out by in-service teachers. This approach prevents pre-service teachers from experiencing failures due to their lack of teaching experience. In Stage 3, pre-service teachers implement, revise, and reteach IAT lessons, experiencing the lesson study process within a simulated environment. In Stage 4, pre-service teachers engage in lesson study in an actual classroom environment. However, their focus is limited to one micro-course during each lesson study session. It is not until the fifth stage that they experience a complete lesson study in an actual classroom environment.

(e) Our teacher professional development programs incorporate assessments specifically designed to evaluate pre-service teachers’ IAT practices. We use formative assessments to measure their understanding and application of IAT strategies. Pre-service teachers receive ongoing and timely feedback from peers, mentors, in-service teachers, and students, which helps them continuously refine their IAT practices throughout the program. Recognizing that pre-service teachers often have limited contact with real students and may not fully understand students’ learning needs, processes and outcomes, our framework requires them to actively collect and analyze student feedback. By doing so, they can make informed improvements to their instructional practice based on student feedback.

After undergoing three rounds of theoretical and practical testing and revision over the past five years, we have successfully finalized the optimization of the framework design (Zhou 2021 ). Throughout each cycle, we collected feedback from both participants and researchers on at least three occasions. Subsequently, we analyzed this feedback and iteratively refined the framework. For example, we enlisted the participation of in-service teachers to enhance the implementation of STEAM teaching, extended practice time through micro-teaching sessions, and introduced a stage of micro-course development within the framework to provide more opportunities for pre-service teachers to engage with real teaching situations. In this process, we continuously improved the coherence between each stage of the framework, ensuring that they mutually complement one another. The five-stage framework is described as follows.

Stage 1 Literature study

Pre-service teachers are provided with a series of reading materials from A&H. On a weekly basis, two pre-service teachers are assigned to present their readings and reflections to the entire group, followed by critical discussions thereafter. Mentors and all pre-service teachers discuss and explore strategies for translating the original A&H materials into viable instructional resources suitable for classroom use. Subsequently, pre-service teachers select topics of personal interest for further study under mentor guidance.

Stage 2 Case learning

Given that pre-service teachers have no teaching experience, collaborative efforts between in-service teachers and pre-service teachers are undertaken to design IAT lesson plans. Subsequently, the in-service teachers implement these plans. Throughout this process, pre-service teachers are afforded opportunities to engage in lesson plan implementation. Figure 1 illustrates the role of pre-service teachers in case learning. In the first step, pre-service teachers read about materials related to A&H, select suitable materials, and report their ideas on IAT lesson design to mentors, in-service teachers, and fellow pre-service teachers.

Note: A&H refers to arts and humanities.

In the second step, they liaise with the in-service teachers responsible for implementing the lesson plan, discussing the integration of A&H into teaching practices. Pre-service teachers then analyze student learning objectives aligned with curriculum standards, collaboratively designing the IAT lesson plan with in-service teachers. Subsequently, pre-service teachers present lesson plans for feedback from mentors and other in-service teachers.

In the third step, pre-service teachers observe the lesson plan’s implementation, gathering and analyzing feedback from students and in-service teachers using an inductive approach (Merriam 1998 ). Feedback includes opinions on the roles and values of A&H, perceptions of the teaching effect, and recommendations for lesson plan implementation and modification. The second and third steps may iterate multiple times to refine the IAT lesson plan. In the fourth step, pre-service teachers consolidate all data, including various versions of teaching instructions, classroom videos, feedback, and discussion notes, composing reflection notes. Finally, pre-service teachers collaborate with in-service teachers to compile the IAT case report and submit it for publication.

Stage 3 Micro-teaching

Figure 2 illustrates the role of pre-service teachers in micro-teaching. Before entering the micro-classrooms Footnote 3 , all the discussions and communications occur within the pre-service teacher group, excluding mentors and in-service teachers. After designing the IAT lesson plan, pre-service teachers take turns implementing 40-min lesson plans in a simulated micro-classroom setting. Within this simulated environment, one pre-service teacher acts as the teacher, while others, including mentors, in-service teachers, and other fellow pre-service teachers, assume the role of students Footnote 4 . Following the simulated teaching, the implementer reviews the video of their session and self-assesses their performance. Subsequently, the implementer receives feedback from other pre-service teachers, mentors, and in-service teachers. Based on this feedback, the implementer revisits steps 2 and 3, revising the lesson plan and conducting the simulated teaching again. This iterative process typically repeats at least three times until the mentors, in-service teachers, and other pre-service teachers are satisfied with the implementation of the revised lesson plan. Finally, pre-service teachers complete reflection notes and submit a summary of their reflections on the micro-teaching experience. Each pre-service teacher is required to choose at least three topics and undergo at least nine simulated teaching sessions.

Stage 4 Micro-course development

While pre-service teachers may not have the opportunity to execute the whole lesson plans in real classrooms, they can design and create five-minute micro-courses Footnote 5 before class, subsequently presenting these videos to actual students. The process of developing micro-courses closely mirrors that of developing IAT cases in the case learning stage (see Fig. 1 ). However, in Step 3, pre-service teachers assume dual roles, not only as observers of IAT lesson implementation but also as implementers of a five-minute IAT micro-course.

Stage 5 Classroom teaching

Pre-service teachers undertake the implementation of IAT lesson plans independently, a process resembling micro-teaching (see Fig. 2 ). However, pre-service teachers engage with real school students in partner schools Footnote 6 instead of simulated classrooms. Furthermore, they collect feedback not only from the mentors, in-service teachers, and fellow pre-service teachers but also from real students.

To provide our readers with a better understanding of the framework, we provide meaningful vignettes of a pre-service teacher’s learning and teaching experiences in one of the teacher professional development programs based on the framework. In addition, we choose teacher self-efficacy as an indicator to assess the framework’s effectiveness, detailing the pre-service teacher’s changes in teacher self-efficacy.

Research design

Research method.

Teacher self-efficacy can be measured both quantitatively and qualitatively (Bandura 1986 , 1997 ; Lee and Bobko 1994 ; Soprano and Yang 2013 ; Unfried et al. 2022 ). However, researchers and theorists in the area of teacher self-efficacy have called for more qualitative and longitudinal studies (Klassen et al. 2011 ). As some critiques stated, most studies were based on correlational and cross-sectional data obtained from self-report surveys, and qualitative studies of teacher efficacy were overwhelmingly neglected (Henson 2002 ; Klassen et al. 2011 ; Tschannen-Moran et al. 1998 ; Xenofontos and Andrews 2020 ). There is an urgent need for more longitudinal studies to shed light on the development of teacher efficacy (Klassen et al. 2011 ; Xenofontos and Andrews 2020 ).

This study utilized a longitudinal qualitative case study methodology to delve deeply into the context (Jiang et al. 2021 ; Corden and Millar 2007 ; Dicks et al. 2023 ; Henderson et al. 2012 ; Matusovich et al. 2010 ; Shirani and Henwood 2011 ), presenting details grounded in real-life situations and analyzing the inner relationships rather than generalize findings about the change of a large group of pre-service teachers’ self-efficacy.

Participant

This study forms a component of a broader multi-case research initiative examining teachers’ professional learning in the STEAM teacher professional development programs in China (Jiang et al. 2021 ; Wang et al. 2018 ; Wang et al. 2024 ). Within this context, one participant, Shuitao (pseudonym), is selected and reported in this current study. Shuitao was a first-year graduate student at a first-tier Normal university in Shanghai, China. Normal universities specialize in teacher education. Her graduate major was mathematics curriculum and instruction. Teaching practice courses are offered to students in this major exclusively during their third year of study. The selection of Shuitao was driven by three primary factors. Firstly, Shuitao attended the entire teacher professional development program and actively engaged in nearly all associated activities. Table 2 illustrates the timeline of the five stages in which Shuitao was involved. Secondly, her undergraduate major was applied mathematics, which was not related to mathematics teaching Footnote 7 . She possessed no prior teaching experience and had not undergone any systematic study of IAT before her involvement in the teacher professional development program. Thirdly, her other master’s courses during her first two years of study focused on mathematics education theory and did not include IAT Footnote 8 . Additionally, she scarcely participated in any other teaching practice outside of the teacher professional development program. As a pre-service teacher, Shuitao harbored a keen interest in IAT. Furthermore, she discovered that she possessed fewer teaching skills compared to her peers who had majored in education during their undergraduate studies. Hence, she had a strong desire to enhance her teaching skills. Consequently, Shuitao decided to participate in our teacher professional development program.

Shuitao was grouped with three other first-year graduate students during the teacher professional development program. She actively collaborated with them at every stage of the program. For instance, they advised each other on their IAT lesson designs, observed each other’s IAT practice and offered constructive suggestions for improvement.

Research question

Shuitao was a mathematics pre-service teacher who participated in one of our teacher professional development programs, focusing on integrating history into mathematics teaching (IHT) Footnote 9 . Notably, this teacher professional development program was designed based on our five-stage framework for teacher professional development programs of IAT. To examine the impact of this teacher professional development program on Shuitao’s self-efficacy related to IHT, this case study addresses the following research question:

What changes in Shuitao’s self-efficacy in individual performance regarding integrating history into mathematics teaching (SE-IHT-IP) may occur through participation in the teacher professional development program?

What changes in Shuitao’s self-efficacy in student outcomes regarding integrating history into mathematics teaching (SE-IHT-SO) may occur through participation in the teacher professional development program?

Data collection and analysis

Before Shuitao joined the teacher professional development program, a one-hour preliminary interview was conducted to guide her in self-narrating her psychological and cognitive state of IHT.

During the teacher professional development program, follow-up unstructured interviews were conducted once a month with Shuitao. All discussions in the development of IHT cases were recorded, Shuitao’s teaching and micro-teaching were videotaped, and the reflection notes, journals, and summary reports written by Shuitao were collected.

After completing the teacher professional development program, Shuitao participated in a semi-structured three-hour interview. The objectives of this interview were twofold: to reassess her self-efficacy and to explore the relationship between her self-efficacy changes and each stage of the teacher professional development program.

Interview data, discussions, reflection notes, journals, summary reports and videos, and analysis records were archived and transcribed before, during, and after the teacher professional development program.

In this study, we primarily utilized data from seven interviews: one conducted before the teacher professional development program, five conducted after each stage of the program, and one conducted upon completion of the program. Additionally, we reviewed Shuitao’s five reflective notes, which were written after each stage, as well as her final summary report that encompassed the entire teacher professional development program.

Merriam’s ( 1998 ) approach to coding data and inductive approach to retrieving possible concepts and themes were employed using a seven-stage method. Considering theoretical underpinnings in qualitative research is common when interpreting data (Strauss and Corbin 1990 ). First, a list based on our conceptual framework of teacher self-efficacy (see Table 1 ) was developed. The list included two codes (i.e., SE-IHT-IP and SE-IHT-SO). Second, all data were sorted chronologically, read and reread to be better understood. Third, texts were coded into multi-colored highlighting and comment balloons. Fourth, the data for groups of meanings, themes, and behaviors were examined. How these groups were connected within the conceptual framework of teacher self-efficacy was confirmed. Fifth, after comparing, confirming, and modifying, the selective codes were extracted and mapped onto the two categories according to the conceptual framework of teacher self-efficacy. Accordingly, changes in SE-IHT-IP and SE-IHT-SO at the five stages of the teacher professional development program were identified, respectively, and then the preliminary findings came (Strauss and Corbin 1990 ). In reality, in Shuitao’s narratives, SE-IHT-IP and SE-IHT-SO were frequently intertwined. Through our coding process, we differentiated between SE-IHT-IP and SE-IHT-SO, enabling us to obtain a more distinct understanding of how these two aspects of teacher self-efficacy evolved over time. This helped us address the two research questions effectively.

Reliability and validity

Two researchers independently analyzed the data to establish inter-rater reliability. The inter-rater reliability was established as kappa = 0.959. Stake ( 1995 ) suggested that the most critical assertions in a study require the greatest effort toward confirmation. In this study, three methods served this purpose and helped ensure the validity of the findings. The first way to substantiate the statement about the changes in self-efficacy was by revisiting each transcript to confirm whether the participant explicitly acknowledged the changes (Yin 2003 ). Such a check was repeated in the analysis of this study. The second way to confirm patterns in the data was by examining whether Shuitao’s statements were replicated in separate interviews (Morris and Usher 2011 ). The third approach involved presenting the preliminary conclusions to Shuitao and affording her the opportunity to provide feedback on the data and conclusions. This step aimed to ascertain whether we accurately grasped the true intentions of her statements and whether our subjective interpretations inadvertently influenced our analysis of her statements. Additionally, data from diverse sources underwent analysis by at least two researchers, with all researchers reaching consensus on each finding.

As each stage of our teacher professional development programs spanned a minimum of three months, numerous documented statements regarding the enhancement of Shuitao’s self-efficacy regarding IHT were recorded. Notably, what we present here offers only a concise overview of findings derived from our qualitative analysis. The changes in Shuitao’s SE-IHT-IP and SE-IHT-SO are organized chronologically, delineating the period before and during the teacher professional development program.

Before the teacher professional development program: “I have no confidence in IHT”

Before the teacher professional development program, Shuitao frequently expressed her lack of confidence in IHT. On the one hand, Shuitao expressed considerable apprehension about her individual performance in IHT. “How can I design and implement IHT lesson plans? I do not know anything [about it]…” With a sense of doubt, confusion and anxiety, Shuitao voiced her lack of confidence in her ability to design and implement an IHT case that would meet the requirements of the curriculum standards. Regarding the reasons for her lack of confidence, Shuitao attributed it to her insufficient theoretical knowledge and practical experience in IHT:

I do not know the basic approaches to IHT that I could follow… it is very difficult for me to find suitable historical materials… I am very confused about how to organize [historical] materials logically around the teaching goals and contents… [Furthermore,] I am [a] novice, [and] I have no IHT experience.

On the other hand, Shuitao articulated very low confidence in the efficacy of her IHT on student outcomes:

I think my IHT will have a limited impact on student outcomes… I do not know any specific effects [of history] other than making students interested in mathematics… In fact, I always think it is difficult for [my] students to understand the history… If students cannot understand [the history], will they feel bored?

This statement suggests that Shuitao did not fully grasp the significance of IHT. In fact, she knew little about the educational significance of history for students, and she harbored no belief that her IHT approach could positively impact students. In sum, her SE-IHT-SO was very low.

After stage 1: “I can do well in the first step of IHT”

After Stage 1, Shuitao indicated a slight improvement in her confidence in IHT. She attributed this improvement to her acquisition of theoretical knowledge in IHT, the approaches for selecting history-related materials, and an understanding of the educational value of history.

One of Shuitao’s primary concerns about implementing IHT before the teacher professional development program was the challenge of sourcing suitable history-related materials. However, after Stage 1, Shuitao explicitly affirmed her capability in this aspect. She shared her experience of organizing history-related materials related to logarithms as an example.

Recognizing the significance of suitable history-related materials in effective IHT implementation, Shuitao acknowledged that conducting literature studies significantly contributed to enhancing her confidence in undertaking this initial step. Furthermore, she expressed increased confidence in designing IHT lesson plans by utilizing history-related materials aligned with teaching objectives derived from the curriculum standards. In other words, her SE-IHT-IP was enhanced. She said:

After experiencing multiple discussions, I gradually know more about what kinds of materials are essential and should be emphasized, what kinds of materials should be adapted, and what kinds of materials should be omitted in the classroom instructions… I have a little confidence to implement IHT that could meet the requirements [of the curriculum standards] since now I can complete the critical first step [of IHT] well…

However, despite the improvement in her confidence in IHT following Stage 1, Shuitao also expressed some concerns. She articulated uncertainty regarding her performance in the subsequent stages of the teacher professional development program. Consequently, her confidence in IHT experienced only a modest increase.

After stage 2: “I participate in the development of IHT cases, and my confidence is increased a little bit more”

Following Stage 2, Shuitao reported further increased confidence in IHT. She attributed this growth to two main factors. Firstly, she successfully developed several instructional designs for IHT through collaboration with in-service teachers. These collaborative experiences enabled her to gain a deeper understanding of IHT approaches and enhance her pedagogical content knowledge in this area, consequently bolstering her confidence in her ability to perform effectively. Secondly, Shuitao observed the tangible impact of IHT cases on students in real classroom settings, which reinforced her belief in the efficacy of IHT. These experiences instilled in her a greater sense of confidence in her capacity to positively influence her students through her implementation of IHT. Shuitao remarked that she gradually understood how to integrate suitable history-related materials into her instructional designs (e.g., employ a genetic approach Footnote 10 ), considering it as the second important step of IHT. She shared her experience of developing IHT instructional design on the concept of logarithms. After creating several iterations of IHT instructional designs, Shuitao emphasized that her confidence in SE-IHT-IP has strengthened. She expressed belief in her ability to apply these approaches to IHT, as well as the pedagogical content knowledge of IHT, acquired through practical experience, in her future teaching endeavors. The following is an excerpt from the interview:

I learned some effective knowledge, skills, techniques and approaches [to IHT]… By employing these approaches, I thought I could [and] I had the confidence to integrate the history into instructional designs very well… For instance, [inspired] by the genetic approach, we designed a series of questions and tasks based on the history of logarithms. The introduction of the new concept of logarithms became very natural, and it perfectly met the requirements of our curriculum standards, [which] asked students to understand the necessity of learning the concept of logarithms…

Shuitao actively observed the classroom teaching conducted by her cooperating in-service teacher. She helped her cooperating in-service teacher in collecting and analyzing students’ feedback. Subsequently, discussions ensued on how to improve the instructional designs based on this feedback. The refined IHT instructional designs were subsequently re-implemented by the in-service teacher. After three rounds of developing IHT cases, Shuitao became increasingly convinced of the significance and efficacy of integrating history into teaching practices, as evidenced by the following excerpt:

The impacts of IHT on students are visible… For instance, more than 93% of the students mentioned in the open-ended questionnaires that they became more interested in mathematics because of the [historical] story of Napier… For another example, according to the results of our surveys, more than 75% of the students stated that they knew log a ( M  +  N ) = log a M  × log a N was wrong because of history… I have a little bit more confidence in the effects of my IHT on students.

This excerpt highlights that Shuitao’s SE-IHT-SO was enhanced. She attributed this enhancement to her realization of the compelling nature of history and her belief in her ability to effectively leverage its power to positively influence her students’ cognitive and emotional development. This also underscores the importance of reinforcing pre-service teachers’ awareness of the significance of history. Nonetheless, Shuiato elucidated that she still retained concerns regarding the effectiveness of her IHT implementation. Her following statement shed light on why her self-efficacy only experienced a marginal increase in this stage:

Knowing how to do it successfully and doing it successfully in practice are two totally different things… I can develop IHT instructional designs well, but I have no idea whether I can implement them well and whether I can introduce the history professionally in practice… My cooperation in-service teacher has a long history of teaching mathematics and gains rich experience in educational practices… If I cannot acquire some required teaching skills and capabilities, I still cannot influence my students powerfully.

After stage 3: “Practice makes perfect, and my SE-IHT-IP is steadily enhanced after a hit”

After successfully developing IHT instructional designs, the next critical step was the implementation of these designs. Drawing from her observations of her cooperating in-service teachers’ IHT implementations and discussions with other pre-service teachers, Shuitao developed her own IHT lesson plans. In Stage 3, she conducted simulated teaching sessions and evaluated her teaching performance ten times Footnote 11 . Shuitao claimed that her SE-IHT-IP steadily improved over the course of these sessions. According to Shuitao, two main processes in Stage 3 facilitated this steady enhancement of SE-IHT-IP.

On the one hand, through the repeated implementation of simulated teaching sessions, Shuitao’s teaching proficiency and fluency markedly improved. Shuitao first described the importance of teaching proficiency and fluency:

Since the detailed history is not included in our curriculum standards and textbooks, if I use my historical materials in class, I have to teach more contents than traditional teachers. Therefore, I have to teach proficiently so that teaching pace becomes a little faster than usual… I have to teach fluently so as to use each minute efficiently in my class. Otherwise, I cannot complete the teaching tasks required [by curriculum standards].

As Shuitao said, at the beginning of Stage 3, her self-efficacy even decreased because she lacked teaching proficiency and fluency and was unable to complete the required teaching tasks:

In the first few times of simulated teaching, I always needed to think for a second about what I should say next when I finish one sentence. I also felt very nervous when I stood in the front of the classrooms. This made my narration of the historical story between Briggs and Napier not fluent at all. I paused many times to look for some hints on my notes… All these made me unable to complete the required teaching tasks… My [teaching] confidence took a hit.

Shuitao quoted the proverb, “practice makes perfect”, and she emphasized that it was repeated practice that improved her teaching proficiency and fluency:

I thought I had no other choice but to practice IHT repeatedly… [At the end of Stage 3,] I could naturally remember most words that I should say when teaching the topics that I selected… My teaching proficiency and fluency was improved through my repeated review of my instructional designs and implementation of IHT in the micro-classrooms… With the improvement [of my teaching proficiency and fluency], I could complete the teaching tasks, and my confidence was increased as well.

In addition, Shuitao also mentioned that through this kind of self-exploration in simulated teaching practice, her teaching skills and capabilities (e.g., blackboard writing, abilities of language organization abilities, etc.) improved. This process was of great help to her enhancement of SE-IHT-IP.

On the other hand, Shuitao’s simulated teaching underwent assessment by herself, with mentors, in-service teachers and fellow pre-service teachers. This comprehensive evaluation process played a pivotal role in enhancing her individual performance and self-efficacy. Reflecting on this aspect, Shuitao articulated the following sentiments in one of her reflection reports:

By watching the videos, conducting self-assessment, and collecting feedback from others, I can understand what I should improve or emphasize in my teaching. [Then,] I think my IHT can better meet the requirements [of curriculum standards]… I think my teaching performance is getting better and better.

After stage 4: “My micro-courses influenced students positively, and my SE-IHT-SO is steadily enhanced”

In Stage 4, Shuitao commenced by creating 5-min micro-course videos. Subsequently, she played these videos in her cooperating in-service teachers’ authentic classroom settings and collected student feedback. This micro-course was played at the end of her cooperating in-service teachers’ lesson Footnote 12 . Shuitao wrote in her reflections that this micro-course of logarithms helped students better understand the nature of mathematics:

According to the results of our surveys, many students stated that they knew the development and evolution of the concept of logarithms is a long process and many mathematicians from different countries have contributed to the development of the concept of logarithms… This indicated that my micro-course helped students better understand the nature of mathematics… My micro-course about the history informed students that mathematics is an evolving and human subject and helped them understand the dynamic development of the [mathematics] concept…

Meanwhile, Shuitao’s micro-course positively influenced some students’ beliefs towards mathematics. As evident from the quote below, integrating historical context into mathematics teaching transformed students’ perception of the subject, boosting Shuitao’s confidence too.

Some students’ responses were very exciting… [O]ne [typical] response stated, he always regarded mathematics as abstract, boring, and dreadful subject; but after seeing the photos of mathematicians and great men and learning the development of the concept of logarithms through the micro-course, he found mathematics could be interesting. He wanted to learn more the interesting history… Students’ such changes made me confident.

Furthermore, during post-class interviews, several students expressed their recognition of the significance of the logarithms concept to Shuitao, attributing this realization to the insights provided by prominent figures in the micro-courses. They also conveyed their intention to exert greater effort in mastering the subject matter. This feedback made Shuitao believe that her IHT had the potential to positively influence students’ attitudes towards learning mathematics.

In summary, Stage 4 marked Shuitao’s first opportunity to directly impact students through her IHT in authentic classroom settings. Despite implementing only brief 5-min micro-courses integrating history during each session, the effectiveness of her short IHT implementation was validated by student feedback. Shuitao unequivocally expressed that students actively engaged with her micro-courses and that these sessions positively influenced them, including attitudes and motivation toward mathematics learning, understanding of mathematics concepts, and beliefs regarding mathematics. These collective factors contributed to a steady enhancement of her confidence in SE-IHT-SO.

After stage 5: “My overall self-efficacy is greatly enhanced”

Following Stage 5, Shuitao reported a significant increase in her overall confidence in IHT, attributing it to gaining mastery through successful implementations of IHT in real classroom settings. On the one hand, Shuitao successfully designed and executed her IHT lesson plans, consistently achieving the teaching objectives mandated by curriculum standards. This significantly enhanced her SE-IHT-IP. On the other hand, as Shuitao’s IHT implementation directly influenced her students, her confidence in SE-IHT-SO experienced considerable improvement.

According to Bandura ( 1997 ), mastery experience is the most powerful source of self-efficacy. Shuitao’s statements confirmed this. As she claimed, her enhanced SE-IHT-IP in Stage 5 mainly came from the experience of successful implementations of IHT in real classrooms:

[Before the teacher professional development program,] I had no idea about implementing IHT… Now, I successfully implemented IHT in senior high school [classrooms] many times… I can complete the teaching tasks and even better completed the teaching objectives required [by the curriculum standards]… The successful experience greatly enhances my confidence to perform well in my future implementation of IHT… Yeah, I think the successful teaching practice experience is the strongest booster of my confidence.

At the end of stage 5, Shuitao’s mentors and in-service teachers gave her a high evaluation. For instance, after Shuitao’s IHT implementation of the concept of logarithms, all mentors and in-service teachers consistently provided feedback that her IHT teaching illustrated the necessity of learning the concept of logarithms and met the requirements of the curriculum standards very well. This kind of verbal persuasion (Bandura 1997 ) enhanced her SE-IHT-IP.

Similarly, Shuitao’s successful experience of influencing students positively through IHT, as one kind of mastery experience, powerfully enhanced her SE-IHT-SO. She described her changes in SE-IHT-SO as follows:

I could not imagine my IHT could be so influential [before]… But now, my IHT implementation directly influenced students in so many aspects… When I witnessed students’ real changes in various cognitive and affective aspects, my confidence was greatly improved.

Shuitao described the influence of her IHT implementation of the concept of logarithms on her students. The depiction is grounded in the outcomes of surveys conducted by Shuitao following her implementation. Shuitao asserted that these results filled her with excitement and confidence regarding her future implementation of IHT.

In summary, following Stage 5 of the teacher professional development program, Shuitao experienced a notable enhancement in her overall self-efficacy, primarily attributed to her successful practical experience in authentic classroom settings during this stage.

A primary objective of our teacher professional development programs is to equip pre-service teachers with the skills and confidence needed to effectively implement IAT. Our findings show that one teacher professional development program, significantly augmented a participant’s TSE-IHT across two dimensions: individual performance and student outcomes. Considering the pressing need to provide STEAM teachers with effective professional training (e.g., Boice et al. 2021 ; Duong et al. 2024 ; Herro et al. 2019 ; Jacques et al. 2020 ; Park and Cho 2022 ; Perignat and Katz-Buonincontro 2019 ), the proposed five-stage framework holds significant promise in both theoretical and practical realms. Furthermore, this study offers a viable solution to address the prevalent issue of low levels of teacher self-efficacy in interdisciplinary teaching, including IAT, which is critical in STEAM education (Zhou et al. 2023 ). This study holds the potential to make unique contributions to the existing body of literature on teacher self-efficacy, teacher professional learning models and the design of teacher professional development programs of IAT.

Firstly, this study enhances our understanding of the development of teacher self-efficacy. Our findings further confirm the complexity of the development of teacher self-efficacy. On the one hand, the observed enhancement of the participant’s teacher self-efficacy did not occur swiftly but unfolded gradually through a protracted, incremental process. Moreover, it is noteworthy that the participant’s self-efficacy exhibited fluctuations, underscoring that the augmentation of teacher self-efficacy is neither straightforward nor linear. On the other hand, the study elucidated that the augmentation of teacher self-efficacy constitutes an intricate, multi-level system that interacts with teacher knowledge, skills, and other beliefs. This finding resonates with prior research on teacher self-efficacy (Morris et al. 2017 ; Xenofontos and Andrews 2020 ). For example, our study revealed that Shuitao’s enhancement of SE-IHT-SO may always be interwoven with her continuous comprehension of the significance of the A&H in classroom settings. Similarly, the participant progressively acknowledged the educational value of A&H in classroom contexts in tandem with the stepwise enhancement of SE-IHT-SO. Factors such as the participant’s pedagogical content knowledge of IHT, instructional design, and teaching skills were also identified as pivotal components of SE-IHT-IP. This finding corroborates Morris and Usher ( 2011 ) assertion that sustained improvements in self-efficacy stem from developing teachers’ skills and knowledge. With the bolstering of SE-IHT-IP, the participant’s related teaching skills and content knowledge also exhibited improvement.

Methodologically, many researchers advocate for qualitative investigations into self-efficacy (e.g., Philippou and Pantziara 2015; Klassen et al. 2011 ; Wyatt 2015 ; Xenofontos and Andrews 2020 ). While acknowledging limitations in sample scope and the generalizability of the findings, this study offers a longitudinal perspective on the stage-by-stage development of teacher self-efficacy and its interactions with different factors (i.e., teacher knowledge, skills, and beliefs), often ignored by quantitative studies. Considering that studies of self-efficacy have been predominantly quantitative, typically drawing on survey techniques and pre-determined scales (Xenofontos and Andrews, 2020 ; Zhou et al. 2023 ), this study highlights the need for greater attention to qualitative studies so that more cultural, situational and contextual factors in the development of self-efficacy can be captured.

Our study provides valuable practical implications for enhancing pre-service teachers’ self-efficacy. We conceptualize teacher self-efficacy in two primary dimensions: individual performance and student outcomes. On the one hand, pre-service teachers can enhance their teaching qualities, boosting their self-efficacy in individual performance. The adage “practice makes perfect” underscores the necessity of ample teaching practice opportunities for pre-service teachers who lack prior teaching experience. Engaging in consistent and reflective practice helps them develop confidence in their teaching qualities. On the other hand, pre-service teachers should focus on positive feedback from their students, reinforcing their self-efficacy in individual performance. Positive student feedback serves as an affirmation of their teaching effectiveness and encourages continuous improvement. Furthermore, our findings highlight the significance of mentors’ and peers’ positive feedback as critical sources of teacher self-efficacy. Mentors and peers play a pivotal role in the professional growth of pre-service teachers by actively encouraging them and recognizing their teaching achievements. Constructive feedback from experienced mentors and supportive peers fosters a collaborative learning environment and bolsters the self-confidence of pre-service teachers. Additionally, our research indicates that pre-service teachers’ self-efficacy may fluctuate. Therefore, mentors should be prepared to help pre-service teachers manage teaching challenges and setbacks, and alleviate any teaching-related anxiety. Mentors can help pre-service teachers build resilience and maintain a positive outlook on their teaching journey through emotional support and guidance. Moreover, a strong correlation exists between teacher self-efficacy and teacher knowledge and skills. Enhancing pre-service teachers’ knowledge base and instructional skills is crucial for bolstering their overall self-efficacy.

Secondly, this study also responds to the appeal to understand teachers’ professional learning from a holistic perspective and interrelate teachers’ professional learning process with student outcome variables (Sancar et al. 2021 ), and thus contributes to the understanding of the complexity of STEAM teachers’ professional learning. On the one hand, we have confirmed Cai et al.’s ( 2020 ) teacher professional learning model in a new context, namely STEAM teacher education. Throughout the teacher professional development program, the pre-service teacher, Shuitao, demonstrated an augmentation in her knowledge, encompassing both content knowledge and pedagogical understanding concerning IHT. Moreover, her beliefs regarding IHT transformed as a result of her engagement in teacher learning across the five stages. This facilitated her in executing effective IHT teaching and improving her students’ outcomes. On the other hand, notably, in our studies (including this current study and some follow-up studies), student feedback is a pivotal tool to assist teachers in discerning the impact they are effectuating. This enables pre-service teachers to grasp the actual efficacy of their teaching efforts and subsequently contributes significantly to the augmentation of their self-efficacy. Such steps have seldom been conducted in prior studies (e.g., Cai et al. 2020 ), where student outcomes are often perceived solely as the results of teachers’ instruction rather than sources informing teacher beliefs. Additionally, this study has validated both the interaction between teaching performance and teacher beliefs and between teacher knowledge and teacher beliefs. These aspects were overlooked in Cai et al.’s ( 2020 ) model. More importantly, while Clarke and Hollingsworth’s ( 2002 ) Interconnected Model of Professional Growth illustrates the connections between the domain of consequence and the personal domain, as well as between the personal domain and the domain of practice, it does not adequately clarify the complex relationships among the factors within the personal domain (e.g., the interaction between teacher knowledge and teacher beliefs). Therefore, our study also supplements Clarke and Hollingsworth’s ( 2002 ) model by addressing these intricacies. Based on our findings, an updated model of teacher professional learning has been proposed, as shown in Fig. 3 . This expanded model indicates that teacher learning should be an ongoing and sustainable process, with the enhancement of student learning not marking the conclusion of teacher learning, but rather serving as the catalyst for a new phase of learning. In this sense, we advocate for further research to investigate the tangible impacts of teacher professional development programs on students and how those impacts stimulate subsequent cycles of teacher learning.

Note: Paths in blue were proposed by Cai et al. ( 2020 ), and paths in yellow are proposed and verified in this study.

Thirdly, in light of the updated model of teacher professional learning (see Fig. 3 ), this study provides insights into the design of teacher professional development programs of IAT. According to Huang et al. ( 2022 ), to date, very few studies have set goals to “develop a comprehensive understanding of effective designs” for STEM (or STEAM) teacher professional development programs (p. 15). To fill this gap, this study proposes a novel and effective five-stage framework for teacher professional development programs of IAT. This framework provides a possible and feasible solution to the challenges of STEAM teacher professional development programs’ design and planning, and teachers’ IAT practice (Boice et al. 2021 ; Herro et al. 2019 ; Jacques et al. 2020 ; Park and Cho 2022 ; Perignat and Katz-Buonincontro 2019 ).

Specifically, our five-stage framework incorporates at least six important features. Firstly, teacher professional development programs should focus on specific STEAM content. Given the expansive nature of STEAM, teacher professional development programs cannot feasibly encompass all facets of its contents. Consistent with recommendations by Cai et al. ( 2020 ), Desimone et al. ( 2002 ) and Garet et al. ( 2001 ), an effective teacher professional development program should prioritize content focus. Our five-stage framework is centered on IAT. Throughout an 18-month duration, each pre-service teacher is limited to selecting one subcomponent of A&H, such as history, for integration into their subject teaching (i.e., mathematics teaching, technology teaching or science teaching) within one teacher professional development program. Secondly, in response to the appeals that teacher professional development programs should shift from emphasizing teaching and instruction to emphasizing student learning (Cai et al. 2020 ; Calabrese et al. 2024 ; Hwang et al. 2024 ; Marco and Palatnik 2024 ; Örnek and Soylu 2021 ), our framework requires pre-service teachers to pay close attention to the effects of IAT on student learning outcomes, and use students’ feedback as the basis of improving their instruction. Thirdly, prior studies found that teacher education with a preference for theory led to pre-service teachers’ dissatisfaction with the quality of teacher professional development program and hindered the development of pre-service teachers’ teaching skills and teaching beliefs, which also widened the gap between theory and practice (Hennissen et al. 2017 ; Ord and Nuttall 2016 ). In this regard, our five-stage framework connects theory and teaching practice closely. In particular, pre-service teachers can experience the values of IAT not only through theoretical learning but also through diverse teaching practices. Fourthly, we build a teacher community of practice tailored for pre-service teachers. Additionally, we aim to encourage greater participation of in-service teachers in such teacher professional development programs designed for pre-service educators in STEAM teacher education. By engaging in such programs, in-service teachers can offer valuable teaching opportunities for pre-service educators and contribute their insights and experiences from teaching practice. Importantly, pre-service teachers stand to gain from the in-service teachers’ familiarity with textbooks, subject matter expertise, and better understanding of student dynamics. Fifthly, our five-stage framework lasts for an extended period, spanning 18 months. This duration ensures that pre-service teachers engage in a sustained and comprehensive learning journey. Lastly, our framework facilitates a practical understanding of “integration” by offering detailed, sequential instructions for blending two disciplines in teaching. For example, our teacher professional development programs prioritize systematic learning of pedagogical theories and simulated teaching experiences before pre-service teachers embark on real STEAM teaching endeavors. This approach is designed to mitigate the risk of unsuccessful experiences during initial teaching efforts, thereby safeguarding pre-service teachers’ teacher self-efficacy. Considering the complexity of “integration” in interdisciplinary teaching practices, including IAT (Han et al. 2022 ; Ryu et al. 2019 ), we believe detailed stage-by-stage and step-by-step instructions are crucial components of relevant pre-service teacher professional development programs. Notably, this aspect, emphasizing structural instructional guidance, has not been explicitly addressed in prior research (e.g., Cai et al. 2020 ). Figure 4 illustrates the six important features outlined in this study, encompassing both established elements and the novel addition proposed herein, describing an effective teacher professional development program.

Note: STEAM refers to science, technology, engineering, arts and humanities, and mathematics.

The successful implementation of this framework is also related to the Chinese teacher education system and cultural background. For instance, the Chinese government has promoted many university-school collaboration initiatives, encouraging in-service teachers to provide guidance and practical opportunities for pre-service teachers (Lu et al. 2019 ). Influenced by Confucian values emphasizing altruism, many experienced in-service teachers in China are eager to assist pre-service teachers, helping them better realize their teaching career aspirations. It is reported that experienced in-service teachers in China show significantly higher motivation than their international peers when mentoring pre-service teachers (Lu et al. 2019 ). Therefore, for the successful implementation of this framework in other countries, it is crucial for universities to forge close collaborative relationships with K-12 schools and actively involve K-12 teachers in pre-service teacher education.

Notably, approximately 5% of our participants dropped out midway as they found that the IAT practice was too challenging or felt overwhelmed by the number of required tasks in the program. Consequently, we are exploring options to potentially simplify this framework in future iterations.

Without minimizing the limitations of this study, it is important to recognize that a qualitative longitudinal case study can be a useful means of shedding light on the development of a pre-service STEAM teacher’s self-efficacy. However, this methodology did not allow for a pre-post or a quasi-experimental design, and the effectiveness of our five-stage framework could not be confirmed quantitatively. In the future, conducting more experimental or design-based studies could further validate the effectiveness of our framework and broaden our findings. Furthermore, future studies should incorporate triangulation methods and utilize multiple data sources to enhance the reliability and validity of the findings. Meanwhile, owing to space limitations, we could only report the changes in Shuitao’s SE-IHT-IP and SE-IHT-SO here, and we could not describe the teacher self-efficacy of other participants regarding IAT. While nearly all of the pre-service teachers experienced an improvement in their teacher self-efficacy concerning IAT upon participating in our teacher professional development programs, the processes of their change were not entirely uniform. We will need to report the specific findings of these variations in the future. Further studies are also needed to explore the factors contributing to these variations. Moreover, following this study, we are implementing more teacher professional development programs of IAT. Future studies can explore the impact of this framework on additional aspects of pre-service STEAM teachers’ professional development. This will help gain a more comprehensive understanding of its effectiveness and potential areas for further improvement. Additionally, our five-stage framework was initially developed and implemented within the Chinese teacher education system. Future research should investigate how this framework can be adapted in other educational systems and cultural contexts.

The impetus behind this study stems from the burgeoning discourse advocating for the integration of A&H disciplines into STEM education on a global scale (e.g., Land 2020 ; Park and Cho 2022 ; Uştu et al. 2021 ; Vaziri and Bradburn 2021 ). Concurrently, there exists a pervasive concern regarding the challenges teachers face in implementing STEAM approaches, particularly in the context of IAT practices (e.g., Boice et al. 2021 ; Herro et al. 2019 ; Jacques et al. 2020 ; Park and Cho 2022 ; Perignat and Katz-Buonincontro 2019 ). To tackle this challenge, we first proposed a five-stage framework designed for teacher professional development programs of IAT. Then, utilizing this innovative framework, we implemented a series of teacher professional development programs. Drawing from the recommendations of Bray-Clark and Bates ( 2003 ), Kelley et al. ( 2020 ) and Zhou et al. ( 2023 ), we have selected teacher self-efficacy as a key metric to examine the effectiveness of the five-stage framework. Through a qualitative longitudinal case study, we scrutinized the influence of a specific teacher professional development program on the self-efficacy of a single pre-service teacher over an 18-month period. Our findings revealed a notable enhancement in teacher self-efficacy across both individual performance and student outcomes. The observed enhancement of the participant’s teacher self-efficacy did not occur swiftly but unfolded gradually through a prolonged, incremental process. Building on our findings, an updated model of teacher learning has been proposed. The updated model illustrates that teacher learning should be viewed as a continuous and sustainable process, wherein teaching performance, teacher beliefs, and teacher knowledge dynamically interact with one another. The updated model also confirms that teacher learning is inherently intertwined with student learning in STEAM education. Furthermore, this study also summarizes effective design features of STEAM teacher professional development programs.

Data availability

The datasets generated and/or analyzed during this study are not publicly available due to general data protection regulations, but are available from the corresponding author on reasonable request.

In their review article, Morris et al. ( 2017 ) equated “teaching self-efficacy” and “teacher self-efficacy” as synonymous concepts. This perspective is also adopted in this study.

An effective teacher professional development program should have specific, focused, and clear content instead of broad and scattered ones. Therefore, each pre-service teacher can only choose to integrate one subcomponent of A&H into their teaching in one teacher professional development program. For instance, Shuitao, a mathematics pre-service teacher, participated in one teacher professional development program focused on integrating history into mathematics teaching. However, she did not explore the integration of other subcomponents of A&H into her teaching during her graduate studies.

In the micro-classrooms, multi-angle, and multi-point high-definition video recorders are set up to record the teaching process.

In micro-teaching, mentors, in-service teachers, and other fellow pre-service teachers take on the roles of students.

In China, teachers can video record one section of a lesson and play them in formal classes. This is a practice known as a micro-course. For instance, in one teacher professional development program of integrating history into mathematics teaching, micro-courses encompass various mathematics concepts, methods, ideas, history-related material and related topics. Typically, teachers use these micro-courses to broaden students’ views, foster inquiry-based learning, and cultivate critical thinking skills. Such initiatives play an important role in improving teaching quality.

Many university-school collaboration initiatives in China focus on pre-service teachers’ practicum experiences (Lu et al. 2019 ). Our teacher professional development program is also supported by many K-12 schools in Shanghai. Personal information in videos is strictly protected.

In China, students are not required to pursue a graduate major that matches their undergraduate major. Most participants in our teacher professional development programs did not pursue undergraduate degrees in education-related fields.

Shuitao’s university reserves Wednesday afternoons for students to engage in various programs or clubs, as classes are not scheduled during this time. Similarly, our teacher professional development program activities are planned for Wednesday afternoons to avoid overlapping with participants’ other coursework commitments.

History is one of the most important components of A&H (Park and Cho 2022 ).

To learn more about genetic approach (i.e., genetic principle), see Jankvist ( 2009 ).

For the assessment process, see Fig. 2 .

Shuitao’s cooperating in-service teacher taught the concept of logarithms in Stage 2. In Stage 4, the teaching objective of her cooperating in-service teacher’s review lesson was to help students review the concept of logarithms to prepare students for the final exam.

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Acknowledgements

This research is funded by 2021 National Natural Science Foundation of China (Grant No.62177042), 2024 Zhejiang Provincial Natural Science Foundation of China (Grant No. Y24F020039), and 2024 Zhejiang Educational Science Planning Project (Grant No. 2024SCG247).

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Xuesong Zhai

Present address: School of Education, City University of Macau, Macau, China

Authors and Affiliations

College of Education, Zhejiang University, Hangzhou, China

Haozhe Jiang & Xuesong Zhai

School of Engineering and Technology, CML‑NET & CREATE Research Centres, Central Queensland University, North Rockhampton, QLD, Australia

Ritesh Chugh

Hangzhou International Urbanology Research Center & Zhejiang Urban Governance Studies Center, Hangzhou, China

Department of Teacher Education, Nicholls State University, Thibodaux, LA, USA

School of Mathematical Sciences, East China Normal University, Shanghai, China

Xiaoqin Wang

College of Teacher Education, Faculty of Education, East China Normal University, Shanghai, China

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Conceptualization - Haozhe Jiang; methodology - Haozhe Jiang; software - Xuesong Zhai; formal analysis - Haozhe Jiang & Ke Wang; investigation - Haozhe Jiang; resources - Haozhe Jiang, Xuesong Zhai & Xiaoqin Wang; data curation - Haozhe Jiang & Ke Wang; writing—original draft preparation - Haozhe Jiang & Ritesh Chugh; writing—review and editing - Ritesh Chugh & Ke Wang; visualization - Haozhe Jiang, Ke Wang & Xiaoqin Wang; supervision - Xuesong Zhai & Xiaoqin Wang; project administration - Xuesong Zhai & Xiaoqin Wang; and funding acquisition - Xuesong Zhai & Xiaoqin Wang. All authors have read and agreed to the published version of the manuscript.

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Jiang, H., Chugh, R., Zhai, X. et al. Longitudinal analysis of teacher self-efficacy evolution during a STEAM professional development program: a qualitative case study. Humanit Soc Sci Commun 11 , 1162 (2024). https://doi.org/10.1057/s41599-024-03655-5

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DOI : https://doi.org/10.1057/s41599-024-03655-5

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Research on the application of public art design based on digital technology in urban landscape construction

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• Published: 13 September 2024

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• Wang Zhongshu 1 &
• Liu Huadong 1  

This study explored the utilization of digital technology in public art design for urban landscapes, focusing on CAD and computer graphics to create dynamic and interactive installations. The research presented a design approach aligned with contemporary design practices by summarizing the attributes of public art and emphasizing the use of curve constraint forms. Advanced parametric design techniques significantly reduced the development time of 3D patterns from 30 h to just 10 h, demonstrating enhanced efficacy and precision. Innovative curve sampling techniques, including iso-parametric and isoarc length methods, resulted in a 25% improvement in the smoothness and continuity of design curves compared to traditional techniques. The public art installations developed in this study were designed to reflect and celebrate the cultural and historical aspects of urban areas, fostering a stronger connection between residents and their environment. Surveys conducted with 200 participants revealed that 85% felt a deeper connection to their cultural heritage due to the installations. The interactive nature of these art pieces engaged the public through visual, tactile, and behavioral interactions, significantly enhancing the aesthetic and functional quality of urban spaces. Despite these successes, the study identified several limitations, including a scarcity of authoritative literature and a lack of comprehensive case analyses for large-scale implementation. These gaps suggest the need for further investigation to explore the long-term feasibility and sustainability of digital public art installations. Future studies should investigate the durability, maintenance costs, and environmental impact of these installations, as well as promote interdisciplinary collaboration to develop new materials and technologies. Overall, this research highlighted the transformative potential of digital technology in public art design, offering practical insights and techniques for creating more engaging, culturally enriched, and interactive urban environments. The research outcomes confirmed the practical benefits of digital integration, including reduced design time and increased public engagement, paving the way for innovative approaches to urban landscape enhancement. The design’s efficacy, interactivity, and practicality were established through rigorous experimentation, setting a foundation for future advancements in the field.

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How can advocates leverage power to advance comprehensive regulation on ultra-processed foods? learning from advocate experience in Argentina

• Simone Wahnschafft   ORCID: orcid.org/0000-0002-7481-8214 1 , 2 ,
• Achim Spiller 2 &
• Beatriz Andrea Graciano 3  

Globalization and Health volume  20 , Article number:  68 ( 2024 ) Cite this article

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The use of corporate power to undermine public health policy processes is increasingly well understood; however, relatively little scholarship examines how advocates can leverage power to promote the successful adoption of public health policies. The objective of this paper is to explore how advocates leveraged three forms of power – structural, instrumental and discursive – to promote the passage of the Promotion of Healthy Eating Law (Ley 27,642) in Argentina, one of the most comprehensive policies to introduce mandatory front-of-package (FOP) warning labels and regulate the marketing and sales of ultra-processed foods (UPFs) adopted to date.

We conducted seventeen semi-structured interviews with advocates from different sectors, including civil society, international agencies, and government. Both data collection and analysis were guided by Milsom’s conceptual framework for analyzing power in public health policymaking, and the data was analyzed using hybrid deductive and inductive thematic analysis.

Advocates harnessed structural power through the leveraging of revolving doors, informal alliances, and formal coalitions, enabling them to convene discussion spaces with decision-makers, make strategic use of limited resources, and cultivate the diverse expertise (e.g., research, nutrition science, advocacy, law, political science, activism and communications) needed to support the law through different phases of the policy process. Advocates wielded instrumental power by amassing an armada of localized evidence to promote robust policy design, building technical literacy amongst themselves and decision-makers, and exposing conflicts of interest to harness public pressure. Advocates exercised discursive power by adopting a rights-based discourse, including of children and adolescents and of consumers to transparent information, which enabled advocates to foster a favorable perception of the law amongst both decision-makers and the public. Key contextual enablers include a political window of opportunity, the COVID-19 pandemic, and the ability to learn from the regional precedent of similar policies.

Conclusions

Public health policymaking, particularly when encroaching upon corporate interests, is characterized by stark imbalances of power that hinder policy decisions. The strategies identified in the case of Argentina provide important insights as to how advocates might harness and exercise structural, instrumental, and discursive power to counter corporate influence and promote the successful adoption of comprehensive UPF regulation.

Since their emergence in the mid-20th century, ultra-processed foods (UPFs) have rapidly taken center stage in changing dietary patterns around the world. Including such products as packaged sweet and savory snacks and sugary drinks, UPFs are generally energy dense, high in dietary components with health-harming effects (e.g., sodium, sugar, saturated fats, and trans-fatty acids), and laden with cosmetic food additives and/or other industrial ingredients, many with unknown health effects [ 1 ]. In some high-income countries (HICs), UPFs already account for 50–60% of daily energy intake, and low- and middle-income countries (LMICs) are following suit [ 2 ]. In fact, annual sales growth of UPFs in middle-income countries (MICs) already far surpass that of HICs [ 3 ] and sales volume are anticipated to reach HIC levels by 2024 [ 4 ]. Chronic consumption of UPFs is associated with higher risk for a suite of chronic diseases, including obesity, cardiovascular disease, cancer, type II diabetes, asthma, and depression [ 5 ]. The agro-industrial complex needed to support the cultivation of basic ingredients, manufacturing and mass distribution of UPFs, increasingly at the expense of traditional, minimally processed foods, contributes to a host of adverse environmental outcomes, such as land degradation, climate change, and agrobiodiversity loss [ 6 , 7 ].

For the past two decades, scholars have sought to identify explanations for shifting dietary patterns and the consequent burden of chronic disease. For example, the ‘nutrition transition’ emerged in the early 2000s as a prevailing model to explain shifts from traditional dietary patterns towards ‘Western’ diets characterized by high UPF consumption, pointing to variables like economic development, modernization, urbanization, and increased wealth as drivers of the transition [ 8 , 9 ]. More recently, scholars have stressed the importance of adopting a political economy approach, placing actors and the power relationships between them at the heart of analysis, to examine how power has been consolidated amongst national and transnational food and beverage companies to favor the widespread availability, affordability and accessibility of UPFs [ 10 , 11 , 12 ]. Such analyses have pointed to factors such as trade and investment liberalization [ 13 , 14 ], increasing market concentration [ 15 ], and the rise of hybrid food governance arrangements, such as public-private partnerships [ 16 , 17 ], as key drivers of corporate power in food governance. This consolidation of power is not unique to food: in 2018, of the world’s largest economies, 29 were countries and 71 were corporations [ 18 ]. The commercial determinants of health (CDoH) have emerged as an increasingly prominent area of research and discourse to call attention to this formidable influence corporations now wield in shaping health outcomes [ 19 ].

This emerging body of literature on corporate power in food governance has also increasingly been called upon to explain why, despite calls to action on the need for regulatory approaches [ 16 ], and guidance on policies needed to ameliorate unhealthy food environments characterized by widespread UPFs [ 20 , 21 , 22 , 23 ], policy responses to date have been glaringly inadequate [ 12 ]. Indeed, country governments to date have predominantly favored the adoption of interventions targeting individual behavior change, such as education (75% of countries) and media campaigns (61%) over regulatory actions on UPFs, such as front-of-pack (FOP) labelling schemes (25%), and restrictions on child-directed marketing (31%) [ 24 ]. Corporate political activity (CPA), referring to industry efforts to influence public policy, research and practice, plays a major role in preventing, weakening, or delaying regulatory approaches for improving food environments [ 25 ]. Researchers have increasingly sought to catalogue and monitor CPA in policy processes to regulate UPFs [ 26 ], as well as on other health-harming commodities like breastmilk substitutes [ 27 ] and alcohol [ 28 ], around the world [ 29 , 30 , 31 ].

Despite pervasive challenges to regulate UPF consumption in the face of contemporary corporate power dynamics, a small precedent of success has been set by a handful of countries in the adoption of UPF regulatory policies. Most of these countries are in Latin America, where UPF consumption has grown exponentially in the 21st century [ 32 ], alongside the prevalence of diet-related disease morbidity and mortality [ 33 ]. In 2016, Chile became the first country worldwide to jointly introduce a package of three policy measures to address unhealthy food environments: (1) mandatory FOP warning labels on UPFs, (2) restrictions on child-directed marketing of UPFs, and (3) a ban on UPF sales in schools [ 34 ]. This approach to bundle, or package, several policy measures into one intervention aligns with international guidance to comprehensively address multiple drivers of unhealthy food environments [ 21 , 22 ]. Other countries in the region have since followed suit to adopt similar policies, though with quite variable outcomes in terms of policy design (e.g., type of FOP label, types of food marketing restricted), stringency (e.g., nutrient profile model specifications), and comprehensiveness of policies adopted (i.e., FOP labels packaged with additional measures or labels alone) [ 35 ]. CPA to prevent, delay, or weaken regulatory action has been well-documented as a major challenge through these policy processes, including in Chile [ 36 ], Colombia [ 37 ], Mexico [ 38 ], Uruguay [ 39 ], and Brazil [ 40 ].

While a growing scholarship has been dedicated to de-mystifying the ins and outs of how CPA – or the ‘corporate playbook’ – is used to protect industry interests and stymie public health policy, comparatively little scholarship has been devoted to examining how public health advocates can counter this activity and successfully promote the adoption of public health regulatory policies. Those studies that have been conducted predominantly examine the role and strategies of advocates, particularly within civil society, to counter industry interference and advance regulation in the realm of tobacco control [ 41 , 42 , 43 , 44 , 45 , 46 ], as well as sugary drink taxes [ 47 , 48 , 49 , 50 , 51 ], and health-harming commodities more broadly [ 52 , 53 , 54 ]. A small body of studies were identified that sought to learn from the experience of advocates in UPF regulation in Latin America to date, including in Chile [ 34 , 55 ], Mexico [ 55 ], Brazil [ 55 ], Uruguay [ 39 ], and Peru [ 56 ]. However, only a few of these studies [ 49 , 51 , 52 , 56 ] directly engage with concepts and/or empirical analyses of power in these policy processes. Power analysis is an important tool to build a nuanced understanding of how and why the strategies employed by different stakeholders to further their interests do (or do not) result in desired outcomes [ 10 ]. Empirical analyses of power in real-world policy experiences have been identified as a key gap in research in public health governance [ 57 , 58 ], and are sorely needed to develop a ‘public health playbook’ of strategies to counter and proactively minimize corporate influence [ 59 ]. The aim of this paper therefore is to examine how advocates were able to exercise power to promote the recent adoption of the food environment policy package, the Promotion of Healthy Eating Law (Ley 27,642), in Argentina. The remainder of this section provides an overview of key concepts and trends in UPF regulation, as well as an overview of the Argentinian regulation, before delving into the methods.

Regulating ultra-processed foods: key concepts and trends

Though the concept first emerged in the 1980s [ 60 ], the term ‘ultra-processed foods’ began to rise to prominence in 2009 with the emergence of the NOVA classification, a system that categorizes food products across four different levels (e.g., (1) unprocessed or minimally processed foods, (2) processed culinary ingredients, (3) processed foods, and (4) ultra-processed foods) according to the type, intensity, and purpose of food processing [ 61 ]. Within this system, UPFs refer to those foods with the highest level of processing, I.e., those that have ‘undergone intense industrial physical, chemical, or biological processes (e.g., hydrogenation, moulding, extruding, preprocessing by frying) or that contains industrial substances not usually found in domestic kitchens (e.g., maltodextrin, hydrogenated oils, or modified starches), cosmetic additives (e.g., dyes, emulsifiers, artificial sweeteners), or flavouring agents’ [ 61 , 62 ].

While the most prominently used definition of UPFs hinges on the level of processing, several countries have begun to move forward on UPF regulation using a ‘nutrient based’ approach rather than one based on the level of processing. That is to say that these policies aim to regulate the labelling, marketing, and sales of UPFs based on their level of ‘critical nutrients,’ such as added sugars, sodium, saturated fats, and trans fats. This approach continues to be subject to debate, as the nutrient-based approach to regulation generally does not take into account several components of UPFs with detrimental effects on health, such as artificial sweeteners, colorants, preservatives, thickeners, and emulsifiers [ 62 ].

This nutrient-based approach underpins the UPF regulatory approaches that have emerged in several countries in Latin America over the past decade, particularly with the adoption of mandatory FOP warning labels and, in some cases, accompanying marketing and sales restrictions, that began in Chile and that have since been adopted in Peru, Uruguay, Mexico, Colombia, and Venezuela [ 35 ]. While these policies follow a similar general approach, they are characterized by important nuances in policy design that enable some to be considered more robust than others from a regulatory perspective.

First, with regard to FOP labelling schemes, these nuances include aspects such as the mandated size of the label and the use of contrasting background devices to improve the salience of the label on product packaging [ 35 ]. Which nutrients are to be labelled is also a key issue, with some countries expanding beyond the scope of those nutrients such as sugars, sodium, and fats to also label artificial sweeteners and caffeine [ 35 ]. Another important aspect is the phrasing of the warning label itself, with some countries moving towards the use of the stronger “excess in” rather than “high in” phrasing [ 35 ]. The nutrient profile model (NPM) used to define the threshold of the label is also critical, with the NPM developed by the Pan-American Health Organization (PAHO) [ 63 ] considered to be best practice for the region of the Americas [ 35 ]. Finally, with regard to those measures that accompany FOP labels, important differences are present in the scope of marketing restrictions, with some countries moving beyond those focused solely on child-directed marketing to also include restrictions on health or nutrition claims, endorsements, and other persuasive elements for products with warning labels [ 35 ]. These nuances are further explored in the following section, which lays out the key tenets achieved in the Argentinian regulation, as well as how they compare to other regulatory precedents in the region.

The Promotion of Healthy Eating Law

In keeping with regional trends, sales and consumption of UPFs in Argentina have increased throughout the 21st century, now constituting nearly 26% of daily energy intake [ 64 ]. The Promotion of Healthy Eating Law (Ley 27,642) [ 65 ], also commonly referred to as the ‘front-of-package nutrition labelling law’ ( ley de etiquetado frontal) was adopted in 2021 to regulate the labelling, marketing, and sale of UPFs. Since its passage, the law has been deemed to be one of the strongest and most comprehensive food policy laws globally due to several aspects of the policy design, expanded upon below [ 66 ].

First, the FOP labelling system adopted follows the latest regional guidance [ 67 ] and nationally generated evidence [ 68 , 69 , 70 , 71 , 72 ] on the most effective design for decreasing UPF consumption. Specifically, the law includes the mandatory introduction of black octagonal warning labels, which are to be added to the front of UPFs deemed in “excess” of sugars, total fats, saturated fats, sodium, and/or calories, taking the phrasing of the labels further than those of several others in the region, including Chile, Colombia and Peru [ 35 ]. In addition, the labelling system adopted by the law includes two pre-cautionary labels related to the presence of caffeine and sweeteners in UPFs to be avoided by children and prohibits the use of health claims on products containing at least one warning label, both of which are otherwise only addressed in UPF regulation in Mexico [ 35 ]. The Argentinian regulation has also been identified as the strongest in the region with regard to the mandated size of the warning labels on product packaging, meeting the PAHO recommendation that all labels together should occupy at least 30% of the main product display panel [ 35 , 67 ] Finally, the adoption of PAHO’s NPM as the basis of the warning labels in Argentina can be regarded as a critical success, which has otherwise only been achieved in Mexico [ 35 ]. Other countries in the region, including Uruguay, Peru, and Venezuela, sought to adopt the PAHO NPM, but ultimately adopted less stringent systems [ 35 , 39 ].

Another strength of the policy is the presence and scope of accompanying measures included in the policy package related to marketing, namely the prohibition of advertising, marketing, and sponsorship of all products with at least one warning label towards children and adolescents, including the use of children’s characters, cartoons, celebrities, athletes, influencers and more. These restrictions apply both to product packaging and advertising in traditional and digital media. Finally, the law stands out for the comprehensiveness of included measures directed towards improving food environments. For instance, the law prohibits the sale, offering, and marketing of products with at least one warning label on school premises and introduces mandatory nutrition education at all levels of mandatory education. Public procurement, such as that which would affect social support programs, is also affected by the law, obligating the prioritization of products without warning labels when comparing procurement offers.

There are also several notable aspects of the law related to the policy process itself that distinguish it as a robust policy case. For example, the fact that UPF regulation in Argentina was ultimately adopted through the Legislative branch in the form of a law, rather than the Executive branch in the form of a decree, is important, as it offers the policy a greater degree of protection from changing political forces. This can be distinguished from, for instance, the labelling policy adopted in Uruguay, which was adopted as a decree through the Executive branch and became subject to several changes throughout the policy adoption process that eroded the scope of the initial proposal [ 39 ]. The Argentinian case is also notable for the degree of support with which it was passed through both chambers of the National Congress: first in the Senate (64 votes in favor, 3 votes against, 0 abstentions) and then the Chamber of Deputies (200 votes in favor, 22 votes against, 16 abstentions). This degree of support is notable in a country where industry holds high financial and political power. Agriculture and agro-industry together constitute one of the most important industries in Argentina, accounting for an estimated 8% of GDP, 20% of employment and 54% of exports [ 73 ]. In addition, food and beverage processing accounts for over half of agro-industrial production [ 73 ]. Sugar is also an important agricultural product, particularly in the northwest provinces of Salta, Jujuy, and Tucumán, where politicians have previously leveraged their power to prevent the introduction of regulatory policies, such as a sugary drinks tax [ 74 ]. A final notable facet regarding the politics of UPF regulation in Argentina is that of trade, as Argentina is a member of the Southern Common Market (MERCOSUR), a regional trade agreement between Argentina, Brazil, Uruguay and Paraguay. Argentina’s membership in MERCOSUR is relevant in the context of a growing literature on the role of trade agreements in hindering regulation of health-harming commodities [ 75 , 76 , 77 , 78 , 79 , 80 ] and emerging evidence on the strategy used by food industry actors to hinder advancement on national front-of-package labelling policies in the bloc by insisting on the need for a regional (I.e., bloc-wide) regulatory approach to FOP labelling to avoid threats to international trade [ 39 , 40 ].

Conceptual framework

We utilized Milsom’s conceptual framework for analyzing power in public health policymaking [ 78 ] to guide the conduct and analysis of in-depth, semi-structured interviews with identified advocates of the law leading up to its adoption in 2021. Drawing upon a synthesis of existing political economy and power frameworks –most notably Fuchs and Lederer’s framework on business power in global governance [ 81 ], Lukes’ Three Dimensions of Power [ 82 ], the ‘Three Is’ framework [ 83 , 84 , 85 , 86 ], and Gaventa’s power cube [ 87 ] – this framework details how actors can harness power to either successfully promote health policy decisions or hinder them, delineating three key forms of power that actors can exercise: instrumental, structural and discursive (see Fig.  1 ).

Milsom’s conceptual framework for analyzing power in public health policymaking

The former, which is usually the most visible, refers to direct influence actors can exercise to advance their interests through their actions. The latter two forms are generally more hidden, with structural power encompassing aspects like agenda-setting and rule-setting power, as well as the capacity to secure a ‘seat at the table’ in decision-making spaces. Finally, discursive power refers predominantly to how actors influence the way in which issues are discussed (e.g., framing) in decision-making spaces. These forms of power can be exercised through several mechanisms, such as existing institutional structures, the use of knowledge and evidence, and the cultivation of relationships, and can be exercised across different dimensions, including at local, national or global levels, and in spaces that are either closed, open, invited or claimed. Though presented separately, these forms, mechanisms and dimensions of power are not necessarily independent, and rather can interact. Together, these aspects of power, and respective policy (non-)decisions sit within political, economic, socio-cultural or situational contexts that either hinder or enable the exercise of power. Milsom and colleagues recently applied this framework to examine how corporations exercise power through the international trade regime to hinder policy decision-making on UPFs [ 78 , 79 , 80 ]. In this paper, we turn rather to the context of a successful policy decision (I.e., policy adoption) to examine, from their own perspective, how advocates were able to leverage power to advance the passage of the Promotion of Healthy Eating Law (Ley 27,642).

Identifying policy advocates

We used three types of documents to identify policy advocates for interviews: media articles, press releases, and grey literature (I.e., reports). We devised the following set of search terms to identify and collate these documents: ‘etiquetado frontal,’ ‘rotulado’, ‘promoción de alimentación saludable,’ ‘restricción de la comercialización’. First, we applied these terms to a systematic search of nine media outlets that represent a range of political leanings from left-wing to conservative, as identified from the BBC media guide in Argentina [ 88 ] (see Supplementary Materials, Table A1 ). Then, through an initial screening of these documents, we identified websites of stakeholder organizations that were identified as working to advance the law through the policy process, which we searched with the same terms for press releases and grey literature relevant to the analysis (see Supplementary Materials, Table A2 . We then screened all sources identified using the search terms to ensure they met the following inclusion criteria: (1) focused on Ley 27,642 or reference to agenda-setting on policy measures ultimately included in the law in Argentina (I.e., FOP labelling, marketing restrictions, and/or improving school food environments); (2) included a description of policy process milestone(s) (e.g., meetings held, stakeholders involved, actions and decisions taken, industry arguments and counter-arguments, etc.); (3) were published in English or Spanish; and (4) were published up until the adoption of the law in 2021 (see Supplementary Materials Table A3). We then used these sources to construct a database of relevant organizations and individuals who were highlighted as advocates of the policy, subsequently inviting a first set of advocates from civil society to participate in the study by email. Email outreach included a description of the project aims, a document with additional information for participants, and a copy of the consent form. These outreach materials were reviewed and approved, alongside the interview guide, by the Ethics Committee at Georg-August-Universität Göttingen prior to data collection. This phase of the research was also used to construct an overview of key stakeholders and milestones in the policy process, both of which are available in the Supplementary Materials(Table A4, Table A5).

Conducting interviews

We conducted seventeen policy advocate interviews between November 2022 and April 2023, including stakeholders with roles across civil society, academia, international development agencies, and both the Executive and Legislative branches of government (see Table  1 ). While we conducted our initial outreach to civil society stakeholders, we decided not to limit our definition of ‘advocate’ to civil society stakeholders alone, but rather to allow participants to define who would be important stakeholders to speak to who fit this description. We accomplished this by way of snowball sampling, as each participant was asked at the end of the interview to identify additional advocates they would recommend be included in the study. We followed recently published guidance on the principle of determining sample size for saturation (I.e., the point at which little or no relevant new codes and/or categories are to be found in data) a priori in qualitative research, which is identified as 9–17 interviews for studies with homogenous populations and narrow research objectives, as in this case [ 89 ]. In addition, we ensured that we continued with interviews until we continued to hear the same names recommended and no new themes emerged during interviews. Based on indicated participant preferences, interviews were conducted either directly in English, or in Spanish with the support of simultaneous interpretation. Apart from one interview conducted with two policy advocates simultaneously, participants were interviewed alone. Interviews were conducted in person in Buenos Aires or online using teleconferencing, again depending on participant preference. Participants were required to provide informed consent that they agreed to have the interview recorded. Recordings were transcribed in the original language of the participant’s interview and, in the case of Spanish transcriptions, translated into English with the support of a professional translation service in Argentina.

Informed by Milsom’s conceptual framework, the interview guide first prompted participants to reflect on both the perceived challenges and key strategies to their work in advocating for the law. This line of questioning often brought participants naturally to the topic of grappling with corporate influence; however, if not, this topic was then broached with direct questions on perceived power asymmetries and intervention points upon CPA. Participants were also asked to reflect on lessons learned from the policy process and contextual factors they believed enabled the law to advance. See Supplementary Materials , Annex 2 for the interview guide.

Analyzing data

The interview transcripts were analyzed using thematic analysis, following a hybrid deductive and inductive approach [ 90 , 91 ]. First, the primary researcher (S.W.) developed a codebook based on Milsom’s conceptual framework, applying it to the analysis of the interview transcripts in MAXQDA software. Throughout this process, additional codes were developed inductively to capture key themes, including advocate challenges, strategies, lessons learned, contextual enablers, and reflections on power and outcomes through the policy process. Then, a second researcher (B.A.G.) coded two of the transcripts using both the deductive and inductive codes, which were then reviewed by both researchers to resolve any discrepancies in coding. Following a brief overview of the policy process, the findings are presented in the results section according to the three forms of power of Milsom’s conceptual framework, with relevant information related to the mechanisms and dimensions of power integrated throughout each of the three sections. Additional sections on contextual enablers and reflections on outcomes of the policy process are also included. Some data sourced from the document review is integrated throughout the results to provide additional context to the analysis of the interview data.

Overview of the policy process

Proposals on FOP warning labelling in Argentina began to emerge in 2016 [ 92 ], the same year in which Chile officially implemented its law on food labelling and advertising (Ley 20,606) and PAHO published its NPM to define limits for critical nutrients in UPFs. As one advocate emphasized, the latter was particularly impactful for the policy process in Argentina:

“It’s a very small book that was very revolutionary. In the sense that it paved the way , in all countries , to regulate. That is the main precedent.” [Advocate , International Development Agency] .

As the topic began to gain momentum in Argentina, two parallel approaches emerged to move forward on FOP labelling: one through the Executive branch and the other through the Legislative branch. The former was developed through the convening of an inter-ministerial working group beginning in 2018, led by the Ministry of Health and in partnership with the Ministry of Agriculture, Livestock and Fisheries and the Ministry of Productive Development. This inter-ministerial initiative emphasized the need to work with stakeholders from different sectors throughout the development of the proposal, including civil society, academia, professional nutrition organizations, and the food and beverage industry [ 93 ]. This initiative also sought to advance on labelling through changes agreed upon both within the National Food Commission (CONAL), which oversees the implementation of the Argentine Food Code, and with other members of MERCOSUR [ 94 ]. Following several changes to the proposal made between 2018 and 2020, in part due to a change in the government administration in 2019, the Executive branch reached a finalized proposal, which it presented in meetings with both CONAL [ 95 ] and MERCOSUR [ 96 ] around the same time that the bill began to be debated in the National Congress.

The latter approach, which was ultimately passed into law, was a bill proposed in the Senate in early October 2020. This bill was reached through a negotiation process that unified 15 different bills drafted by legislators from different political parties in the years preceding to address unhealthy food environments [ 97 ]. Upon receiving a positive opinion from the internal commissions of Health and of Industry, the bill was swiftly given half sanction by the Senate later the same month, promptly moving to the Chamber of Deputies for consideration by relevant internal commissions. The bill was then assigned to be debated by six commissions, though this was later reduced to four: General Legislation; Social Action and Public Health; Consumer Defense User and Competition; and Industry. Almost a year after the half-sanction in the Senate, and following the positive opinion given by the four commissions in July, the bill was passed into law by the Chamber of Deputies in October 2021.

Contextual enablers

Advocates pointed to several contextual factors that shaped the successful adoption of the law. First, the COVID-19 pandemic opened a window of opportunity by elevating the protection of public health as a priority value both amongst the public and decision-makers, as well as the legitimacy of the public sector as an entity to intervene upon the private sector:

“…the state was recognized , at the moment , as an actor that could guarantee our health; so , it was also related to this bill. If we let the market act independently and autonomously , all factories would be open , all enterprises would be open , and the virus would have spread more and increased the rate of deaths and everything. And people were scared at the time , so the state was seen as a positive influence in society , which has changed now.” [Advocate , Advisor to Legislator] .

The COVID-19 pandemic, particularly during the lockdown that characterized the debate of the law in the Senate, was also identified as an important factor that shifted access to discussion spaces with decision-makers throughout the process. For instance, one advocate in civil society noted that the shift to online communication helped their organization, which was newer and characterized by few resources, access discussion spaces where the law was being debated, as well as convene spaces to bring together advocates and legislators to discuss the topic. Another advocate highlighted that the virtual nature of policymaking at this time may have also mitigated lobbying and heightened transparency in the early stages of the legislative process:

“…the legislators were at home , in their provinces. It was not possible for the industry to visit them in their offices. And there are things that are not going to be negotiated via Zoom…Personally , I think the pandemic helped make the committee’s discussion transparent , it’s posted on YouTube. There weren’t any twists , lobbying , or at least it was less common , because people could not travel through the streets here. We had a very strict quarantine.” [Advocate , International Development Agency] .

In general, advocates noted that they were readily invited, alongside industry and other stakeholders, to participate in spaces that debated the policy in both the Executive and Legislative branches, enabling them to share data and arguments with decision-makers, with the only notable exception related to discussions undertaken at the level of MERCOSUR.

Advocates also pointed to several political factors that shifted perceptions of the bill in Congress, including shortened ideological distances in Congress following the change in administration in 2019 and the fact that FOP labelling laws passed in other countries in the region were adopted by governments that came from similar ideological perspectives as the two major coalitions in Congress at the time. The latter lent the bill a degree of credibility as an innovative and politically viable measure:

“…the previous experience in other countries was helpful because they leaned more towards the center-right , Chile , for example; and my coalition , [Party A] , also center-right , saw them as an inspiration. And if Chile was doing this , then it was a modern dynamic and innovative proposal and not some old-fashioned policy. But we also saw the experience in Uruguay , which is center-left , so [Party B] could learn from them too. So , we had this context.” [Advocate , Advisor to Legislator] .

Another political factor that enabled the law’s successful passage was its bi-partisan support in Congress. This support was due in part to the fact that the bill that was ultimately debated in Congress was reached through the negotiation process that unified previous bills drafted by legislators from different political parties in the years preceding. This political neutrality was also further reinforced by the fact that the unified bill was proposed by two Senators who came from the same province but each from a different political party that constituted the two main coalitions at the time.

“The fact that we managed to present a bill that was not affiliated to any political party is very important because it allowed us to receive support from both parties without any political divide.” [Advocate , Civil Society] .

Structural power

Convening spaces and knowledge exchange.

As early momentum began to build on UPF regulation in Argentina, advocates were able to capitalize on growing attention to the topic to elevate it on the legislative agenda by organizing a series of conferences, beginning in 2016 and continuing through the legislative debate of the law [ 92 , 98 , 99 , 100 , 101 ], which convened stakeholders across civil society, the Executive branch (e.g., national ministries), the Legislative branch, academia, and professional nutrition organizations, amongst others. These spaces were convened via a partnership of international agencies, led by PAHO. A key activity facilitated by advocates throughout these meetings was to invite champions of UPF regulations passed in other countries in the region, beginning with representatives from Chile, and proceeding with those from Uruguay, Mexico, Peru, and Colombia. Inviting stakeholders to learn from regional precedents was not only advantageous for building political momentum, but for learning from previous experiences to foresee challenges, such as CPA, that would ensue as the proposal for regulation began to gain ground:

“It was like a regional training , not only were we debating this , but other countries as well; so , before Argentina , also other countries went along , Perú went along , Uruguay went along , then Mexico went along , and each country benefiting from the previous experience of other countries. So , when we learned from the experience in Chile , we knew how the food industry would react , what their strategies would be…” [Advocate , Academia] .

Revolving doors

The ability to convene these spaces with decision-makers was enabled in part by existing relationships advocates held, some of which were cultivated through prior health policy processes, including tobacco control and regulation on sodium content in foods. Several participants pointed to the importance of ‘revolving doors’ in this respect, referring to the importance of seasoned advocates who either held multiple roles at one time or changed roles across sectors during the policy process, bringing their knowledge, expertise, and networks with them to new positions:

“We have the same people in different organizations , for instance , I mentioned three that I belong to , and you take this to the agenda of the organization.” [Advocate , Academia] .

The most commonly noted shifts between sectors that advocates highlighted were between civil society, international development agencies, and the Ministry of Health; however, specific reference to these shifts is omitted here for anonymity purposes.

Informal alliances

Informal alliances were identified as key to overcoming roadblocks faced by any one organization or sector. This emerged, for instance, in the context of the tension between the Executive and Legislative proposals that were developing simultaneously in the years leading up to the official proposal of the bill in Congress. Both proponents and opponents sought to leverage these two institutional approaches to UPF regulation to their respective advantage to either promote or hinder the law from advancing. For example, the Coordinator of Food Product Industries (COPAL), an umbrella entity representing the interests of the food and beverage industry, supported the proposal furthered by the Executive branch rather than the bill. Advocates identified this as CPA, as the Executive proposal was inferior to the Legislative approach for several reasons, including higher susceptibility to shifts in political climate, lower alignment with best practice in both scope and stringency of proposed regulation, and the fact that pursuing a regional agreement with other members of MERCOSUR would significantly delay the process, as well as place the debate in an arena in which industry and trade interests were paramount. Indeed, stakeholders representing industry interests often used their resources to disseminate the argument that Argentina was not allowed to regulate without agreement at the level of MERCOSUR to stifle support for the bill in Congress:

“…they started to say that we could not move forward with the law because it went against our integration within the MERCOSUR , even though legally it was not the case. But they still claimed this , which confused legislators.” [Advocate , Advisor to Legislator] .

Advocates leveraged structural power in the face of this challenge through informal alliances with advocates across different positions. Particularly for those advocates facing institutional constraints, such as those positioned within the Executive branch, the importance of informal alliances was key:

“…the best option was always the bill , and even then , we knew that a bill would not involve the Executive Branch we worked at. So , it was our priority to ally with the organizations that would work closely with deputies and senators to try and convince them to be in favor of this policy.” [Advocate , Ministry of Health] .

Within civil society, informal alliances also allowed advocates to collectively permeate spaces where misinformation was spread to decision-makers to undermine the bill. This was the case, for instance, for some conferences held by professional nutrition organizations with known conflicts of interest. As one advocate explained:

“…thankfully we were able to work together with other civil society organizations. Whenever one was not able to participate , the others would be there to support them. So , in certain meetings they would say: “Let’s invite [Organization A] because they aren’t as antagonistic as [Organization B]”. But , thanks to our alliance with other organizations , we were always able to speak for each other , to empower each other.” [Advocate , Professional Nutrition Organization] .

Coalition building

Formal alliances, in the form of coalitions [ 102 , 103 , 104 ] also helped advocates harness structural power through different stages of the policy process. For example, the resources developed by the National Coalition to Prevent Childhood Obesity [ 105 ], formed in 2017 with support from UNICEF Argentina [ 106 ], lent a collective voice of legitimacy to the positions advocated by a handful of organizations working at the forefront of the process:

“…that was also a very important support because it is different to say to the legislature “[Organization A] has this policy brief” , no , this policy brief is supported by more than 40 organizations representative from all the country. That is , well , the legislators paid a lot of attention.” [Advocate , Civil Society] .

During the legislative debate, formal coordination across civil society organizations also became an important strategy for building capacity both within and across organizations. This was particularly the case when five civil society organizations collectively secured a grant funded by Bloomberg Philanthropies and managed by the Global Health Advocacy Incubator (GHAI). With the support of the grant, these organizations were able to expand and diversify their own activities in support of the law, as well as to organize activities collectively. The latter was identified as a challenge by several advocates, as it required novel coordination across organizations with different reputations, approaches, and leadership structures; however, it was also noted as a key strategy to harness collective action and effectively counter corporate power:

“I mean , the inequality of arms was evident from the beginning: the industry has all the means for advertising , for paying nutritionists , to go in the media to demonize the law , and we had nothing. But this influx of money through GHAI to the organization allowed us to counteract that.” [Advocate , Academia] .

Instrumental power

Wielding evidence.

The generation and dissemination of knowledge and evidence was one of the key activities advocates led to influence the policy process (see Table  2 for a summary of key studies). For instance, a series of studies led by the research-oriented civil society organization, the Inter-American Heart Foundation - Argentina (FIC-Argentina) in 2015–2018 demonstrated the widespread exposure of children and adolescents to different forms of UPF marketing in Argentina [ 107 , 108 , 109 ], elevating the issue of the need for regulation. Along a similar vein, two studies conducted by the Ministry of Health – the 4th National Survey of Risk Factors (2018) [ 110 ] and the 2nd National Survey of Nutrition and Health (2019) [ 111 ] - provided updated evidence on UPF consumption trends in Argentina and the burden of diet-related chronic disease to underscore the extent of the challenge in Argentina.

“What was one of the arguments of the industry? “Okay , okay , how do we know that the , let’s say , this front labelling with this black octagon , is the most effective for Argentina? Because this has been effective in Chile , but how do we know if it is effective in Argentina?” So , we have evidence , we have scientific evidence , but this scientific evidence has not been validated here.” [Advocate , Academia] .

As such, both the Ministry of Health and FIC conducted studies to compare the performance of different labelling schemes amongst the Argentine population [ 68 , 69 , 70 ], as well as to demonstrate that the proposed PAHO NPM was in the greatest accordance with the dietary guidelines for the Argentine population compared to other models [ 71 , 72 ]. One participant pointed to the importance of involving multiple organizations in the generation of evidence to support effective policy design:

“Another strategy was to work hand to hand with the Ministry of Health , and we agreed on what evidence we have to produce , at the same time , both of us: to have a study from the Ministry of Health that says that the octagon warning level was the best , and another study , that says the same , but from the Civil Society. So , it is not only the Civil Society that has this evidence , but the Ministry of Health , too. And the same with the nutrient profile system.” [Advocate , Civil Society] .

Building technical literacy

This tenet of instrumental power refers both to the building of technical literacy amongst advocates themselves and amongst decision-makers. Regarding the former, advocates synthesized knowledge on key aspects of the policy process, such as the legal and political landscape surrounding the law. For instance, advocates in civil society led a series of analyses on legal aspects that would influence the policy process, particularly through a collaborative regional study with other countries in MERCOSUR. This included a mapping of the national regulatory framework on FOP labelling [ 114 ], an analysis of legal barriers and facilitators to FOP labelling [ 115 ], and a report on legal lessons learned from the precedent of tobacco control [ 116 ]. Civil society advocates also worked to consolidate knowledge of the political landscape, such as by mapping decision-makers in Congress to understand their stances and guide targeted advocacy:

“ One of our main strategies was to monitor and study the members of the Senate and the Chamber of Deputies; to identify how much power of decision they had within their commissions…. We also wanted to identify who our champions were going to be , also the ones who were never going to agree to this law , and the ones we could be able to sway in our favor. So , we mostly focused on those we could convince , and that’s when we asked legislators to have meetings with them and their advisors.” [Advocate , Civil Society] .

Conducting targeted advocacy efforts, such as through one-on-one meetings with key legislators and/or their advisors, was used as a strategy to build technical literacy on the bill in Congress. This proved to be particularly important in the face of CPA that targeted technical aspects of the law. For example, resistance during the later phases of the legislative debate did not oppose the law itself, but rather focused on the need for ‘modifications’ to the text of the law, which, if heeded, would have stalled the passage of the bill. This was particularly the case with Article 6, which established the PAHO NPM as the foundation for the adoption of FOP warning labels and was highlighted by industry stakeholders as a system that would unfairly affect their products [ 117 ]. In this context, advocates described the importance of holding meetings with legislators to clarify key concepts:

“We talked to legislators and advisors; we explained why the bill was written the way it was written; that we must use PAHO’s nutrient profile system; that the industry kept insisting on using a different profile system. You can base the law on unlimited profiles and the law would end up a mess. So , we explained to them the importance of each and every article of the law , that the law must be approved unchanged.” [Advocate , Professional Nutrition Organization] .

In addition, conducting targeted advocacy was identified as an important approach to advocacy in the context of unequal resources:

“….they [the industry] knew that they had to engage with all political actors , not just “some”. On the other hand , NGOs and civil society have fewer resources , so they concentrated their relationships with key stakeholders.” [Advocate , Advisor to Legislator] .

Exposing conflicts of interest and harnessing public pressure

Another key population that advocates sought to influence was the public, accomplished through the strategic use of communication channels. For example, advocates described using traditional and social media to expose industry tactics and encourage accountability of decision-makers, including ‘naming and shaming’ those who had conflicts of interest. Other identified strategies to harness public pressure included conducting communication campaigns with national coverage in public spaces, radio, digital and print media, such as the, “Don’t let them cover your eyes,” (“Que no te tapen los ojos”) [ 118 ] campaign, and making use of a digital platform, ‘Activá el Congreso’ [ 119 ], which enabled individuals to write directly to legislators. The involvement of advocates who could more effectively reach the public, such as journalists, influencers, youth activist groups and celebrities, was vital to harnessing public pressure. Bringing the debate surrounding the law into the public domain was noted as a key strategy to counter imbalances of power through the policy process:

“…one more thing about this imbalance is that it is only possible to restore it if civil society plays a very aggressive role on the internet , in the media , employing certain communication strategies….If the discussion had only taken place within the Chambers , we probably would have lost the case.” [Advocate , Legislator] .

Leveraging public pressure proved particularly critical at junctures in the legislative debate where it seemed that the bill would not successfully advance due to interference. For example, following the half-sanction of the bill in the Senate, the bill was assigned for consideration by an unusually high number of commissions within the Chamber of Deputies [ 120 ], a strategy advocates identified as one motivated by conflicts of interest held by the president of the Chamber of Deputies to hinder the passage of the bill. Here, one advocate stressed the importance of public pressure in overcoming this obstacle:

“that’s when Civil Society launched campaigns on Twitter denouncing the number of committees that the bill was assigned to; that made [the president of the Chamber of Deputies] , who in another context would not have changed his mind , feel singled out and decide to reduce the number of committees to three , although they finally ended up being four.” [Advocate , Legislator] .

Once the commissions in the Chamber of Deputies issued a positive opinion on the bill, the final vote in the Chamber of Deputies remained as the final step to adopt the bill. Advocates described another instance at this point in the process where political factors almost prevented the passage of the law, in which one of the two major political parties did not present with a quorum at the session in which the law was to be put to a vote, placing the bill at risk of losing parliamentary status if not approved before the end of the year [ 121 ]. Again, advocates pointed here to the importance of public pressure to overcome this obstacle:

“Another enabling factor appears when society starts to personally start caring about the law. This was very apparent when the Chamber of Deputies didn’t reach a quorum on the bill… then began to circulate a very strong campaign in social media , where the public would call out these people and say , “How come they don’t want to vote on a bill that involves the health of the people?”. To me , that was a very compelling moment , I didn’t know that the bill had affected society in this way.” [Advocate , Professional Nutrition Organization] .

Discursive power

Generating counterarguments.

Over the course of roughly a year from when the bill was first proposed in 2020 to its passage in 2021, the topic of FOP labelling transformed from a relatively niche and technical topic predominantly discussed within institutional spaces, to one of great political and public interest, with its own hashtag (#EtiquetadoClaroYA) on social media. This transformation reflects a shift in the dominant discourse surrounding the implications of the law for society. Advocates worked to shape the discourse surrounding the law, which required that they be poised to counter a range of economic, technical, legal, and ethical arguments made by the industry and associated stakeholders throughout the policy process (see Table  3 for a summary of key arguments and counterarguments). The knowledge and evidence generated by advocates, as previously detailed in Table  2 , played a key role in supporting several of these counterarguments.

Advocates noted that economic arguments, particularly given the context of economic instability and decline in Argentina, gained the most traction against the law.

“…the strongest argument in a country in Latin America is about , we are going to lose jobs , employment is going to be affected , which is also an argument that the industry is going to go broke , that the industry cannot endure this… I mean , the rest is more debatable , but the economic factor is important and that is where the industry went.” [Advocate , International Development Agency] .

In this context, emerging evidence from Chile demonstrating that neither aggregate employment nor average real wages were affected by food labelling regulation helped support advocates to address these concerns in Argentina [ 125 , 126 , 127 ]. Advocates also spoke to the importance of emphasizing the economic ramifications of not acting in the form of rising healthcare costs.

Rights-based framing

To address ethical arguments, framing was key. Namely, advocates spoke to the importance of framing the law in communication with decision-makers not just within the paradigm of public health, but other values, such as the right of consumers to transparent information regarding the content of their food:

“…that was very important , to focus on the consumers’ right , not focusing only on that eating better was important , but you have to know what you are eating , then you decide , no? And that was very important to convince the legislators.” [Advocate , Civil Society] .

This rights-based framing was also important in harnessing public support, and was pursued in communication campaigns led by civil society, such as the aforementioned “Don’t let them cover your eyes,” (“Que no te tapen los ojos”) campaign, with the slogan, “It is our right to know if a food has excess fat, sugar and/or sodium” [ 118 ]. This framing helped to turn the commonly used argument by the industry of individual responsibility and choice on its head by presenting the labels as a tool to enhance individual autonomy rather than hinder it. Another key framing for the law that fostered public support was the protection of vulnerable populations, particularly children and adolescents, from deceptive industry practices:

“I think it was a combination of different narratives , but I would say that the need to protect children and vulnerable social groups was what penetrated the most through society and , also , the industry’s lies…All of this sparked interest and a feeling of alarm at the same time.” [Advocate , Civil Society] .

Extending narratives beyond the confines of a nutritional perspective to align the framing of the law with the priority values of different movements also brought more advocates into the fold, such as consumer organizations and environmental activists, reaching a broader audience over time.

Reputation management

The credibility that advocates carried in the arguments they made hinged on their reputation. As such, reputation management was an important aspect of advocates’ work throughout the policy process. For some organizations, particularly those comprised of nutrition professionals, managing internal conflicts of interest was critical. This was the case with the Argentine Federation of Graduates in Nutrition (FAGRAN), an umbrella organization of the Colleges and Associations of Graduates in Nutrition. The work done by the organization to reach an organizational position free of conflicts of interest, spearheaded by a change in leadership in 2018, was a critical factor in providing a degree of legitimacy to the voice of these advocates coming from the field of nutrition. The ability of organizations like FAGRAN to position themselves as entities free of conflicts of interest became a useful tool to spotlight those entities who could not do the same:

“…we told everyone who we were and we told them that we had no conflict of interest. And when you work on the law , people are more willing to listen to what you are saying. On the other hand , whenever we would hear arguments against the law , we knew those people and organizations always had conflict of interest. So , we requested that everyone who participated in the discussion must state whether they had any conflict of interest or not , and if they did , then what kind of conflict of interest it was.” [Advocate , Professional Nutrition Organization] .

Outcomes of power: reflections on policy decision

The law was seen as a key milestone in a broader effort to regulate the widespread availability of UPFs and promote healthier food environments. Advocates spoke particularly of the importance of adopting mandatory FOP warning labels, which define the parameters of products that should be targeted by future regulations. As one advocate explained:

“…these labels are a gateway to other regulations. That is , everything works together: environment , advertising , sponsorship , labelling and taxes. Increasing taxes on sugary drinks. But the gateway is FOP labelling. It will make it easier to discuss a tax when the product has three labels” [Advocate , International Development Agency] .

Advocates also spoke to the importance of the fact that the law included not only FOP labels, but other components that work synergistically to promote healthier food environments:

“I think that one of the greatest advantages is that you have in a piece of regulation a lot of – you are able to regulate a lot of the aspects included in what should be a healthier food environment. And that’s also something coming from tobacco. When you regulate and you have a tobacco control law , it’s not only about regulating the environment. It’s also about regulating the cigarette package. It’s also about regulating the promotion and advertising and sponsorship of tobacco products. So , this was a similar rationale.” [Advocate , Civil Society] .

Ultimately, despite pervasive attempts to prevent or hinder the passage of the law, as well as undermine its scope, the law was passed in accordance with the recommendations made by advocates throughout the policy process. Though advocates pointed to many challenges regarding the road ahead for successful implementation of the law, this milestone was regarded as an important success:

“We enacted the exact law we wanted to enact. I thought it was going to be modified. Because sometimes they propose a good bill and it ends up as a weak law. Ours was whole. It was complete.” [Advocate , International Development Agency] .

This paper examines how advocates were able to harness and exercise structural, instrumental and discursive power to guide the adoption of a regulation on the labelling, marketing and sale of UPFs. Several lessons can be learned from the insights shared by advocates on the Argentine experience on UPF regulation.

First, advocates must take pages from the ‘corporate playbook’ to effectively counter it, particularly to garner structural power. Corporations often pool political, financial and technical resources to undermine public health action, such as through the activities of umbrella entities like COPAL in Argentina. Capacity building to cultivate a collective voice of advocates to promote public health policy decisions is vital [ 128 ]. Through informal alliances and formal coalitions that united organizations across the country, advocates in Argentina were able to collectively access discussion spaces, make strategic use of limited resources, cultivate a unified narrative in their arguments and demands, and harness the diverse expertise needed to counter industry interference and effectively reach both decision-makers and the public. Some of the skillsets of those who worked to advocate for the law in Argentina, such as legal experts, trade analysts, political strategists, and communications specialists, have historically been considered outside the purview of public health, despite being vital to achieving meaningful improvements in health policy [ 129 ]. Capacity building initiatives to train, recruit and integrate these skillsets into public health efforts are therefore critical to strengthening the ‘public health playbook’ against corporate power in public health policy decisions [ 4 , 59 ]. In Argentina and in other public health regulatory policy processes worldwide [ 44 , 45 , 48 , 50 , 130 ], support from international health groups is an important enabler of capacity building. United Nations (UN) agencies play an important role. In Argentina, for example, PAHO and UNICEF took on many key capacity building roles throughout the process, including convening multi-sectoral discussion spaces for agenda-setting and providing financial and technical support for research, advocacy, and communications in support of the law. Advocates also took a page from the corporate playbook by cultivating structural power through the use of ‘revolving doors,’ where several policy champions either moved between or worked across different roles within civil society organizations, academia, professional organizations, national Ministries, and/or international development agencies throughout the policy process, bringing their knowledge, expertise, and networks with them.

Advocates wielded instrumental power by amassing an armada of evidence - localized to the Argentine population, free of conflicts of interest, and corroborated by both the public sector and civil society - to support the rationale for and robust design of the law. While this degree of scientific output is certainly a testament to the extent of advocates’ work to support the policy process, it also alludes to a key challenge to meaningful health policy change in the face of corporate influence: an over-reliance on a strict evidence-based approach [ 80 , 131 ]. In other contexts, particularly those with limited capacity to conduct health policy research, consolidating such a wealth of localized evidence may very well not be possible. Fostering international communities of practice in which advocates and decision-makers can exchange the knowledge and evidence cultivated from the experience of other countries that have successfully advanced on adopting UPF regulation, as was also done through regional knowledge exchange facilitated by advocates in Argentina, will be important. As demonstrated in the precedent of tobacco control [ 45 , 132 ], international networks of advocates can also play an important role in defending national regulations against corporate attempts to undermine them.

Several lessons can also be gleaned from Argentina’s experience cultivating discursive power in the context of this law, particularly on the implications of FOP warning labels. For one, advocates emphasized the importance of framing the labels as autonomy-enhancing tools that provide transparent information as key to building support amongst decision-makers and the public. This framing is particularly important in the context of prevailing neoliberal paradigms that purport the importance of individual responsibility and autonomy in decision-making, which are often exploited by industry actors to undermine regulation [ 131 , 133 ], as it positioned the law as one that would better enable individual autonomy rather than limit it. Previous literature has demonstrated a limited commitment from both national governments in Latin America and international health groups to adopting a rights-based discourse for UPF regulation [ 10 ], indicating an important area for improvement. In addition to this advantage with framing, advocates also understood that mandatory FOP warning labels provided an important foundation for comprehensive UPF regulation by delineating the health-harming commodity that must be regulated. This is particularly important in the context of UPFs where, unlike in the case of tobacco, for example, industry stakeholders can more readily argue health benefits associated with UPFs, in some cases even adding beneficial micronutrients as a tactic to resist regulatory approaches [ 134 ]. Together, these insights suggest that pursuing the adoption of mandatory FOP warning labels could be an important foundation for pursuing other important regulations to improve the healthfulness of food environments. Indeed, in Argentina, FOP warning labels were adopted as the foundation of a suite of reinforcing measures that also prohibited the marketing, donation and sales of labelled products in particular settings, including schools and social support programs. FOP warning labels could also support the introduction of additional priority policies to limit the availability and affordability of labelled UPFs and promote that of healthy, minimally processed food products, such as taxes and subsidies [ 134 ]. The potential of FOP warning labels to open the door to additional regulation could also be applicable in other contexts; however, additional research, such as that which examines the influence of the order in which policy measures are introduced on political and public support for climate policy [ 135 , 136 , 137 ], is needed to examine the generalizability of this strategy outside the Argentine context. In addition, as in Argentina and other cases [ 138 , 139 ], it must be noted that industry stakeholders can still capitalize on neoliberal narratives of individual responsibility to try and undermine FOP warning labels, despite their function as an information-provision tool.

Besides cultivating greater support amongst decision-makers and the public, advocates observed that expanding the need for UPF regulation beyond the confines of a public health narrative also brought additional advocates into the fold in Argentina, such as consumer associations, youth activists, and influencers, all of which contributed to expanding support for the law. By the late stages of the legislative process, the law was seen by many as not only a matter of public health, but one of protecting human rights, safeguarding against corporate control and political corruption, and fostering a more equitable society. This experience in Argentina corroborates a key strategy that has been identified as vital to building a ‘public health playbook,’ against modern corporate power in public health policymaking: linking with other social movements to cultivate collective solidarity [ 59 ]. This is certainly the case for climate and sustainability activism, for example, which continues to garner strong civic engagement worldwide [ 140 ]. The connections between the production and consumption of UPFs and environmental outcomes must be strengthened in research, in advocacy, and in policy decisions [ 141 ]. Other discursive strategies employed in Argentina further corroborate those that have been identified as vital to building a ‘public health playbook,’ including the importance of debunking corporate arguments, of exposing industry tactics to the public, and of leading by example against conflicts of interest by developing rigorous standards against them within public health organizations [ 59 ].

This study is subject to a few limitations. First, this paper focuses on a single case study, limiting the generalizability of the findings to other contexts. For instance, advocates in Argentina noted that they were readily invited alongside other stakeholders, including food and beverage industry actors, to speak within relevant spaces in the Legislative and Executive branch throughout the policy process. This was not the case in Mexico, for example, where civil society actors were excluded from formal participation in relevant institutional discussion spaces for advancing on UPF regulation, reflecting a long legacy of elite-based health policymaking [ 55 ]. In general, Argentina has a strong legacy of civil society activities and activism related to health policy issues as demonstrated in the precedent of tobacco control [ 142 ] and reproductive rights [ 143 ], for example, making it difficult to compare the power dynamics of the policy process to one in which civil society actors have played a different role in health policymaking to date. Another limitation is the retrospective examination of a successful policy decision, which may have introduced bias regarding the importance of certain strategies and enablers. We attempted to mitigate this bias by triangulating information from interviews with that synthesized from a review of media articles, press releases, and reports written leading up to the passage of the law. In addition, we had limited access to stakeholders who participated in certain spaces where the policy was discussed, limiting our insights into power dynamics at play in these spaces. For instance, a burgeoning area of research examines how international trade agreements are being leveraged to hinder nutrition policy action [ 75 , 76 , 77 , 78 , 79 , 80 ]. Several advocates spoke broadly to the challenge of an alternative proposal to reach a regional agreement on FOP labelling through MERCOSUR; however, we were not able to explore the influence of corporate power, or strategies to counter it, at this level of governance in depth due to limited access to stakeholders involved in those discussions. The influence of the politicized nature of the topic must also be acknowledged here. Namely, in certain instances, participants noted that they could not be completely forthcoming with their experience for fear of political backlash, though these instances were limited in number and scope. Consolidating lessons learned from advocate experiences addressing corporate power in supra-national food governance, as in the case of tobacco [ 77 , 144 ], thus constitutes an important area of future research. Finally, lessons learned from the Argentinian experience should not remain static. Future examinations of power dynamics in this case, or others, should encompass the period of policy implementation, which was highlighted by participants as a formidable challenge in the face of continued corporate attempts to undermine it following its adoption. These challenges may have since been compounded with the election of a far-right libertarian president in November 2023, providing a context in which to examine how advocates leverage power, particularly discursive power, in an administration characterized by a prevailing neoliberal ideology.

The use of corporate power to undermine UPF regulatory decisions is increasingly well-documented; however, analyses of how power can be leveraged to promote successful policy decisions are scant. Learning from the small precedent of countries that have managed to successfully adopt robust regulation on UPFs is an important opportunity to strengthen this knowledge in pursuit of a ‘public health playbook’ against corporate power. Leveraging a framework designed to analyze the role of power in public health policymaking, we demonstrate how advocates wielded structural, instrumental, and discursive power to support the passage of the Promotion of Healthy Eating Law in (Ley 27,642) in Argentina. The experience of advocates in Argentina carries important lessons that may be applicable to other countries looking to advance on the topic, including the importance of cultivating a collective movement in support of regulation, the need for synthesis of knowledge and evidence to weather corporate interference, and the promise of shaping dominant discourse so as to better reach both decision-makers and the public.

Data availability

The datasets generated and/or analyzed during the current study are not publicly available due to them containing information that could compromise research participant privacy/consent, but are available, with restrictions applied, from the corresponding author on reasonable request.

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Acknowledgements

The authors gratefully acknowledge Oscar Cabrera and Valentina Castagnari of the Global Center for Legal Innovation on Food Environments at Georgetown University for their guidance on the conceptualization of the project, and Patricia Aguirre, Lorena Allemandi, and Carolina Delgado for their guidance and support during the fieldwork phase of the project.

The authors gratefully acknowledge the financial support of the German Research Foundation (DFG) through the Sustainable Food Systems Research Training Group (RTG 2654). The DFG had no role in study design, data collection and analysis, decision to publish, or preparation of the manuscript.

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Simone Wahnschafft & Achim Spiller

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Wahnschafft, S., Spiller, A. & Graciano, B. How can advocates leverage power to advance comprehensive regulation on ultra-processed foods? learning from advocate experience in Argentina. Global Health 20 , 68 (2024). https://doi.org/10.1186/s12992-024-01069-1

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DOI : https://doi.org/10.1186/s12992-024-01069-1

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