framework for case study interview

Hacking the Case Interview

Looking for a case interview cheat sheet or study guide to help you prepare for your upcoming consulting interviews?

Download our Case Interview Cheat Sheet and Study Guide , which covers all of the most important things you need to know. If you are looking to read the case interview cheat sheet in plain text, we’ve included all of the text below.

This case interview cheat sheet covers:  

What is a case interview?

What do case interviews assess?

What is the structure of a case interview?

What are the common types of cases?

What formulas do you need to know for case interviews?

What numbers do you need to know for case interviews?

What are some case interview tips?

If you’re looking for a step-by-step shortcut to learn case interviews quickly, enroll in our case interview course . These insider strategies from a former Bain interviewer helped 30,000+ land consulting offers while saving hundreds of hours of prep time.

A case interview is a 30- to 45-minute exercise that places you in a hypothetical business situation in which you and the interviewer work together to develop a recommendation or answer to a business problem.

• How can Walmart increase its profitability?
• How can Nike increase customer retention?
• How should Apple price its new smartphone?

A case interview assesses five criteria:

1.   Logical, structured thinking : Can you structure complex problems and ideas in a clear and organized way?

2.  Analytical problem solving: Can you analyze and interpret data to draw the right conclusions?

3.  Business acumen : Do you have a strong understanding of business fundamentals and good business judgment?

4.  Communication skills : Can you communicate clearly, concisely, and articulately?

5.  Personality and cultural fit : Are you a good fit for the work culture of the firm you are interviewing with?

All case interviews follow seven major steps:

1.  Understand the case background : Take notes while the interviewer reads you the case information. Pay particularly close attention to the context, company, and objective.

2.  Ask  clarifying questions : If necessary, ask 1 – 3 questions to clarify the objective of the case, understand the company better, or understand an unfamiliar term.

3.  Structure a framework : Structure a framework to break down the complex business problem into simpler, smaller components. A framework is a tool that organizes different ideas into major categories. Present your framework to the interviewer. Make sure that your framework is MECE .

M utually E xclusive: None of the parts of your framework overlap with each other

C ollectively E xhaustive: All of the parts of the framework account for everything you need to know to solve the case with no major areas missing.

4.  Start the case : How the case will start depends on whether the case is an interviewer-led case or a candidate-led case .

Interviewer-led case : The interviewer will be steering and controlling the direction of the case. They will explicitly point you to which questions to answer.

Candidate-led case : You will be driving the direction of the case. You will propose what area of your framework to start in, what questions you want to answer, what analyses you want to do, and what the next step of the case is.

5.  Solve quantitative problems : There are three major types of quantitative problems you could be asked in case interviews.

Market sizing or estimation questions : You will be asked to calculate the size of a particular market or estimate a particular figure. You may need to make your own assumptions on what number to use or the interviewer may provide you with the data.

Profitability or breakeven questions : You will be asked to calculate the expected profitability of a company or investment decision. You could also be asked to calculate the conditions necessary for a company to break even .

Charts and graphs questions : You will be asked to interpret data from various charts or graphs . These can include bar charts, pie charts, line graphs, scatterplots, bubble charts, and waterfall charts.

6.  Answer qualitative questions : There are two major types of qualitative questions you could be asked in case interviews.

Brainstorming questions : You will be asked to brainstorm a list of ideas for a particular problem or question.

Business judgment questions : You will be asked for your opinion on a business issue or a strategic decision.

7. Deliver a recommendation : Present your recommendation and provide the major reasons that support it. Then, propose potential next steps that you would take if you had more time.

Profitability case : A company is experiencing a decline in profits or profitability and is trying to identify what is causing the decline and what they should do about it.

How to solve:  

• Identify the driver behind the decline in profitability, whether it is from a decline in revenue, increase in costs, or both
• Understand what is causing this by looking at customer needs, competitor moves, and market trends
• Identify ways to improve profitability

Growth strategy case : A company is trying to decide how to best grow its business.

• Determine whether the company is looking to grow organically or inorganically
• For organic growth, consider growth through existing revenue sources and new revenue sources
• For inorganic growth, consider potential acquisitions and partnerships

Market entry case : A company is trying to decide whether they should enter a particular new market.

• Determine whether the market is attractive
• Assess the competitive landscape
• Determine if the company has the capabilities to enter
• Estimate the expected profitability from entering

Merger & acquisition case : A company is trying to decide whether or not they should acquire or merge with a particular company.

• Determine whether the company is attractive
• Assess potential synergies and risks
• Estimate the financial implications

New product case : A company is trying to decide whether or not they should develop and launch a particular new product.

How to solve:

• Determine whether the market that the product targets is attractive
• Assess whether the product meets customer needs and is superior to competitor products
• Determine whether the company has the capabilities to successfully develop and launch the product
• Estimate the expected profitability from launching the product

Pricing case : A company is trying to decide the best way to price a particular product or service.

• Determine the cost to produce the product. This is your minimum price.
• Estimate the customer’s maximum willingness to pay by quantifying the value the product provides. This is your maximum price.
• Investigate the price that competitors are setting for similar products. This will help you determine the optimal price between your minimum and maximum price.

Profit Formulas

• Profit = Revenue – Costs
• Revenue = Quantity * Price
• Costs = Total Variable Costs + Total Fixed Costs
• Total Variable Costs = Quantity * Variable Costs
• Profit = (Price – Variable Costs) * Quantity – Total Fixed Costs

Investment Formulas

• Return on Investment = Profit / Investment Cost
• Payback Period = Investment Cost / Profit per Year

Operations Formulas

• Output = Rate * Time
• Utilization = Output / Maximum Output

Market Share Formulas

• Market Share = Company Revenue in the Market / Total Market Revenue
• Relative Market Share = Company Market Share / Largest Competitor’s Market Share

General Statistics

• Global population: 8 billion
• Average household size: 2.5 people per household
• Average life expectancy: 80 years

Country Population Statistics  

• United States: 320 million
• Canada: 40 million
• Mexico: 125 million
• Brazil: 200 million
• United Kingdom: 60 million
• Germany: 80 million
• France: 60 million
• China: 1.4 billion
• India: 1.4 billion
• Russia: 150 million
• Japan: 125 million
• Australia: 25 million

Tip #1 - Make sure you understand the business problem and objective : Answering or addressing the wrong business problem is the quickest way to fail a case interview.

Tip #2 - Don’t rely on using memorized frameworks : Interviewers can tell when you are regurgitating memorized information and not thinking critically.

Tip #3 - Structure your approach before doing any math calculations : This helps you avoid making unnecessary calculations or reaching a dead-end.

Tip #4 - Talk through your calculations out loud : This decreases the likelihood of making a mistake and helps the interviewer follow what you are doing

Tip #5 - Structure your answer to qualitative questions : Use a simple two-part framework such as internal/external, short-term/long-term, or economic/non-economic.

Tip #6 - Answer “so what?” after every question : Throughout the case, connect each of your answers back to the case objective. What implications does your answer have on the overall business problem?

Tip #7 - Have a firm recommendation : Do not have a flimsy recommendation that switches back and forth between two different recommendations. Pick one and provide support.

Tip #8 - Be 80/20 : You will not have time to answer every single question. Focus on the most important questions that have the greatest impact on your answer. This is the 80/20 principle which states that 80% of the outcome comes from 20% of your effort.

Tip #9 - Be coachable and easy to work with : Interviewers look for people that they would personally want to have on their team. Demonstrate that you would be a great teammate.

Tip #10 - Be enthusiastic : Interviewers want to hire candidates that love their job and will work hard. Displaying enthusiasm shows you are passionate about consulting and working at the firm.

Check out our complete list of case interview tips .

Land Your Dream Consulting Job

Here are the resources we recommend to land your dream consulting job:

For help landing consulting interviews

• Resume Review & Editing : Transform your resume into one that will get you multiple consulting interviews

For help passing case interviews

• Comprehensive Case Interview Course (our #1 recommendation): The only resource you need. Whether you have no business background, rusty math skills, or are short on time, this step-by-step course will transform you into a top 1% caser that lands multiple consulting offers.
• Case Interview Coaching : Personalized, one-on-one coaching with a former Bain interviewer.
• Hacking the Case Interview Book   (available on Amazon): Perfect for beginners that are short on time. Transform yourself from a stressed-out case interview newbie to a confident intermediate in under a week. Some readers finish this book in a day and can already tackle tough cases.
• The Ultimate Case Interview Workbook (available on Amazon): Perfect for intermediates struggling with frameworks, case math, or generating business insights. No need to find a case partner – these drills, practice problems, and full-length cases can all be done by yourself.

For help passing consulting behavioral & fit interviews

• Behavioral & Fit Interview Course : Be prepared for 98% of behavioral and fit questions in just a few hours. We'll teach you exactly how to draft answers that will impress your interviewer.

Land Multiple Consulting Offers

Complete, step-by-step case interview course. 30,000+ happy customers.

• The 1%: Conquer Your Consulting Case Interview
• Consulting Career Secrets
• Cover Letter & Resume
• McKinsey Solve Game (Imbellus)
• BCG Online Case (+ Pymetrics, Spark Hire)
• Bain Aptitude Tests (SOVA, Pymetrics, HireVue)
• Kearney Recruitment Test
• BCG Cognitive Test Practice
• All-in-One Case Interview Preparation
• Industry Cheat Sheets
• Structuring & Brainstorming
• Data & Chart Interpretation
• Case Math Mastery
• McKinsey Interview Academy
• Brainteasers

Mastering Case Interview Frameworks in 2024: A Comprehensive Guide

Last Updated on August 14, 2024

In the competitive world of consulting recruiting , mastering case interviews is a crucial step towards landing a job at top firms like McKinsey , BCG , and Bain . Discovering how to structure case interviews in consulting is fundamental, as the foundation of successful performance lies in effectively tackling complex business problems. In 2024, with more challenging and creative cases, understanding how to craft a compelling case interview framework is more important than ever.

This article serves as a comprehensive case structure guide, diving deep into the art and science of structuring your analysis and providing you with essential insights into what a case interview framework entails, why it’s critical for your success, and the different strategies you can employ to impress your interviewers from the get-go.

Starting with an overview of what case interview frameworks are and their significance, we explore the nuances and provide essential case structuring tips that set apart winning strategies from the rest. We offer tips for acing consulting firm case interview frameworks. Whether you’re wondering about the types of frameworks that exist, what constitutes a robust case interview structure, or if memorizing frameworks is beneficial, we’ve got you covered.

This guide is based on our experience as McKinsey interviewers and cas coaches with more than 1600 case interview sessions conducted at the time of writing. It is designed to give you a head start in your case interview preparation, ensuring you’re well-equipped to structure your thoughts like a seasoned consultant.

By integrating key concepts with practical advice, this article is your ultimate guide to consulting case structure and acing case interviews in 2024. Stay tuned as we guide you on answering consulting structuring questions with confidence and tackle some of the most pressing consulting framework questions, helping you structure your approach in case interviews more effectively. We want to give you a head start by answering the following questions in this article:

• What is a case interview framework?
• Why do you need to structure your approach?
• Are there different types of frameworks?
• What makes a good case interview structure?
• Should you learn case interview frameworks by heart?
• How can you create frameworks from scratch using a first-principles approach?
• What is the best way to practice framework creation?
• How do you structure a McKinsey case interview? Is it different from candidate-led interviews?

This article is part of our consulting case interview series. For the other articles, please click below:

• Overview of case interviews: what is a consulting case interview?
• How to create a case interview framework (this article)
• How to ace case interview exhibit and chart interpretation
• How to ace case interview math questions

What is a Case Interview Framework?

A case interview structure is used to break the problem you are trying to solve for the client down into smaller problems or components. It is the roadmap you establish at the beginning of the interview that will guide your problem-solving approach throughout the case.

You are defining areas to analyze that help you understand where the problem is coming from or how to answer the question of a client.

In that sense, structuring your approach is the first important step in every case interview. Initially, the interviewer will tell you about the client’s situation and the problem they are asking you to solve. After playing back the prompt and asking clarification questions, you need to structure your approach and create a case interview framework.

Let’s look at one traditional example:

Our client is a beverage manufacturer and has seen declining profits over the last year. They have called us to investigate the issue and propose ways out of it. A typical case interview prompt (simplified)

For you as a candidate, getting the framework right is the first step to successfully acing the case. If you fail to propose a proper analytical structure, you will not be able to investigate the situation and find the root cause of the issue.

A case interview framework usually consists of a top layer and several sub-levels, where the top-level buckets cover the issue broadly, whereas the sub-level buckets identify more concrete areas to look at.

To illustrate, the most common and basic structure that would allow us to analyze the situation on top would be looking at:

Profit = Revenue – Cost

This high-level structure is used for profitability cases when you are tasked to solve an issue with the client’s profit development. The two buckets revenue and cost represent the top level. To analyze the problem properly, you would need to go deeper and figure out what sub-levels influence the variables you are looking at.

For instance, for our beverage manufacturer, you could look at cost and break it down into fixed cost and variable cost with a 3rd level of concrete areas to investigate:

It is important to tailor the structure and associated sub-levels to the case questions. Framework templates were en vogue 5-10 years ago and consulting firms have moved away from asking generic cases that would fit the frameworks taught by Case in Point or Victor Cheng (more on that below).

In terms of format, the best-practice approach to structuring a case is to build an issue tree with branches, which are split into several sub-branches (see the example below).

As with most other aspects of the case interview, mastering effective consulting interview frameworks and deconstructing problems is a skill that needs to be learned, internalized, and practiced to perform best during the interviews.

We’ll cover this in much more detail later in this article.

Why Do You Need a Framework to Structure Your Approach?

The initial structure you need to come up with serves three important purposes in a case interview.

Investigative roadmap

First, it is the roadmap you establish initially that guides your problem-solving throughout the case. Once you lay out your planned approach, you should go through each bucket or branch of your issue tree to find the issue(s) the client is facing or to evaluate the ideas you came up with to fit the needs of the client and then work on your recommendation(s). The case framework serves as the anchor you should stick to as you move through your analysis.

Communication device

Second, it is used as a communication device to guide the interviewer through your thought process and approach. Additionally, moving through the structure allows you to ask targeted questions to the interviewer about additional data or information on each point.

Analytical test

Third, coming up with a proper structure and communicating it well is a test in itself. The interviewer tries to understand how well you can tackle unfamiliar problems. They will evaluate your thinking, logic, analytical capabilities, and problem-solving prowess as well as communication skills.

Case Structuring Course and Drills

Learn how to structure any case, regardless of the problem, industry, or context with our first-principles approach to problem deconstruction and brainstorming. We use our McKinsey interviewer experience to teach you how to structure cases like a real consultant.

Includes 36 video lessons on structuring and brainstorming and 100 practice drills.

Different Types of Frameworks with Examples

Generally, two types of case frameworks exist, depending on the nature of the question.

Either you are asked to break a problem down into its parts and understand where an issue comes from to provide a recommendation (e.g. ”Our client is trying to understand why…?” ) or you are asked to answer a specific question ( ”Should our client engage in…?” ).

Figuring out a problem

A structure here is the starting point and anchor of your problem diagnostic.

First, you need to think about all potential problem areas, then drill down into each branch to figure out what is wrong exactly by collecting more information from the interviewer and exhibits; based on your probing you will receive information from the interviewer that you have to analyze qualitatively and quantitatively, then provide a recommendation in the end.

Answer a question

For these types of questions, a structure is a systematic analysis of a situation or comparison of options that you want to investigate on behalf of the client to help them with a specific goal or question.

For both types of structures, you should follow a hypothesis-driven approach, i.e. already having a clear vision of where the problem could be buried most likely or what approach or idea would best support the client’s goal.

Apart from knowing what frameworks are used for, what characteristics make a strong case interview structure?

Criteria of Strong Case Interview Frameworks

A good case interview framework follows several rules.

Let’s break them down into content requirements and principles.

Content requirements

An excellent structure is broad at the top level, goes into greater depth on the sub-levels, and consists of meaningful and insightful ideas.

• Breadth: How many buckets does your structure consist of at the top level? While in a profitability case, the top level is given, for many other cases you can expand your top level by several buckets ( Real MBB case question: ”What could be the reason our machines break down at different rates in different locations?” ).
• Depth: How deep do you go into each top-level idea and come up with levers/areas to look at below? How well can you support your top-level with the actual ideas that influence it?
• Innovation: How meaningful and insightful are your ideas? Create a mix of common components as well as more out-of-the-box answers. Tell the interviewer something they have not heard before.

Principles of success

Make sure that your structure adheres to the principles below.

• MECE-ness: Refers to a grouping principle for separating a set of ideas into subsets that are mutually exclusive (no overlaps between the different branches of the issue tree) and collectively exhaustive (covering all important aspects). It is used to break down problems into logical and clean buckets of analysis.
• Actionable: Your answer should only consist of ideas that you can exert influence on within the given time frame (e.g. if you are asked to come up with measures over the next year, everything beyond that should not be touched in your structure).
• Logically coherent: Top levels and sub-levels should be consistent within their level and across levels. They should stick to the same hierarchy of importance and logic (e.g. if you are comparing revenue and cost, they should be at the same level, and everything that influences the two should be below).
• Relevant: The content should be relevant to the case at hand, tailored to the client, and easy to follow and communicate. Avoid over-structuring your case. Find a few broad categories at the top and then break them down further.
• Hypothesis-driven: You should have a clear idea of where the problem is buried or what solution is best for the client from the start, and while moving through the structure and gathering additional information, that hypothesis should become clearer.

Memorizing Frameworks is the Worst Thing You Can Do

Upon beginning work with new clients, it becomes immediately evident when they’ve memorized standard frameworks, as this practice typically affects their early performance noticeably. It’s hard to fault them, given that prevalent case interview guidance and literature still advocate memorizing frameworks to apply or tweak across various cases.

Be aware that framework templates were applicable 15 years ago, in the era of Victor Cheng and Case in Point. McKinsey and other top-tier firms have long caught up on this and the cases you will get during the interviews are tailored in a way to test your creativity and ability to generate insights, not remember specific frameworks.

In fact, it will hurt you when you try to use a framework on a case that calls for a completely different approach. Also, it gives a false sense of security that will translate to stress once you figure out how your approach won’t work during the real interview – We have seen this so many times…

Your goal should be to master various framework creation methods, allowing you to build custom issue trees and frameworks, interpret charts , and perform math no matter the case’s context, industry, or function. Our approach teaches you this and trains your ability to come up with deep, broad, and insightful structures for each case individually.

Also, be aware that there is no typical McKinsey case interview framework, BCG case interview framework, or Bain case interview framework. All firms use a diverse set of cases, which are usually developed by each interviewer individually based on a real consulting project they have completed.

If you are looking for case interview examples, check out this article , where we have compiled a link list of all publicly available MBB and tier-2 consultancy cases.

Back to the frameworks: Memorizing frameworks for a case interview may seem like an effective strategy, but in reality, this practice is detrimental to your performance. McKinsey, BCG, Bain, and other top consulting firms want to see candidates come up with their own solutions and innovative approaches.

I want to show you why memorized frameworks like the ones from Case In Point or Victor Cheng do not work and supplement these with plenty of examples to bring the point across. In the end, I want to introduce you to my Structuring Drills course as well as my Case Interview Preparation book, The 1%: Conquer Your Consulting Case Interview . Both resources are aimed at developing you into a world-class case interviewee.

Below are the top reasons why memorized frameworks and cookie-cutter approaches do not work.

No points for problem-solving

First, case interviews are designed to test your problem-solving and critical-thinking skills, not your ability to regurgitate memorized information. Frameworks are meant to be a guide, not a script. Using a memorized framework in an interview can make it obvious that you are not thinking critically about the problem at hand, which can make it difficult for you to impress the interviewer. Interviewers want to see insightful analytical constructs, which means that they need to be tailored, relevant, and concrete.

If you just use memorized buckets, you will score badly in terms of problem-solving. To see a real scoring sheet, go here .

Cases have become much more creative

Second, case interviews often involve unique and unpredictable scenarios. No two cases are the same, so a memorized framework may not apply to the specific problem you are presented with. Attempting to force a framework onto an unrelated problem can make it clear that you lack flexibility and the ability to adapt to new situations.

For instance, let’s look at a real McKinsey case example from a couple of years ago.

You are working with an operator of a specific type of machines. They break down at different rates at different locations. What factors can you think of why that would happen? Example of a McKinsey Case Interview Structure Questions

Which Victor Cheng framework or Cosentino ideas would you present here to the interviewer? There is not a single bucket that would work.

Let us look at an example answer for this prompt.

You limit your creativity

Third, using a memorized framework can limit your ability to think creatively. When you are focused on trying to fit the problem into a pre-existing framework, you may miss opportunities to come up with innovative solutions.

1% of candidates make it through the filter of MBB . You want to provide insights the interviewer has not heard before and not be just like the other 99% that fail to impress.

You have no rationale

Fourth, case interviews also test your ability to communicate and present your thought process effectively. When you are relying on a memorized framework, you may not be able to explain the reasoning behind your solutions and ideas. This can make it difficult for the interviewer to understand your thought process and evaluate your problem-solving skills.

Interviewers want to understand why you think a certain way, not just what you think. Memorizing frameworks completely kills your ability to support and defend your choices.

In conclusion, memorized frameworks can be detrimental to your performance in a case interview. Instead, it’s better to focus on developing your problem-solving, critical thinking, flexibility, creativity, and communication skills. These are the skills that are truly valued in case interviews and a business setting later on.

Let’s have a brief look at how you can become a better problem solver and create frameworks like an actual consultant.

Apply a First-Principles Approach to Frameworks

Consultants approach problems from a first-principles perspective. If you learn how to do the same, not only will you come across as an equal to them, not just another case interviewee, but your analytical lens and case performance will skyrocket. Adopt these innovative framework creation methods for case interviews.

First-principles thinking

At the core of your idea generation should be first principles thinking, which refers to the process of systematically deconstructing a problem or situation into its constituent parts in a MECE way. Only by following this approach can you identify where the issue in a case comes from and how big it is (the what), then dive deeper to understand the reason (the why) to eventually work on a solution (the how). First principles allow you to break a situation down into its core pieces and then put it back together.

For instance:

“What do we need to build an aircraft?”

• A factory (infrastructure)
• Tools and equipment
• Financial means

From there, you go into second and third-order considerations; for instance, for staff:

• Formal education and training
• Work experience
• # of people in total
• # of people for different areas (e.g., engines vs. wings)
• Supply of and demand for labor in the area
• Job advertisement
• Working conditions
• Remuneration and benefits

There are several ways you can employ this type of thinking for creating case interview frameworks. First, we look at the top level of your issue tree, the foundation of your problem-solving, and then explore in more depth the branches, all with a first principles perspective in mind.

Framework creation techniques

For most cases, you can focus on problem deconstruction from two angles: examining the components involved and understanding the process.

To illustrate, we’ll explore the example of improving customer satisfaction for an airline.

The component approach

When we dissect a problem through the lens of its components, we look at the static elements that make up the situation. For an airline, this could include the tangible and intangible assets that affect a customer’s experience. These components might encompass the aircraft itself (comfort, cleanliness, amenities), the staff (friendliness, efficiency), the booking system (ease of use, flexibility), and ancillary services (lounge access, on-board meals).

By examining each component individually, you can identify potential areas for improvement. For example, an analysis might reveal that enhancing the on-board meal quality could significantly boost overall customer satisfaction. This approach requires a deep dive into each element, assessing its current state, impact on the customer journey, and potential for optimization.

The process approach

Alternatively, examining the problem through a process lens involves mapping out the sequence of steps a customer takes, from booking a flight to reaching their destination. This perspective allows you to identify pain points and opportunities for enhancement at each stage of the customer journey.

For instance, you might discover that the check-in process is a significant bottleneck, causing frustration and setting a negative tone for the journey. By streamlining this process, perhaps through more efficient use of technology or additional staff training, you could improve the overall customer experience, thereby increasing satisfaction.

Once you have generated your top-level buckets, expand those ideas into more concrete ideas on the levels below. For instance, from a component perspective, you might have identified staff as an area to investigate.

Next, think about what type of staff a typical passenger encounters like booking agents, check-in staff, lounge personnel, cabin crew, etc. Voila, you have created the most concrete and final level of your analytical framework structure.

Try it out yourself when you encounter the next case problem and think about it either from a process or component perspective, then dive deeper.

While it might be harder initially to use this approach of creating frameworks from scratch, the outcome over time always beats memorization. Hence, we do not recommend any other way to learn and practice frameworks.

Practicing Case Interview Framework Creation and Problem Deconstruction

Developing a strong foundation in creating case interview frameworks is essential for success in consulting interviews. This skill is not about memorizing a set of frameworks but understanding how to construct them from scratch based on the problem at hand. Here’s how you can hone this ability:

1. Master content creation techniques for problem deconstruction : Our course is designed to equip you with the right techniques for breaking down complex problems into manageable parts. We focus on first principles thinking and an intuitive way of breaking down problems, enabling you to understand the core elements of any issue you’re presented with, which is crucial for custom framework creation.

2. Practice with a variety of cases : Exposure to a wide range of case scenarios is key. Our library includes over 100 practice cases, complete with detailed answer keys and explanations. This diverse set of examples will not only improve your ability to adapt your framework to different problems but also enhance your problem-solving speed and efficiency.

3. Regularly read business publications and magazines : Keeping up-to-date with the latest in the business world is invaluable. This habit sharpens your business acumen, enriches your understanding of current market trends, and deepens your industry knowledge, all of which are critical when you need to tailor your frameworks to specific contexts.

4. Understand basic business concepts and terminology : A solid grasp of fundamental business concepts and jargon is non-negotiable. This foundational knowledge ensures you can speak the language of business fluently, making it easier to structure your thoughts and communicate effectively during the case interview.

Remember, the goal is not to memorize frameworks but to learn how to construct them dynamically as per the needs of the case. This approach ensures that your frameworks are always tailored, insightful, and directly relevant to the problem you’re solving.

Also, do not forget that creating the structure at the beginning of the case is just the first step. There are also other elements to consider in a consulting interview preparation plan .

Case Interview Framework in McKinsey Interviews

Since the McKinsey interview is interviewer-led, there is an extra emphasis on the structuring part.

At the core, McKinsey wants to see creative ideas communicated in a structured manner, the more exhaustive the better. Your goal should be to come up with a tailored and creative answer that fits the question.

In a McKinsey interview, you can take up to 2 minutes to draft your structure, IF the structure you come up with is strong and

• hits all the key points that the firm wants to see and
• is communicated in the right way.

A big issue I see with coaching candidates is that they take too little time to structure their thoughts because they feel pressured to be quick rather than exhaustive and creative.

An additional 30 seconds can often make the difference between a bad structure and a good one or a good one and an excellent one. So my battle-tested advice is to get rid of this time-pressure mindset, especially in a McKinsey interview.

Now for the content of the structure, there is no right or wrong answer. Some answers are better than others because they are

• hypothesis-driven
• follow a strong communication (MECE, top-down, signposted)

That being said, there is no 100% that you can reach or a one-and-only solution/ answer. It is important that your answers display the characteristics specified above and are supported well with arguments.

Also different from other firms, you can take up to roughly 5-6 minutes to present your structure, your qualifications, and hypotheses. This is due to the interviewer-led format that McK employs. The firm wants to see exhaustive and creative approaches to specific problems.

Again, this only applies if everything you say

• adds value to the problem analysis
• is well qualified
• includes a detailed discussion of your hypotheses at the end

The difference in format and way of answering a question is the reason why I recommend preparing differently for McKinsey interviews vs. other consultancies’ interviews.

Read more about the McKinsey interview process and the McKinsey case interview specifically.

We Help You Draft Frameworks and Communicate Them Well

I have seen memorized and cookie-cutter frameworks destroy many candidates’ performance and chances to get an offer for many years now. The only issue that is bigger than that is the typical candidate’s ability to handle case math ( but that is for another time ).

To conquer that and many other things that I think are wrong with today’s standard literature on case interviews, I wrote The 1%: Conquer Your Consulting Case Interview . The book is available on Amazon and covers frameworks, case structuring, and brainstorming in great depth. It teaches you how to think and not to memorize faulty frameworks (among 340+ pages of other valuable case interview content).

Once you have understood how to tackle a case structure, you can practice with the Case Structuring Course and Drills here on StrategyCase.com.

We have specialized in placing people from all walks of life with different backgrounds into top consulting firms, both as generalist hires as well as specialized hires and experts. As former McKinsey consultants and interview experts, we focus on teaching the best habits and strategies to ace every case interview, including idea generation, problem-solving, and brainstorming, all from a first-principles perspective.

We can help you by

• tailoring your resume and cover letter to meet consulting firms’ highest standards
• showing you how to pass the different online assessments and tests for McKinsey , BCG , and Bain
• showing you how to ace McKinsey interviews and the PEI with our video academy
• coaching you in our 1-on-1 sessions to become an excellent case solver and impress with your fit answers (90% success rate after 5 sessions)
• preparing your math to be bulletproof for every case interview
• helping you structure creative and complex frameworks for case interviews
• teaching you how to interpret charts and exhibits like a consultant
• providing you with cheat sheets and overviews for 27 industries .

Reach out to us if you have any questions! We are happy to help and offer a tailored program to help you break into consulting.

To improve your skills in all areas of the interview, check out some of our targeted offers below.

Frequently Asked Questions about Case Interview Frameworks

In more than 1600 case interview sessions at the time of editing this article, several questions have come up frequently from my clients. To assist you in this critical phase of your case interview preparation, I’ve compiled a list of frequently asked questions about case interview frameworks.

These questions aim to shed light on the nuances of preparing for and excelling in case interviews, providing you with insights to enhance your understanding and skills.

How do specific industries impact the creation of case interview frameworks? Industries play a crucial role in shaping the choice of case interview framework components, specifically at the lower levels. At the top level, most companies are built in the same way, regardless if they are offering a product or a service. The main difference to tailor it to the industry usually happens on the lower levels of the framework. For instance, while both an airline and a bookstore generate revenue, which is comprised of price times quantity, the pricing for an airline works very differently (e.g., ticket price, booking fee, seat allocation fee, baggage allowance fee, etc).

Can you provide real-life examples of case interview questions from top consulting firms and how to apply frameworks to them? While specific real-life examples are proprietary, many consulting firms publish practice cases on their websites. These can serve as a valuable resource for understanding how to apply frameworks to solve common business problems, with each case typically demonstrating the application of different analytical frameworks. We have collected many free practice cases from different firms here .

What are the common mistakes candidates make when structuring their approach in case interviews, and how can they avoid them? Common mistakes include overly relying on memorized frameworks without creating new ones for the specific case, failing to listen actively to the interviewer’s hints, and neglecting to structure answers in a MECE (mutually exclusive, collectively exhaustive) manner. Avoid these by practicing flexibility, active listening, and ensuring your approach is tailored and comprehensive.

How has the approach to case interviews and the use of frameworks changed over the past decade? The approach has shifted towards evaluating candidates’ ability to think creatively and adapt frameworks dynamically rather than relying solely on memorized structures. This change reflects the consulting industry’s need for innovative problem solvers who can navigate complex and evolving business landscapes.

Are there any differences in how frameworks should be applied in virtual versus in-person case interviews? The core principles remain the same, but virtual interviews require candidates to be even more clear and structured in their communication , given the lack of physical presence. Ensuring technical setup is optimal and practicing verbalizing your thought process can help bridge the gap.

What role does creativity play in structuring case interviews, and how can candidates balance it with the use of standard frameworks? Creativity is crucial for developing tailored and insightful frameworks that go beyond standard responses. Candidates should not use standard frameworks but explore creative angles and solutions to demonstrate their unique problem-solving abilities.

How can non-business background candidates quickly grasp the concept of case interview frameworks? Non-business candidates should start with foundational problem-solving practices and business concepts and practice applying them to diverse case scenarios. Leveraging resources like business publications, online courses , and practice cases can accelerate their understanding and application of case frameworks.

What are the interviewers’ perspectives on the use of frameworks, and what do they look for in a candidate’s approach? Interviewers seek candidates who can create their own frameworks flexibly and creatively, showing an understanding of the underlying business principles. They value clarity, logical structuring, and the ability to derive actionable insights tailored to the specific case. Interviewers usually do not pass candidates who use memorized frameworks that do not fit the case.

How can candidates effectively practice and improve their framework structuring skills? Practice is key. Engaging in mock interviews, analyzing case studies, and receiving feedback from peers or mentors can greatly improve your ability to structure effective frameworks. Additionally, regularly challenging yourself with new and diverse case scenarios can build adaptability and depth in problem-solving. If frameworks are one of your key development areas, do not waste time going through full cases. Rather, work on individual drills back to back to create a habit of deconstructing problems accurately and swiftly.

What are some advanced techniques for customizing frameworks to fit unique case interview scenarios? To customize frameworks for unique case interview scenarios, focus on deconstructing the problem using first principles thinking. Break down the issue into its fundamental components or underlying steps to understand its structure. This approach enables you to create a tailored framework that directly addresses the specificities of the scenario. Apply relevant industry insights and business sense to enhance your analysis. Begin with a clear, strong hypothesis to steer your investigation and framework construction, ensuring that every part of your framework is directly relevant to unraveling the core problem at hand.

Do you have a framework-related question or struggle? Reach out to us in the comments below and we are happy to help!

Leave a Reply Cancel reply

You must be logged in to post a comment.

Florian spent 5 years with McKinsey as a senior consultant. He is an experienced consulting interviewer and problem-solving coach, having interviewed 100s of candidates in real and mock interviews. He started StrategyCase.com to make top-tier consulting firms more accessible for top talent, using tailored and up-to-date know-how about their recruiting. He ranks as the most successful consulting case and fit interview coach, generating more than 500 offers with MBB, tier-2 firms, Big 4 consulting divisions, in-house consultancies, and boutique firms through direct coaching of his clients over the last 3.5 years. His books “The 1%: Conquer Your Consulting Case Interview” and “Consulting Career Secrets” are available via Amazon.

Most Popular Products

Search website

Strategycase.com.

© 2024 | Contact: +43 6706059449 | Mattiellistrasse 3/28, 1040 Vienna, Austria

• Terms & Conditions
• Privacy Policy
• Universities & consulting clubs
• American Express

Click on the image to learn more.

• Case Study Interview Framework – The Ultimate Guide

Mastering the Art of Case Study Interview Frameworks

Case study interview frameworks are essential tools for showcasing your company’s real-world impact. But creating one that resonates requires more than just gathering data. You need a well-structured case study interview framework, effective interview techniques, and a streamlined workflow. This ultimate guide will walk you through each step, providing insights and strategies designed for marketers who are ready to elevate their case studies to the next level.

Building a Comprehensive Case Study Interview Framework

A robust framework is the backbone of any effective case study. Start by clearly defining your objectives. What do you want your audience to learn? Understanding this will guide the rest of your process.

Next, outline the key elements you need to cover:

• Client Background: Who are they, and what industry do they operate in?
• Challenges: What specific problems were they facing?
• Solutions: How did your product or service address these challenges?
• Results: What measurable outcomes were achieved?

Each section should have targeted questions that help you explore the client’s experience in dept. For example, under “Challenges,” you might ask, “What specific pain points were you dealing with before implementing our solution?” Organize your framework logically so the case study flows naturally from problem to solution to results.

Conducting Effective Case Study Interviews

Interviews are where you gather the rich, detailed information that makes a case study compelling. Begin by preparing thoroughly—research the client, their industry, and the specific challenges they face. This preparation enables you to ask more insightful questions.

During the interview, focus on open-ended questions. These encourage the client to elaborate and provide the depth of information you need. Instead of asking, “Did the solution work for you?” ask, “Can you describe how our solution impacted your daily operations?” This approach leads to more meaningful responses.

Active listening is key. Let the interviewee speak without interruptions, and don’t rush to fill silences. These pauses often lead to deeper insights as the interviewee reflects on their experience.

Sample Questions for Case Study Interviews

1. Understanding the Client’s Business

• “Can you tell me about your company’s mission and the role it plays in your industry?”
• “What were the primary challenges your business faced before you sought a role in our solution?”

2. Exploring the Objectives

• “What specific goals did you have in mind when you decided to look for a solution?”
• “How were these objectives aligned with your broader business strategy?”

3. Delving into Challenges

• “What were the immediate issues that needed addressing?”
• “Were there any long-term challenges that you were concerned about?”

4. Solution Discovery

• “How did you come across our solution, and what factors influenced your decision to choose us?”
• “What other options did you consider, and why did you decide against them?”

5. Implementation Process

• “Can you walk me through the implementation process? What were some initial successes or challenges?”
• “How did your team adapt to the new solution during the integration phase?”

6. Results and Impact

• “What key performance indicators (KPIs) did you track to measure the solution’s success?”
• “Can you share specific results or metrics highlighting the solution’s impact on your business?”

7. Client Testimonial

• “How would you describe your experience working with our team?”
• “What aspects of our solution or service stood out to you the most?”

8. Lessons Learned

• “Looking back, what lessons have you learned from this project?”
• “Are there any best practices or insights you gained from this experience?”

9.  Future Outlook

• “How do you see our solution contributing to your company’s future growth?”
• “Are there any upcoming projects where you might apply what you’ve learned from this experience?”

Streamlining the Workflow

Your case study interview framework should also include a structured workflow.

1. Kickoff Meeting: Align stakeholders on objectives and timelines. Set clear goals and roles.

2. Pre-Interview Preparation: Review client history, industry trends, and relevant survey responses to equip your team with the necessary background knowledge.

3. Interview Execution: Conduct the interview focusing on capturing authentic client insights. Record the conversation and take detailed notes.

4. Data Collection: Gather all relevant metrics and success indicators from the client. Analyze these and compare them against industry benchmarks to contextualize your findings.

5. Content Creation: Draft the case study, optimizing it for SEO. Identify keywords, incorporate them naturally, and structure the content with H1, H2, and H3 tags. Also, prepare the document for the web team by including meta descriptions, alt text for images, and internal/external links.

6. Internal Review: Share the draft with internal stakeholders for feedback. Ensure the case study aligns with brand messaging and objectives.

7. Legal and Compliance Check: Review the case study for compliance with confidentiality, intellectual property, and data protection.

8. Client Review and Approval: Send the final draft to the client for feedback and approval. Incorporate any changes they request to ensure accuracy and satisfaction.

9. Design and Final Formatting: Work with design teams to enhance the case study’s visual appeal. Finalize the layout, ensuring it is both engaging and easy to read.

10. Distribution Strategy: Plan and execute the distribution of the case study across multiple channels. You can use your website, social media, newsletters, and sales materials to maximize reach and impact.

11. Feedback Loop and Archiving: Gather feedback from the client and audience after publishing the case study. Use this input to refine future case studies. Archive the case study for reference and apply learnings to the next project.

Enhanced Elements for a Comprehensive Case Study

To further enrich your case study interview framework, consider integrating these elements:

1. Competitive Benchmarking: Position the client’s success against industry standards to showcase their achievements more effectively.

2. Content Reusability Strategy: Repurpose the case study across formats and channels, such as PDFs, blog posts, and social media snippets.

3. Client Consent and Collaboration: Ensure the client is involved by reviewing drafts and giving explicit consent before publication.

4. Distribution and Promotion Plan: Develop a comprehensive plan to distribute the case study through various channels, maximizing its impact.

5. Feedback Loop: After publication, gather feedback from clients and your audience to improve future case studies.

Advanced Enhancements for Maximum Impact

1. Measurement of ROI: Demonstrate the financial impact of the solution by calculating and presenting ROI.

2. Client Persona Development: Tailor the case study to resonate with similar potential clients by developing a client persona based on the company’s characteristics and industry.

3. Success Stories Beyond Metrics: To humanize the case study, include personal success stories and anecdotes from the client’s team.

4. Post-Implementation Support: Highlight ongoing support and customer service excellence to show long-term commitment.

5. Interactive Elements: Engage readers with interactive content, such as clickable ROI calculators or video testimonials.

6. Risk Mitigation Analysis: This will add another layer of credibility by addressing how potential risks were identified and mitigated during the project.

7. Client Retrospective: Conduct a follow-up interview several months after project completion to capture insights on long-term impact and client satisfaction.

8. Customizable Templates: Develop templates for future case studies to ensure consistency and efficiency in your process.

Final Thoughts

Creating a resonant case study requires careful planning, thorough interviews, and a structured workflow. By following this ultimate guide, and using the case study interview framework, you’ll be well-equipped to craft case studies that not only tell a compelling story but also demonstrate your company’s value in a clear, impactful way.

Get the Mastering Case Study Interview Checklist

View our growing library of templates and checklists .

Recent Posts

• What is Fractional Marketing?
• Mastering the Strategic Marketing Planning Process: A Comprehensive Guide with Actionable Steps
• How Fractional Marketing Leadership Can Boost Your Growth
• How a Fractional Marketing Director Can Boost Your Business with an Integrated Marketing System

Recent Comments

Career in Consulting

11 must-know case interview frameworks

This is a complete guide to case interview frameworks.

In this in-depth guide, you’ll learn:

• 11 must-know consulting frameworks to ace your case interviews
• How to use these frameworks in your case interviews
• And how to create custom frameworks

So, if you want to land an offer from a top consulting firm, this guide is for you.

Let’s dive right in.

Table of Contents

Get the latest data about salaries in consulting, what are case interview frameworks.

A case interview framework is a structured way to approach how to solve a problem .

In other words:

Case interview frameworks help Consultants (and aspiring Consultants) brainstorm and organize their ideas to solve complex problems.

For example, a case interview framework is the profitability framework.

Let’s imagine this business problem:

Your client is manufacturing cars. And, for the past 2 years, they have been experiencing declining profits. They hire us to determine the root causes of this business problem.

And to help this company, you should explore the two main profit drivers: revenues and costs.

And explore if revenues decreased (one cause of declining profits).

Or explore if costs increased (another cause of declining profits).

Well… this (simple) example is a business framework.

Related articles

Check also these articles to ace your case interviews:

16 case interview tips

16 case interview mistakes

Ace market sizing questions (incl. 3 market sizing frameworks) 

Case interview preparation

280 case interview examples

Let’s detail the 11 common case interview frameworks you must know to ace your case interviews .

And let’s start with Porter’s five forces.

Case interview framework 1: Porter’s Five Forces

Let’s start with an analysis of external factors.

And one of the most well-known business frameworks is Michael Porter’s Five Forces model.

And it can be found in the book Competitive Strategy: Techniques for Analyzing Industries and Competitors .

Michael Porter’s Five Forces model says the following:

Competitive advantage in an industry is dependent on five primary forces :

• The threat of new entrants
• How much bargaining power do buyers have
• The bargaining power of suppliers
• Threat of substitute products
• Rivalry with competitors

The degree of these threats determines the attractiveness of the market:

• An intense competition allows minimal profit margins.
• Mild competition allows wider profit margins.

Therefore, the goal is to assess whether a company should enter/exit the industry or find a position to defend itself against these forces best or influence them in its favor .

For instance, your market entry framework should include the components of Porter’s Five Forces. 

The threat of new entrants (barriers to entry)

Several factors determine the degree of difficulty in entering an industry:

• Economies of scale

Product differentiation

• Capital requirements vs. switching costs
• Access to distribution channels
• Cost advantages independent of scale
• Proprietary product technology
• Favorable access to raw materials
• Favorable location
• Government subsidies
• Learning curve
• Government policy

Relationship with buyers (buyer power)

• It is concentrated or large purchases volumes relative to the seller’s sales
• The products it purchases front the industry are standard or undifferentiated
• It faces few switching costs
• Buyers pose a credible threat of backward integration
• The industry’s product is unimportant to the quality of the buyer’s products or services
• The buyer has full information
• Purchasing potential
• Growth potential
• Structural position: intrinsic bargaining power and propensity to use it
• Cost of servicing

Relationship with suppliers (supplier power)

A supplier group is powerful if:

• It is not obliged to contend with other substitute products for sales in the industry
• The industry is not an important customer of the supplier group
• The supplier group is an important input to the buyer’s business
• The supplier group’s products are differentiated, or it has built up switching costs
• The supplier group poses a credible threat to forward integration

Key issues in purchasing strategy from a structural standpoint are as follows:

• Stability and competitiveness of the supplier pool
• An optimal degree of vertical integration
• Allocation of purchases among qualified suppliers
• The threat of backward integration

Substitute products

Substitute products that deserve the most attention are those that:

• Compete in price with the industry’s products
• Are produced by industries earning high profits

Rivalry among competitors (competitive analysis)

Now, let’s analyze the competitive landscape.

Rivalry among existing competitors increases if:

• Numerous or equally balanced competitors exist
• Industry growth is slow
• Fixed costs are high
• There is a lack of differentiation (commodity market)
• There are low switching costs
• Production capacity is augmented in large increments

To end this first section about Porter’s Five Forces, you can watch this video made by the channel Business To You.

Case interview framework 2: the 4 P’s

The 4Ps are:

And it’s often seen as a Marketing framework.

The 4Ps framework can help you in your case interviews in one of the following situations :

• A market entry strategy or a product launch strategy
• To understand why sales (or market shares) have decreased

Now, let’s look at the different elements of the 4P framework.

In examining the competitiveness of a company’s product, whether it is a new product being introduced on the market or an existing product manufactured by the company, one must examine the product itself.

The following are some of the questions you might find helpful in assessing a product’s competitiveness :

• Does the product serve a particular market segment? Is it a mass market or a niche product
• Is it differentiated enough to stand out against the competition? If yes, how? If not, what can be done to improve its value perception?
• What features can be added to the product that would add to the perception of value to the consumer?
• What are some of the packaging issues that might present an opportunity or impediment to increased sales?
• Does my packaging reflect the positioning of the product?
• Does the product have patent protection?
• What financial role is the product playing (i.e., cash cow, long-term profit potential, etc.)?
• Are there any other products that can act as substitutes?

Getting the right price for a product is extremely important for the company’s success.

Unfortunately, sometimes the right price is not easy to determine.

Depending on the price elasticity of the product, a 1% increase in price has anywhere from a -20% reduction to a 25% increase in net income.

The most important factor that drives price is the customer’s perceived “value” of the product .

This is also known as the customer’s willingness to pay.

For example, if a company produces shirts with a unit cost of $10, but the market perceives the product as fashionable or has the right brand name, the shirt can be priced to capture any consumer surplus at $50 or even $80 per shirt.

The same manufacturer introduces another shirt at the same cost the following season.

This time, however, the shirt is no longer considered in vogue and thus has little “value.”

This time, the shirt would be priced at $25.

Other factors determining a product’s price are:

• The Cost to Produce COGS : maintain low costs to capture a bigger profit margin.
• The price paid previously – the expected price: if consumers are used to paying a certain price for a product, it is challenging to convince them to pay a $20 premium for the same product. However, if their perceived product value is higher than what they paid in the past, there’s room to capture some consumer surplus.
• The price of substitutes : the price of a product is driven down if the product can be easily substituted by another that serves the same function.

After assessing the product positioning and understanding who your customers are, you need to develop a strategy around which distribution channel to use and where to sell your product .

The distribution channel can be through a third party or an in-house sales force.

And the distribution channel is responsible for transmitting the company’s product to the customer (wholesaler, retailer, end-user).

The selected distribution channel and the outlets at which the product is sold MUST be aligned with the product’s positioning and focused customer segment.

There are many issues to consider when examining the place/channel distribution.

Below are some thoughts to formulate a strategy for delivering the product to market :

• What are the customer preferences regarding distribution?
• Which channels most closely align with the company’s strategy?
• Does the company need to build new channels or eliminate existing ones?
• Does it make more sense to go direct to the end-user or deliver the product through intermediaries?
• What are the economics of the channel?
• What would be the relationship of the company’s sales force in this arrangement?
• How would the company address any potential shifts in power to the channel?
• How do competitors distribute their products?

Promoting and developing a specific brand for the product has many benefits :

It develops a certain perception of the product in consumers’ eyes.

The product’s success will depend on the message conveyed to the consumer and what that consumer ultimately believes about the product.

To maintain a certain perception of exclusivity, traditional advertising (mass or niche), refraining from advertising, word-of-mouth marketing, direct mail, etc., can all be included in promotion and branding.

Here is a list of issues worth analyzing in case interviews:

• How is the marketing strategy different from the competition?
• What message are we trying to communicate? What is the objective?
• Where are we advertising our product (newspapers, TV, radio, Internet, etc.)?
• Pull strategy: (direct at end-user) use of advertising, direct mail, telemarketing, word of mouth, and consumer promotions.
• Push strategy: trade promotions, sales aids, and sales training programs
• How much money is allocated to marketing?
• How are competitors marketing their products?

Ace market sizing questions

Case interview framework 3: the 3 C’s

Knowing the 3C framework and the details upon which the framework is based is crucial to cracking the case .

For instance, the 3C framework is often used to assess the business landscape.

Or by simply defining a growth strategy.

For instance, your market entry framework should include the 3C’s. 

By analyzing the three elements, Consultants can identify the key success factors and create a viable marketing strategy.

DO NOT attempt to tackle a case during the interview by saying, “I would like to use the 3Cs framework…”

Before you even finish your sentence, the interviewer will have decided to reject you.

This point will be emphasized many times during this guide.

A good first step in assessing the business landscape is to examine the customer, the people whose problems the industry is trying to solve.

Below are eight factors to consider when examining the customer.

#1: Customer Identification

Who is the customer?

In trying to identify the customer, remember that the person who makes the purchase decision, the person who pays (the customer), and the end user (the consumer) may all be different people.

For example, a doctor may prescribe medicine that will be paid for by an insurance company (the customer) and ultimately used by a patient (the consumer).

#2: Customer Segmentation

Is it possible to group customers into distinct segments?

Customer segmentation can make it easier to understand customer needs and preferences, the size and growth rate of different revenue streams, and to identify trends.

It may make sense to segment customers by: 1. Age group 2. Gender 3. Income level 4. Employment status 5. Distribution channel 6. Region 7. Product preference 8. Willingness to pay 9. New versus existing customers 10. Large versus small customers.

How big is the market?

How big is each customer segment?

How many customers are there in each segment, and what is the dollar value of those customers?

How fast is the market growing?

What is the growth rate of each customer segment?

#5: Customer Preferences

What do customers want?

Do different customer segments want different things?

Are the needs and preferences of customers changing over time?

#6: Willingness to Pay

How much is each customer segment willing to pay?

How price sensitive is each customer segment?

For example, students will normally be very price sensitive, which means that offering student discounts can increase units sold by enough to increase total revenue.

#7: Bargaining Power

What is the concentration of customers in the market relative to the concentration of firms?

If there is a small number of powerful customers who control the market?

Then it may be necessary to either play by their rules or search for a more favorable market.

Do customers face high switching costs?

If customers face high switching costs, this will reduce their bargaining power and allow firms to charge higher prices than would otherwise be possible.

#8: Distribution

What is the best way to reach customers?

Does each customer segment have a preferred distribution channel?

Get 4 Complete Case Interview Courses For Free

You need 4 skills to be successful in all case interviews: Case Structuring, Case Leadership, Case Analytics, and Communication. Join this free training and learn how to ace ANY case questions.

Competitors

It is also important to understand the business landscape to understand the competition .

Competition can come from firms within an industry offering similar solutions to the same group of customers (for example, Pepsi and Coca-Cola).

But, competition can also come from firms in other industries who produce substitutes .

Substitutes may have quite different characteristics (for example, petroleum and natural gas).

Still, they represent a form of indirect competition because consumers can use them in place of one another (at least in some circumstances).

For example, petroleum and natural gas might produce heat and energy.

Below are ten factors to consider when examining the competition.

#1: Competitor Identification

Who are the company’s major competitors?

Taking Cadbury as an example, some of its major competitors might include Lindt, Ferrero, Nestlé, Hershey’s, and Mars.

What products and services does the competition offer?

#2: Substitutes

Who are the company’s indirect competitors? That is, which firms are producing substitutes?

Identifying indirect competitors helps to take a broader view of what the company offers.

For example, Cadbury sells chocolate.

But it might be considered a snack food company.

So indirect competitors might include companies like Lays, Cheetos, and Doritos.

#3: Competitor Segmentation

Is it possible to segment competitors in a meaningful way?

The competition might be grouped by distribution channel, region, product line, or customer segment.

#4: Size and Concentration

What are the revenues and market shares of major competitors?

What is the concentration of competitors in the industry?

Are there many small competitors (a low-concentration industry) or a few dominant players (a high-concentration industry)?

Examples of high-concentration industries include oil, tobacco, and soft drinks.

Examples of low-concentration industries include wheat and corn.

#5: Performance

What is the historical performance of the competition?

Relevant performance can be profit margins, net income, and return on investment.

#6: Industry Lifecycle

Where is the industry’s lifecycle (early stage, growth, maturity, or decline)?

#7: Industry Drivers

What drives the industry: brand, product quality, the scale of operations, or technology?

#8: Competitive Advantages

What is the competition good at?

How sustainable are these advantages?

What are the competition’s weaknesses? How easily can these weaknesses be exploited?

#9: Competitive Strategy

What strategy is the competition pursuing?

Is the competition producing products that are low-cost or differentiated?

What customer segments is the competition targeting?

What are the competition’s pricing and distribution strategies?

What is the competition’s growth strategy?

Are they seeking growth by focusing on customer retention, increased sales volume, entering new markets, or launching new products?

#10: Barriers to entry

Key barriers to entry include capital requirements, economies of scale, network effects, product differentiation, proprietary product, technology, government policy, access to suppliers, access to distribution channels, and switching costs. (see Porter’s five forces model).

In assessing the business landscape, it is not enough to understand the customer and the competition.

Understanding the firm from whose perspective you are analyzing the industry is also important .

Below are ten factors to consider when examining the company.

#1: Performance

What is the historical performance of the company?

What is its market share?

If profits are falling, what is the cause of the issue?

#2: Competitive Advantage

What resources and capabilities does the company possess?

Consider tangible assets (property, plant, equipment, inventory, and employees) and intangible assets (brand, patents, copyrights, and specialized knowledge).

How sustainable are the company’s advantages? What are the company’s weaknesses, and can they be remedied?

#3: Competitive Strategy

What is the company’s competitive strategy?

Is the company producing products that are low-cost or differentiated?

Which customer segments does the company target? What are the company’s pricing, distribution, and growth strategies?

#4: Products

What does the company offer, and how does it benefit consumers?

Does the product have any downsides or side effects?

Is the product differentiated?

How does the company’s product offering compare with the competition?

Are there substitutes available?

#5: Finances

If the company is considering a particular course of action, does it have sufficient funds available?

Financing may be secured from various sources, including internal cash reserves, bank loans, shareholder loans, bond issues, or the sale of shares.

How many units will the company need to sell to cover the cost of the project?

Is there sufficient market demand?

#6: Cost Structure

To understand a company’s cost structure, it helps to break each business unit down into the collection of activities performed to produce value for customers.

How each activity is performed, and its economics will determine a firm’s relative cost structure within its industry.

Are costs predominantly fixed or variable?

How does this compare with the competition?

#7: Organisational Cohesiveness

Understanding a firm’s inner workings is important since competitive strategies can fail if they conflict with its culture, systems, and general business.

The organizational aspects of a firm can be examined using the McKinsey 7 S Model.

#8: Marketing

How do customers perceive the company and its products?

How does the company communicate with customers?

#9: Distribution Channels

What distribution channels does the company use to reach customers?

Are there other channels that are more cost-effective or preferred by customers?

#10: Customer Service

Does the company have a customer loyalty program?

How does the company interact with customers and support its customers post-sale?

Are employees empowered to solve problems and delight customers?

Case interview framework 4: PESTEL (or PESTLE)

PESTEL is an acronym for five factors – Political, Economic, Social, Technological, Legal, and Environmental – that can influence a company’s performance or strategic decisions.

A PESTEL analysis examines these external forces that can have strategic implications for the company .

And conducting a PESTEL analysis can be helpful for three reasons:

Understanding the facts : Understanding the big picture can help a business make informed decisions and avoid incorrect assumptions based on past experience.

Anticipating change : Understanding the macro environment can help a business identify trends and anticipate change, allowing it to take advantage of opportunities and manage potential threats.

Avoiding failure : Understanding the macro environment can help a business (and its investors) to identify projects that are likely to fail due to unfavorable conditions.

Below is a list of some of the general issues the interviewee should consider:

Political forces

• Are there any legal or political restrictions, such as new legislation, that would impede the product’s sale?
• What regulations must be addressed before introducing the product (health regulations/antitrust, etc.)?

Economic factors

• Has the economy’s overall performance impacted the sale of my product? Interest rate? Unemployment figures? Exchange rates? Balance of Payments? Free-Trade Agreements?

Socio-cultural forces

• What norms/cultural practices should be considered when entering a new market?
• Are there any trends in religious practices/traditions/rituals that should be considered?

Technological factors

• What are some of the technological trends in the market that could help/diminish the sale of the product (e.g., paper-based media vs. internet)?
• What R&D advancements were made by the market that would have a long-term impact on the very survival of the company (e.g., pay-per-view video vs. video stores)?

Environmental factors

• How does the business affect the environment?

Legal factors

Finally, the folks from the YT channel Business To You have made a great video about the PESTLE model:

Case interview framework 5: Profitability framework

There’s a good chance that the cases discussed during the interview will often touch on issues of declining profitability .

This framework is very helpful in organizing your thoughts and methodically approaching profitability problems.

According to the Profitability Framework’s opening statement, profit is a function of revenue and costs.

A company’s profitability declines when revenue has dropped, costs have risen, or both.

The goal is to identify the component of the equation that is reducing profitability and determine the best course of action for fixing it.

A quick note:

Variable costs are costs that vary with the units sold.

Fixed costs are costs that do not vary with the units sold.

Case interview framework 6: Unit contribution

The following is a framework you can use to help you understand the economics of the product’s contribution.

This framework is critical when forecasting the overall success of the product .

Case interview framework 7: Break Even

A break-even analysis tells you how many units of a product must be sold to cover the fixed and variable production costs.

For instance, this is important when deciding whether to launch a new product.

Also, a break-even analysis concerns a product’s contribution margin (selling price minus variable costs per unit; see the previous section).

So, the contribution margin is the excess between the selling price of the product and the total variable costs .

For example, if an item sells for $100, the total fixed costs are $25 per unit, and the total variable costs are $60 per unit, the product’s contribution margin is $40 ($100 – $60).

This $40 reflects the revenue collected to cover the remaining fixed costs, which are excluded when figuring the contribution margin.

Case interview framework 8: ROI

ROI is an acronym for Return On Investment.

The ROI is a performance measure that a company can use to evaluate the return from an investment or to compare the returns of several different investments .

For example, if you spent $10,000 and made $15,000, your ROI would be 50%.

[ ( $15,000 – $10,000 ) / $10,000 ] x 100% = 50%

Case interview framework 9: Payback

A payback period is the time needed to recover the cost of an investment.

Simply put, it is the time an investment reaches a breakeven point .

For example, if a company invests $300,000 in a new production line, and the production line then produces a positive cash flow of $100,000 per year, then the payback period is 3 years.

Another example:

You are offered to invest in the project $120K.

The project will bring on average $30K a year in net profit.

Using the payback formula, we get a payback period for capital invested of four years (we divided 120,000 by 30,000).

Case interview framework 10: Value Chain

A Value Chain Analysis is a concept first described and popularised by Michael Porter in his 1985 book, Competitive Advantage .

Value Chain Analysis involves identifying all the important business activities and determining which ones give the company a competitive advantage .

Also, a value chain analysis can be performed to identify potential root causes of a business problem.

For instance, a Value Chain Analysis can be undertaken by following three steps:

• Break down a company into its key activities under each heading in the model.
• Identify activities that contribute to the firm’s competitive advantage by giving it a cost advantage or creating product differentiation.
• Develop strategies around the activities that provide a sustainable competitive advantage.

Cost advantage

A business can achieve a cost advantage over its competitors by understanding the costs associated with each activity.

And then organizing each activity so that it is as efficient as possible.

Porter identified ten cost drivers related to each activity in the value chain : 1. Economies of Scale 2. Learning 3. Capacity utilization 4. Linkages among activities 5. Interrelationships among business units 6. Degree of vertical integration 7. Timing of market entry 8. Firm’s policy on targeting cost or product differentiation 9. Geographic location 10. Institutional factors (regulation, union activity, taxes, etc.)

A firm can develop a cost advantage by controlling these ten cost drivers better than its competitors.

A firm can achieve product differentiation by focusing on its core competencies to perform them better than its competitors .

Product differentiation can be achieved through any part of the value chain.

For example, procurement of unique inputs and not widely available to competitors, providing high levels of product support services, or designing innovative and aesthetically attractive products.

Case interview framework 11: Ansoff Matrix

The Product/Market Expansion Matrix (or “Ansoff Matrix” as it is sometimes called) was developed by a Russian-American mathematician named Igor Ansoff.

And it was first explained in his 1957 Harvard Business Review article entitled Strategies for Diversification.

The Product/Market Expansion Matrix can help a firm define a product-market growth strategy by focusing on four growth alternatives :

1. Market Penetration; 2. Market Development; 3. Product Development; and 4. Diversification.

The four alternative growth strategies are:

Market Penetration : A strategy to increase sales without departing from the original product-market strategy. This involves increasing sales to existing customers and finding new customers for existing products.

Market Development : A strategy to sell existing products to new markets (normally with some modifications). Ansoff described this as a strategy “to adapt [the] present product line … to new missions.” For example, Boeing might adapt a passenger aircraft model for cargo transportation.

Product Development : A strategy to sell new products, with new or altered features, to existing markets. Ansoff described this as a strategy to develop products with “new and different characteristics such as will improve the performance of the [existing] mission.” For example, Boeing might develop a new aircraft design with improved fuel economy.

Diversification : A strategy to develop new products for new markets, which can be related to the current business (e.g., vertical integration or horizontal diversification) or unrelated (e.g., conglomerate diversification).

Learn how to create custom case interview frameworks

The question then becomes, “How do you use business frameworks in consulting interviews?”.

On the Internet, numerous suggestions exist for how you ought to proceed.

However, the two main schools of thought are Victor Cheng’s frameworks and Marc Cosentino’s Case In Point.

However, these two approaches have one thing in common: they both attempt to impose pre defined frameworks on cases .

For instance:

For a market entry case, those resources tell you the market entry framework you should use.

And for an M&A case, those resources tell you exactly the merger and acquisition framework you should use.

They push you to adapt the problem to your tools .

Since every case is different, this will inevitably result in average outcomes and rejections.

For instance, 10 different M&A cases should have 10 different merger and acquisition frameworks. 

Another example: 10 different market entry cases should have 10 different market entry frameworks. 

So, you have to learn how to create custom case interview frameworks.

You must create your own unique frameworks using First Principle Thinking .

Those case interview frameworks must be MECE .

To do so, I’ve created free training to help you in that journey .

You can sign up for free with the link below.

Case interview frameworks: Final words

I hope you enjoyed this updated guide to business frameworks.

Those consulting frameworks will help you join a top consulting firm.

Now, I’d like to hear from you:

Which frameworks from today’s guide do you use the most?

Or which frameworks are new to you?

Has this guide helped you develop your business acumen?

Let me know by leaving a quick comment below right now.

To your success,

P.S. Need help with your case interview preparation?

Check whether our coaching program is a good fit. 

Do you know?

We have a unique coaching model and deliver amazing results .

SHARE THIS POST

Leave a Comment Cancel Reply

Your email address will not be published. Required fields are marked *

You need 4 skills to be successful in all case interviews: Case Structuring, Case Leadership, Case Analytics, and Communication. Enroll in our 4 free courses and discover the proven systems +300 candidates used to learn these 4 skills and land offers in consulting.

• Case Interview: A comprehensive guide
• Pyramid Principle
• Hypothesis driven structure
• Fit Interview
• Consulting math
• The key to landing your consulting job
• What is a case interview?
• Types of case interview
• How to solve cases with the Problem-Driven Structure?
• What to remember in case interviews
• Case examples or building blocks?
• How do I prepare for case interviews
• Interview day tips
• How we can help

1. The key to landing your consulting job.

Case interviews - where you are asked to solve a business case study under scrutiny - are the core of the selection process right across McKinsey, Bain and BCG (the “MBB” firms). This interview format is also used pretty much universally across other high-end consultancies; including LEK, Kearney, Oliver Wyman and the consulting wings of the “Big Four”.

If you want to land a job at any of these firms, you will have to ace multiple case interviews.

It is increasingly likely that you will also have to solve online cases given by chatbots. You might need to pass these either before making it to interview or be asked to sit them alongside first round interviews.

Importantly, case studies aren’t something you can just wing . Firms explicitly expect you to have thoroughly prepared and many of your competitors on interview day will have been prepping for months.

Don’t worry though - MCC is here to help!

This article will take you through a full overview of everything you’ll need to know to do well, linking to more detailed articles and resources at each stage to let you really drill down into the details.

As well as traditional case interviews, we’ll also attend to the new formats in which cases are being delivered and otherwise make sure you’re up to speed with recent trends in this overall part of consulting recruitment.

Before we can figure out how to prepare for a case interview, though, we will first have to properly understand in detail what exactly you are up against. What format does a standard consulting case interview take? What is expected of you? How will you be assessed?

Let's dive right in and find out!

Professional help

Before going further, if this sounds like a lot to get your head around on your own, don't worry - help is available!

Our Case Academy course gives you everything you need to know to crack cases like a pro:

Case Academy Course

To put what you learn into practice (and secure some savings in the process) you can add mock interview coaching sessions with expereinced MBB consultants:

Coaching options

And, if you just want an experienced consultant to take charge of the whole selection process for you, you can check out our comprehensive mentoring programmes:

Explore mentoring

Now, back to the article!

2. What is a case interview?

Before we can hope to tackle a case interview, we have to understand what one is.

In short, a case interview simulates real consulting work by having you solve a business case study in conversation with your interviewer.

This case study will be a business problem where you have to advise a client - that is, an imaginary business or similar organisation in need of guidance.

You must help this client solve a problem and/or make a decision. This requires you to analyse the information you are given about that client organisation and figure out a final recommendation for what they should do next.

Business problems in general obviously vary in difficulty. Some are quite straightforward and can be addressed with fairly standard solutions. However, consulting firms exist precisely to solve the tough issues that businesses have failed to deal with internally - and so consultants will typically work on complex, idiosyncratic problems requiring novel solutions.

Some examples of case study questions might be:

• How much would you pay for a banking licence in Ghana?
• Estimate the potential value of the electric vehicle market in Germany
• How much gas storage capacity should a UK domestic energy supplier build?

Consulting firms need the brightest minds they can find to put to work on these important, difficult projects. You can expect the case studies you have to solve in interview, then, to echo the unique, complicated problems consultancies deal with every day. As we’ll explain here, this means that you need to be ready to think outside the box to figure out genuinely novel solutions.

2.1. Where are case interviews in the consulting selection process?

Not everyone who applies to a consulting firm will have a case interview - far from it!

In fact, case interviews are pretty expensive and inconvenient for firms to host, requiring them to take consultants off active projects and even fly them back to the office from location for in-person interviews (although this happens less frequently now). Ideally, firms want to cut costs and save time by narrowing down the candidate pool as much as possible before any live interviews.

As such, there are some hoops to jump through before you make it to interview rounds.

Firms will typically eliminate as much as 80% of the applicant pool before interviews start . For most firms, 50%+ of applicants might be cut based on resumes, before a similar cut is made on those remaining based on aptitude tests. McKinsey currently gives their Solve assessment to most applicants, but will use their resulting test scores alongside resumes to cut 70%+ of the candidate pool before interviews.

You'll need to be on top of your game to get as far as a case interview with a top firm. Getting through the resume screen and any aptitude tests is an achievement in itself! Also we need to note that the general timeline of an application can differ depending on a series of factors, including which position you apply, your background, and the office you are applying to. For example, an undergraduate applying for a Business Analyst position (the entry level job at McKinsey) will most likely be part of a recruitment cycle and as such have pretty fixed dates when they need to sit the pre-screening test, and have the first and second round interviews (see more on those below). Conversely, an experienced hire will most likely have a much greater choice of test and interview dates as well as more time at their disposal to prepare.

For readers not yet embroiled in the selection process themselves, let’s put case interviews in context and take a quick look at each stage in turn. Importantly, note that you might also be asked to solve case studies outside interviews as well…

2.1.1. Application screen

It’s sometimes easy to forget that such a large cut is made at the application stage. At larger firms, this will mean your resume and cover letter is looked at by some combination of AI tools, recruitment staff and junior consulting staff (often someone from your own university).

Only the best applications will be passed to later stages, so make sure to check out our free resume and cover letter guides, and potentially get help with editing , to give yourself the best chance possible.

2.1.2. Aptitude tests and online cases

This part of the selection process has been changing quickly in recent years and is increasingly beginning to blur into the traditionally separate case interview rounds.

In the past, GMAT or PST style tests were the norm. Firms then used increasingly sophisticated and often gamified aptitude tests, like the Pymetrics test currently used by several firms, including BCG and Bain, and the original version of McKinsey’s Solve assessment (then branded as the Problem Solving Game).

Now, though, there is a move towards delivering relatively sophisticated case studies online. For example, McKinsey has replaced half the old Solve assessment with an online case. BCG’s Casey chatbot case now directly replaces a live first round case interview, and in the new era of AI chatbots, we expect these online cases to quickly become more realistic and increasingly start to relieve firms of some of the costs of live case interviews.

Our consultants collectively reckon that, over time, 50% of case interviews are likely to be replaced with these kinds of cases . We give some specific advice for online cases in section six. However, the important thing to note is that these are still just simulations of traditional case interviews - you still need to learn how to solve cases in precisely the same way, and your prep will largely remain the same.

2.1.3. Rounds of Interviews

Now, let’s not go overboard with talk of AI. Even in the long term, the client facing nature of consulting means that firms will have live case interviews for as long as they are hiring anyone. And in the immediate term, case interviews are still absolutely the core of consulting selection.

Before landing an offer at McKinsey, Bain, BCG or any similar firm, you won’t just have one case interview, but will have to complete four to six case interviews, usually divided into two rounds, with each interview lasting approximately 50-60 minutes .

Being invited to first round usually means two or three case interviews. As noted above, you might also be asked to complete an online case or similar alongside your first round interviews.

If you ace first round, you will be invited to second round to face the same again, but more gruelling. Only then - after up to six case interviews in total, can you hope to receive an offer.

2.2. Differences between first and second round interviews

Despite case interviews in the first and second round following the same format, second/final round interviews will be significantly more intense . The seniority of the interviewer, time pressure (with up to three interviews back-to-back), and the sheer value of the job at stake will likely make a second round consulting case interview one of the most challenging moments of your professional life.

There are three key differences between the two rounds:

• Time Pressure : Final round case interviews test your ability to perform under pressure, with as many as three interviews in a row and often only very small breaks between them.
• Focus : Since second round interviewers tend to be more senior (usually partners with 12+ years experience) and will be more interested in your personality and ability to handle challenges independently. Some partners will drill down into your experiences and achievements to the extreme. They want to understand how you react to challenges and your ability to identify and learn from past mistakes.
• Psychological Pressure: While case interviews in the first round are usually more focused on you simply cracking the case, second round interviewers often employ a "bad cop" strategy to test the way you react to challenges and uncertainty.

2.3. What skills do case interviews assess?

Reliably impressing your interviewers means knowing what they are looking for. This means understanding the skills you are being assessed against in some detail.

Overall, it’s important always to remember that, with case studies, there are no strict right or wrong answers. What really matters is how you think problems through, how confident you are with your conclusions and how quick you are with the back of the envelope arithmetic.

The objective of this kind of interview isn’t to get to one particular solution, but to assess your skillset. This is even true of modern online cases, where sophisticated AI algorithms score how you work as well as the solutions you generate.

If you visit McKinsey , Bain and BCG web pages on case interviews, you will find that the three firms look for very similar traits, and the same will be true of other top consultancies.

Broadly speaking, your interviewer will be evaluating you across five key areas:

2.1.1.One: Probing mind

Showing intellectual curiosity by asking relevant and insightful questions that demonstrate critical thinking and a proactive nature. For instance, if we are told that revenues for a leading supermarket chain have been declining over the last ten years, a successful candidate would ask:

“ We know revenues have declined. This could be due to price or volume. Do we know how they changed over the same period? ”

This is as opposed to a laundry list of questions like:

• Did customers change their preferences?
• Which segment has shown the decline in volume?
• Is there a price war in the industry?

2.1.2. Structure

Structure in this context means structuring a problem. This, in turn, means creating a framework - that is, a series of clear, sequential steps in order to get to a solution.

As with the case interview in general, the focus with case study structures isn’t on reaching a solution, but on how you get there.

This is the trickiest part of the case interview and the single most common reason candidates fail.

We discuss how to properly structure a case in more detail in section three. In terms of what your interviewer is looking for at high level, though, key pieces of your structure should be:

• Proper understanding of the objective of the case - Ask yourself: "What is the single crucial piece of advice that the client absolutely needs?"
• Identification of the drivers - Ask yourself: "What are the key forces that play a role in defining the outcome?"

Our Problem Driven Structure method, discussed in section three, bakes this approach in at a fundamental level. This is as opposed to the framework-based approach you will find in older case-solving

Focus on going through memorised sequences of steps too-often means failing to develop a full understanding of the case and the real key drivers.

At this link, we run through a case to illustrate the difference between a standard framework-based approach and our Problem Driven Structure method.

2.1.3. Problem Solving

You’ll be tested on your ability to identify problems and drivers, isolate causes and effects, demonstrate creativity and prioritise issues. In particular, the interviewer will look for the following skills:

• Prioritisation - Can you distinguish relevant and irrelevant facts?
• Connecting the dots - Can you connect new facts and evidence to the big picture?
• Establishing conclusions - Can you establish correct conclusions without rushing to inferences not supported by evidence?

2.1.4. Numerical Agility

In case interviews, you are expected to be quick and confident with both precise and approximated numbers. This translates to:

• Performing simple calculations quickly - Essential to solve cases quickly and impress clients with quick estimates and preliminary conclusions.
• Analysing data - Extract data from graphs and charts, elaborate and draw insightful conclusions.
• Solving business problems - Translate a real world case to a mathematical problem and solve it.

Our article on consulting math is a great resource here, though the extensive math content in our MCC Academy is the best and most comprehensive material available.

2.1.5. Communication

Real consulting work isn’t just about the raw analysis to come up with a recommendation - this then needs to be sold to the client as the right course of action.

Similarly, in a case interview, you must be able to turn your answer into a compelling recommendation. This is just as essential to impressing your interviewer as your structure and analysis.

Consultants already comment on how difficult it is to find candidates with the right communication skills. Add to this the current direction of travel, where AI will be able to automate more and more of the routine analytic side of consulting, and communication becomes a bigger and bigger part of what consultants are being paid for.

So, how do you make sure that your recommendations are relevant, smart, and engaging? The answer is to master what is known as CEO-level communication .

This art of speaking like a CEO can be quite challenging, as it often involves presenting information in effectively the opposite way to how you might normally.

To get it right, there are three key areas to focus on in your communications:

• Top down : A CEO wants to hear the key message first. They will only ask for more details if they think that will actually be useful. Always consider what is absolutely critical for the CEO to know, and start with that. You can read more in our article on the Pyramid Principle .
• Concise : This is not the time for "boiling the ocean" or listing an endless number possible solutions. CEOs, and thus consultants, want a structured, quick and concise recommendation for their business problem, that they can implement immediately.
• Fact-based : Consultants share CEOs' hatred of opinions based on gut feel rather than facts. They want recommendations based on facts to make sure they are actually in control. Always go on to back up your conclusions with the relevant facts.

Being concise and to the point is key in many areas, networking being one for them. For more detail on all this, check out our full article on delivering recommendations .

Prep the right way

3. types of case interview.

While most case interviews share a similar structure, firms will have some differences in the particular ways they like to do things in terms of both the case study and the fit component.

As we’ll see, these differences aren’t hugely impactful in terms of how you prepare. That said, it's always good to know as much as possible about what you will be going up against.

3.1. Different case objectives

A guiding thread throughout this article and our approach in general will be to treat each case as a self-contained problem and not try to pigeonhole it into a certain category. Having said that, there are of course similarities between cases and we can identify certain parameters and objectives.

Broadly speaking, cases can be divided into issue-based cases and strategic decision cases. In the former you will be asked to solve a certain issue, such as declining profits, or low productivity whereas in the latter you will be ask whether your client should or should not do something, such as enter a specific market or acquire another company. The chart below is a good breakdown of these different objectives:

3.2. How do interviewers craft cases

While interviewers will very likely be given a case bank to choose from by their company, a good number of them will also choose to adapt the cases they would currently be working on to a case interview setting. The difference is that the latter cases will be harder to pigeonhole and apply standard frameworks to, so a tailored approach will be paramount.

If you’ve applied for a specific practice or type of consulting - such as operational consulting, for example - it’s very likely that you will receive a case geared towards that particular area alongside a ‘generalist’ consulting case (however, if that’s the case, you will generally be notified). The other main distinction when it comes to case interviews is between interviewer-led and candidate-led.

3.3. Candidate-led cases

Most consulting case interview questions test your ability to crack a broad problem, with a case prompt often going something like:

" How much would you pay to secure the rights to run a restaurant in the British Museum? "

You, as a candidate, are then expected to identify your path to solve the case (that is, provide a structure), leveraging your interviewer to collect the data and test your assumptions.

This is known as a “candidate-led” case interview and is used by Bain, BCG and other firms. From a structuring perspective, it’s easier to lose direction in a candidate-led case as there are no sign-posts along the way. As such, you need to come up with an approach that is both broad enough to cover all of the potential drivers in a case but also tailored enough to the problem you are asked to solve. It’s also up to you to figure out when you need to delve deeper into a certain branch of the case, brainstorm or ask for data. The following case from Bain is an excellent example on how to navigate a candidate-led case.

3.4. Interviewer-led cases

This type of case - employed most famously by McKinsey - is slightly different, with the interviewer controlling the pace and direction of the conversation much more than with other case interviews.

At McKinsey, your interviewer will ask you a set of pre-determined questions, regardless of your initial structure. For each question, you will have to understand the problem, come up with a mini structure, ask for additional data (if necessary) and come to the conclusion that answers the question. This more structured format of case also shows up in online cases by other firms - notably including BCG’s Casey chatbot (with the amusing result that practising McKinsey-style cases can be a great addition when prepping for BCG).

Essentially, these interviewer-led case studies are large cases made up of lots of mini-cases. You still use basically the same method as you would for standard (or candidate-led) cases - the main difference is simply that, instead of using that method to solve one big case, you are solving several mini-cases sequentially. These cases are easier to follow as the interviewer will guide you in the right direction. However, this doesn’t mean you should pay less attention to structure and deliver a generic framework! Also, usually (but not always!) the first question will ask you to map your approach and is the equivalent of the structuring question in candidate-led cases. Sometimes, if you’re missing key elements, the interviewer might prompt you in the right direction - so make sure to take those prompts seriously as they are there to help you get back on track (ask for 30 seconds to think on the prompt and structure your approach). Other times - and this is a less fortunate scenario - the interviewer might say nothing and simply move on to the next question. This is why you should put just as much thought (if not more) into the framework you build for interviewer-led cases , as you may be penalized if you produce something too generic or that doesn’t encompass all the issues of the case.

3.5. Case and fit

The standard case interview can be thought of as splitting into two standalone sub-interviews. Thus “case interviews” can be divided into the case study itself and a “fit interview” section, where culture fit questions are asked.

This can lead to a bit of confusion, as the actual case interview component might take up as little as half of your scheduled “case interview”. You need to make sure you are ready for both aspects.

To illustrate, here is the typical case interview timeline:

• First 15-30 minutes: Fit Interview - with questions assessing your motivation to be a consultant in that specific firm and your traits around leadership and teamwork. Learn more about the fit interview in our in-depth article here .
• Next 30-40 minutes: Case Interview - solving a case study
• Last 5 minutes: Fit Interview again - this time focussing on your questions for your interviewer.

Both the Case and Fit interviews play crucial roles in the finial hiring decision. There is no “average” taken between case and fit interviews: if your performance is not up to scratch in either of the two, you will not be able to move on to the next interview round or get an offer.

NB: No case without fit

Note that, even if you have only been told you are having a case interview or otherwise are just doing a case study, always be prepared to answer fit questions. At most firms, it is standard practice to include some fit questions in all case interviews, even if there are also separate explicit fit interviews, and interviewers will almost invariably include some of these questions around your case. This is perfectly natural - imagine how odd and artificial it would be to show up to an interview, simply do a case and leave again, without talking about anything else with the interviewer before or after.

3.5.1 Differences between firms

For the most part, a case interview is a case interview. However, firms will have some differences in the particular ways they like to do things in terms of both the case study and the fit component.

3.5.2. The McKinsey PEI

McKinsey brands its fit aspect of interviews as the Personal Experience Interview or PEI. Despite the different name, this is really much the same interview you will be going up against in Bain, BCG and any similar firms.

McKinsey does have a reputation for pushing candidates a little harder with fit or PEI questions , focusing on one story per interview and drilling down further into the specific details each time. We discuss this tendency more in our fit interview article . However, no top end firm is going to go easy on you and you should absolutely be ready for the same level of grilling at Bain, BCG and others. Thus any difference isn’t hugely salient in terms of prep.

3.6. What is different in 2023?

For the foreseeable future, you are going to have to go through multiple live case interviews to secure any decent consulting job. These might increasingly happen via Zoom rather than in person, but they should remain largely the same otherwise.

However, things are changing and the rise of AI in recent months seems pretty much guaranteed to accelerate existing trends.

Even before the explosive development of AI chatbots like ChatGPT we have seen in recent months, automation was already starting to change the recruitment process.

As we mentioned, case interviews are expensive and inconvenient for firms to run . Ideally, then, firms will try to reduce the number of interviews required for recruitment as far as possible. For many years, tests of various kinds served to cut down the applicant pool and thus the number of interviews. However, these tests had a limited capacity to assess candidates against the full consulting skillset in the way that case interviews do so well.

More recently, though, the development of online testing has allowed for more and more advanced assessments. Top consulting firms have been leveraging screening tests that better and better capture the same skillset as case interviews. Eventually this is converging on automated case studies. We see this very clearly with the addition of the Redrock case to McKinsey’s Solve assessment.

As these digital cases become closer to the real thing, the line between test and case interview blurs. Online cases don’t just reduce the number of candidates to case interview, but start directly replacing them.

Case in point here is BCG’s Casey chatbot . Previously, BCG had deployed less advanced online cases and similar tests to weed out some candidates before live case interviews began. Now, though, Casey actually replaces one first round case interview.

Casey, at time of writing, is still a relatively “basic” chatbot, basically running through a pre-set script. The Whatsapp-like interface does a lot of work to make it feel like one is chatting to a “real person” - the chatbot itself, though, cannot provide feedback or nudges to candidates as would a human interviewer.

We fully expect that, as soon as BCG and other firms can train a truer AI, these online cases will become more widespread and start replacing more live interviews.

We discuss the likely impacts of advanced AI on consulting recruitment and the industry more broadly in our blog.

Here, though, the real message is that you should expect to run into digital cases as well as traditional case interviews.

Luckily, despite any changes in specific case interview format, you will still need to master the same fundamental skills and prepare in much the same way.

We’ll cover a few ways to help prepare for chatbot cases in section four. Ultimately, though, firms are looking for the same problem solving ability and mindset as a real interviewer. Especially as chatbots get better at mimicking a real interviewer, candidates who are well prepared for case cracking in general should have no problem with AI administered cases.

3.6.1. Automated fit interviews

Analogous to online cases, in recent years there has been a trend towards automated, “one way” fit interviews, with these typically being administered for consultancies by specialist contractors like HireVue or SparkHire.

These are kind of like Zoom interviews, but if the interviewer didn’t show up. Instead you will be given fit questions to answer and must record your answer in your computer webcam. Your response will then go on to be assessed by an algorithm, scoring both what you say and how you say it.

Again, with advances in AI, it is easy to imagine these automated case interviews going from fully scripted interactions, where all candidates are asked the same list of questions, to a more interactive experience. Thus, we might soon arrive at a point where you are being grilled on the details of your stories - McKinsey PEI style - but by a bot rather than a human.

We include some tips on this kind of “one way” fit interview in section six here.

4. How to solve cases with the Problem-Driven Structure?

If you look around online for material on how to solve case studies, a lot of what you find will set out framework-based approaches. However, as we have mentioned, these frameworks tend to break down with more complex, unique cases - with these being exactly the kind of tough case studies you can expect to be given in your case interviews.

To address this problem, the MyConsultingCoach team has synthesized a new approach to case cracking that replicates how top management consultants approach actual engagements.

MyConsultingCoach’s Problem Driven Structure approach is a universal problem solving method that can be applied to any business problem , irrespective of its nature.

As opposed to just selecting a generic framework for each case interview, the Problem Driven Structure approach works by generating a bespoke structure for each individual question and is a simplified version of the roadmap McKinsey consultants use when working on engagements.

The canonical seven steps from McKinsey on real projects are simplified to four for case interview questions, as the analysis required for a six-month engagement is somewhat less than that needed for a 45-minute case study. However, the underlying flow is the same (see the method in action in the video below)

Let's zoom in to see how our method actually works in more detail:

4.1. Identify the problem

Identifying the problem means properly understanding the prompt/question you are given, so you get to the actual point of the case.

This might sound simple, but cases are often very tricky, and many candidates irretrievably mess things up within the first few minutes of starting. Often, they won’t notice this has happened until they are getting to the end of their analysis. Then, they suddenly realise that they have misunderstood the case prompt - and have effectively been answering the wrong question all along!

With no time to go back and start again, there is nothing to do. Even if there were time, making such a silly mistake early on will make a terrible impression on their interviewer, who might well have written them off already. The interview is scuppered and all the candidate’s preparation has been for nothing.

This error is so galling as it is so readily avoidable.

Our method prevents this problem by placing huge emphasis on a full understanding of the case prompt. This lays the foundations for success as, once we have identified the fundamental, underlying problem our client is facing, we focus our whole analysis around finding solutions to this specific issue.

Now, some case interview prompts are easy to digest. For example, “Our client, a supermarket, has seen a decline in profits. How can we bring them up?”. However, many of the prompts given in interviews for top firms are much more difficult and might refer to unfamiliar business areas or industries. For example, “How much would you pay for a banking license in Ghana?” or “What would be your key areas of concern be when setting up an NGO?”

Don’t worry if you have no idea how you might go about tackling some of these prompts!

In our article on identifying the problem and in our full lesson on the subject in our MCC Academy course, we teach a systematic, four step approach to identifying the problem , as well as running through common errors to ensure you start off on the right foot every time!

This is summarised here:

Following this method lets you excel where your competitors mess up and get off to a great start in impressing your interviewer!

4.2. Build your problem driven structure

After you have properly understood the problem, the next step is to successfully crack a case is to draw up a bespoke structure that captures all the unique features of the case.

This is what will guide your analysis through the rest of the case study and is precisely the same method used by real consultants working on real engagements.

Of course, it might be easier here to simply roll out one an old-fashioned framework, and a lot of candidates will do so. This is likely to be faster at this stage and requires a lot less thought than our problem-driven structure approach.

However, whilst our problem driven structure approach requires more work from you, our method has the advantage of actually working in the kind of complex case studies where generic frameworks fail - that is exactly the kind of cases you can expect at an MBB interview .

Since we effectively start from first principles every time, we can tackle any case with the same overarching method. Simple or complex, every case is the same to you and you don’t have to gamble a job on whether a framework will actually work

4.2.1 Issue trees

Issue trees break down the overall problem into a set of smaller problems that you can then solve individually. Representing this on a diagram also makes it easy for both you and your interviewer to keep track of your analysis.

To see how this is done, let’s look at the issue tree below breaking down the revenues of an airline:

These revenues can be segmented as the number of customers multiplied by the average ticket price. The number of customers can be further broken down into a number of flights multiplied by the number of seats, times average occupancy rate. The node corresponding to the average ticket price can then be segmented further.

4.2.2 Hypothesis trees

Hypothesis trees are similar, the only difference being that rather than just trying to break up the issue into smaller issues you are assuming that the problem can be solved and you are formulating solutions.

In the example above, you would assume revenues can be increased by either increasing the average ticket price or the number of customers . You can then hypothesize that you can increase the average occupancy rate in three ways: align the schedule of short and long haul flights, run a promotion to boost occupancy in off-peak times, or offer early bird discounts.

4.2.3 Other structures:structured lists

Structured lists are simply subcategories of a problem into which you can fit similar elements. This McKinsey case answer starts off by identifying several buckets such as retailer response, competitor response, current capabilities and brand image and then proceeds to consider what could fit into these categories.

Buckets can be a good way to start the structure of a complex case but when using them it can be very difficult to be MECE and consistent, so you should always aim to then re-organize them into either an issue or a hypothesis tree.

It is worth noting that the same problem can be structured in multiple valid ways by choosing different means to segment the key issues. Ultimately all these lists are methods to set out a logical hierachy among elements.

4.2.4 Structures in practice

That said, not all valid structures are equally useful in solving the underlying problem. A good structure fulfils several requirements - including MECE-ness , level consistency, materiality, simplicity, and actionability. It’s important to put in the time to master segmentation, so you can choose a scheme isn’t only valid, but actually useful in addressing the problem.

After taking the effort to identify the problem properly, an advantage of our method is that it will help ensure you stay focused on that same fundamental problem throughout. This might not sound like much, but many candidates end up getting lost in their own analysis, veering off on huge tangents and returning with an answer to a question they weren’t asked.

Another frequent issue - particularly with certain frameworks - is that candidates finish their analysis and, even if they have successfully stuck to the initial question, they have not actually reached a definite solution. Instead, they might simply have generated a laundry list of pros and cons, with no clear single recommendation for action.

Clients employ consultants for actionable answers, and this is what is expected in the case interview. The problem driven structure excels in ensuring that everything you do is clearly related back to the key question in a way that will generate a definitive answer. Thus, the problem driven structure builds in the hypothesis driven approach so characteristic of real consulting practice.

You can learn how to set out your own problem driven structures in our article here and in our full lesson in the MCC Academy course.

4.2. Lead the analysis

A problem driven structure might ensure we reach a proper solution eventually, but how do we actually get there?

We call this step " leading the analysis ", and it is the process whereby you systematically navigate through your structure, identifying the key factors driving the issue you are addressing.

Generally, this will mean continuing to grow your tree diagram, further segmenting what you identify as the most salient end nodes and thus drilling down into the most crucial factors causing the client’s central problem.

Once you have gotten right down into the detail of what is actually causing the company’s issues, solutions can then be generated quite straightforwardly.

To see this process in action, we can return to our airline revenue example:

Let’s say we discover the average ticket price to be a key issue in the airline’s problems. Looking closer at the drivers of average ticket price, we find that the problem lies with economy class ticket prices. We can then further segment that price into the base fare and additional items such as food.

Having broken down the issue to such a fine-grained level and considering the 80/20 rule(see below), solutions occur quite naturally. In this case, we can suggest incentivising the crew to increase onboard sales, improving assortment in the plane, or offering discounts for online purchases.

Our article on leading the analysis is a great primer on the subject, with our video lesson in the MCC Academy providing the most comprehensive guide available.

4.4. Provide recommendations

So you have a solution - but you aren’t finished yet!

Now, you need to deliver your solution as a final recommendation.

This should be done as if you are briefing a busy CEO and thus should be a one minute, top-down, concise, structured, clear, and fact-based account of your findings.

The brevity of the final recommendation belies its importance. In real life consulting, the recommendation is what the client has potentially paid millions for - from their point of view, it is the only thing that matters.

In a case interview, your performance in this final summing up of your case is going to significantly colour your interviewer’s parting impression of you - and thus your chances of getting hired!

So, how do we do it right?

Barbara Minto's Pyramid Principle elegantly sums up almost everything required for a perfect recommendation. The answer comes first , as this is what is most important. This is then supported by a few key arguments , which are in turn buttressed by supporting facts .

Across the whole recommendation, the goal isn’t to just summarise what you have done. Instead, you are aiming to synthesize your findings to extract the key "so what?" insight that is useful to the client going forward.

All this might seem like common sense, but it is actually the opposite of how we relay results in academia and other fields. There, we typically move from data, through arguments and eventually to conclusions. As such, making good recommendations is a skill that takes practice to master.

We can see the Pyramid Principle illustrated in the diagram below:

To supplement the basic Pyramid Principle scheme, we suggest candidates add a few brief remarks on potential risks and suggested next steps . This helps demonstrate the ability for critical self-reflection and lets your interviewer see you going the extra mile.

The combination of logical rigour and communication skills that is so definitive of consulting is particularly on display in the final recommendation.

Despite it only lasting 60 seconds, you will need to leverage a full set of key consulting skills to deliver a really excellent recommendation and leave your interviewer with a good final impression of your case solving abilities.

Our specific article on final recommendations and the specific video lesson on the same topic within our MCC Academy are great, comprehensive resources. Beyond those, our lesson on consulting thinking and our articles on MECE and the Pyramid Principle are also very useful.

4.5. What if I get stuck?

Naturally with case interviews being difficult problems there may be times where you’re unsure what to do or which direction to take. The most common scenario is that you will get stuck midway through the case and there are essentially two things that you should do:

• 1. Go back to your structure
• 2. Ask the interviewer for clarification

Your structure should always be your best friend - after all, this is why you put so much thought and effort into it: if it’s MECE it will point you in the right direction. This may seem abstract but let’s take the very simple example of a profitability case interview: if you’ve started your analysis by segmenting profit into revenue minus costs and you’ve seen that the cost side of the analysis is leading you nowhere, you can be certain that the declining profit is due to a decline in revenue.

Similarly, when you’re stuck on the quantitative section of the case interview, make sure that your framework for calculations is set up correctly (you can confirm this with the interviewer) and see what it is you’re trying to solve for: for example if you’re trying to find what price the client should sell their new t-shirt in order to break even on their investment, you should realize that what you’re trying to find is the break even point, so you can start by calculating either the costs or the revenues. You have all the data for the costs side and you know they’re trying to sell 10.000 pairs so you can simply set up the equation with x being the price.

As we’ve emphasised on several occasions, your case interview will be a dialogue. As such, if you don’t know what to do next or don’t understand something, make sure to ask the interviewer (and as a general rule always follow their prompts as they are trying to help, not trick you). This is especially true for the quantitative questions, where you should really understand what data you’re looking at before you jump into any calculations. Ideally you should ask your questions before you take time to formulate your approach but don’t be afraid to ask for further clarification if you really can’t make sense of what’s going on. It’s always good to walk your interviewer through your approach before you start doing the calculations and it’s no mistake to make sure that you both have the same understanding of the data. For example when confronted with the chart below, you might ask what GW (in this case gigawatt) means from the get-go and ask to confirm the different metrics (i.e. whether 1 GW = 1000 megawatts). You will never be penalised for asking a question like that.

5. What to remember in case interviews

If you’re new to case cracking you might feel a bit hopeless when you see a difficult case question, not having any idea where to start.

In fact though, cracking case interviews is much like playing chess. The rules you need to know to get started are actually pretty simple. What will make you really proficient is time and practice.

In this section, we’ll run through a high level overview of everything you need to know, linking to more detailed resources at every step.

5.1. An overall clear structure

You will probably hear this more than you care for but it is the most important thing to keep in mind as you start solving cases, as not only it is a key evaluation criterion but the greatest tool you will have at your disposal. The ability to build a clear structure in all aspects of the case inteview will be the difference between breezing through a complicated case and struggling at its every step. Let’s look a bit closer at the key areas where you should be structured!

5.1.1 Structured notes

Every case interview starts with a prompt, usually verbal, and as such you will have to take some notes. And here is where your foray into structure begins, as the notes you take should be clear, concise and structured in a way that will allow you to repeat the case back to the interviewer without writing down any unnecessary information.

This may sound very basic but you should absolutely not be dismissive about it: taking clear and organized notes will allow what we found helps is to have separate sections for:

• The case brief
• Follow-up questions and answers
• Numerical data
• Case structure (the most crucial part when solving the case)
• Any scrap work during the case (usually calculations)

When solving the case - or, as we call it here, in the Lead the analysis step, it is highly recommended to keep on feeding and integrating your structure, so that you never get lost. Maintaining a clear high level view is one of the most critical aspects in case interviews as it is a key skill in consulting: by constantly keeping track of where you are following your structure, you’ll never lose your focus on the end goal.

In the case of an interviewer-led case, you can also have separate sheets for each question (e.g. Question 1. What factors can we look at that drive profitability?). If you develop a system like this you’ll know exactly where to look for each point of data rather than rummage around in untidy notes. There are a couple more sections that you may have, depending on preference - we’ll get to these in the next sections.

5.1.2 Structured communication

There will be three main types of communication in cases:

• 1. Asking and answering questions
• 2. Walking the interviewer through your structure (either the case or calculation framework - we’ll get to that in a bit!)
• 3. Delivering your recommendation

Asking and answering questions will be the most common of these and the key thing to do before you speak is ask for some time to collect your thoughts and get organised. What you want to avoid is a ‘laundry list’ of questions or anything that sounds too much like a stream of consciousness.

Different systems work for different candidates but a sure-fire way of being organised is numbering your questions and answers. So rather than saying something like ‘I would like to ask about the business model, operational capacity and customer personas’ it’s much better to break it down and say something along the lines of ‘I’ve got three key questions. Firstly I would like to inquire into the business model of our client. Secondly I would like to ask about their operational capacity. Thirdly I would like to know more about the different customer personas they are serving’.

A similar principle should be applied when walking the interviewer through your structure, and this is especially true of online case interviews (more and more frequent now) when the interviewer can’t see your notes. Even if you have your branches or buckets clearly defined, you should still use a numbering system to make it obvious to the interviewer. So, for example, when asked to identify whether a company should make an acquisition, you might say ‘I would like to examine the following key areas. Firstly the financial aspects of this issue, secondly the synergies and thirdly the client’s expertise’

The recommendation should be delivered top-down (see section 4.4 for specifics) and should employ the same numbering principle. To do so in a speedy manner, you should circle or mark the key facts that you encounter throughout the case so you can easily pull them out at the end.

5.1.3 Structured framework

It’s very important that you have a systematic approach - or framework - for every case. Let’s get one thing straight: there is a difference between having a problem-solving framework for your case and trying to force a case into a predetermined framework. Doing the former is an absolute must , whilst doing the latter will most likely have you unceremoniously dismissed.

We have seen there are several ways of building a framework, from identifying several categories of issues (or ‘buckets’) to building an issue or hypothesis tree (which is the most efficient type of framework). For the purpose of organization, we recommend having a separate sheet for the framework of the case, or, if it’s too much to manage, you can have it on the same sheet as the initial case prompt. That way you’ll have all the details as well as your proposed solution in one place.

5.1.4 Structured calculations

Whether it’s interviewer or candidate-led, at some point in the case you will get a bunch of numerical data and you will have to perform some calculations (for the specifics of the math you’ll need on consulting interviews, have a look at our Consulting Math Guide ). Here’s where we urge you to take your time and not dive straight into calculating! And here’s why: while your numerical agility is sure to impress interviewers, what they’re actually looking for is your logic and the calculations you need to perform in order to solve the problem . So it’s ok if you make a small mistake, as long as you’re solving for the right thing.

As such, make it easy for them - and yourself. Before you start, write down in steps the calculations you need to perform. Here’s an example: let’s say you need to find out by how much profits will change if variable costs are reduced by 10%. Your approach should look something like:

• 1. Calculate current profits: Profits = Revenues - (Variable costs + Fixed costs)
• 2. Calculate the reduction in variable costs: Variable costs x 0.9
• 3. Calculate new profits: New profits = Revenues - (New variable costs + Fixed costs)

Of course, there may be more efficient ways to do that calculation, but what’s important - much like in the framework section - is to show your interviewer that you have a plan, in the form of a structured approach. You can write your plan on the sheet containing the data, then perform the calculations on a scrap sheet and fill in the results afterward.

5.2. Common business knowledge and formulas

Although some consulting firms claim they don’t evaluate candidates based on their business knowledge, familiarity with basic business concepts and formulae is very useful in terms of understanding the case studies you are given in the first instance and drawing inspiration for structuring and brainstorming.

If you are coming from a business undergrad, an MBA or are an experienced hire, you might well have this covered already. For those coming from a different background, it may be useful to cover some.

Luckily, you don’t need a degree-level understanding of business to crack case interviews , and a lot of the information you will pick up by osmosis as you read through articles like this and go through cases.

However, some things you will just need to sit down and learn. We cover everything you need to know in some detail in our Case Academy Course course. However, some examples here of things you need to learn are:

• Basic accounting (particularly how to understand all the elements of a balance sheet)
• Basic economics
• Basic marketing
• Basic strategy

Below we include a few elementary concepts and formulae so you can hit the ground running in solving cases. We should note that you should not memorise these and indeed a good portion of them can be worked out logically, but you should have at least some idea of what to expect as this will make you faster and will free up much of your mental computing power. In what follows we’ll tackle concepts that you will encounter in the private business sector as well as some situations that come up in cases that feature clients from the NGO or governmental sector.

5.2.1 Business sector concepts

These concepts are the bread and butter of almost any business case so you need to make sure you have them down. Naturally, there will be specificities and differences between cases but for the most part here is a breakdown of each of them.

5.2.1.1. Revenue

The revenue is the money that the company brings in and is usually equal to the number of products they sell multiplied to the price per item and can be expressed with the following equation:

Revenue = Volume x Price

Companies may have various sources of revenue or indeed multiple types of products, all priced differently which is something you will need to account for in your case interview. Let’s consider some situations. A clothing company such as Nike will derive most of their revenue from the number of products they sell times the average price per item. Conversely, for a retail bank revenue is measured as the volume of loans multiplied by the interest rate at which the loans are given out. As we’ll see below, we might consider primary revenues and ancillary revenues: in the case of a football club, we might calculate primary revenues by multiplying the number of tickets sold by the average ticket price, and ancillary revenues those coming from sales of merchandise (similarly, let’s say average t-shirt price times the number of t-shirts sold), tv rights and sponsorships.

These are but a few examples and another reminder that you should always aim to ask questions and understand the precise revenue structure of the companies you encounter in cases.

5.2.1.2. Costs

The costs are the expenses that a company incurs during its operations. Generally, they can be broken down into fixed and variable costs :

Costs = Fixed Costs + Variable Costs

As their name implies, fixed costs do not change based on the number of units produced or sold. For example, if you produce shoes and are renting the space for your factory, you will have to pay the rent regardless of whether you produce one pair or 100. On the other hand, variable costs depend on the level of activity, so in our shoe factory example they would be equivalent to the materials used to produce each pair of shoes and would increase the more we produce.

These concepts are of course guidelines used in order to simplify the analysis in cases, and you should be aware that in reality often the situation can be more complicated. However, this should be enough for case interviews. Costs can also be quasi-fixed, in that they increase marginally with volume. Take the example of a restaurant which has a regular staff, incurring a fixed cost but during very busy hours or periods they also employ some part-time workers. This cost is not exactly variable (as it doesn’t increase with the quantity of food produced) but also not entirely fixed, as the number of extra hands will depend on how busy the restaurant is. Fixed costs can also be non-linear in nature. Let’s consider the rent in the same restaurant: we would normally pay a fixed amount every month, but if the restaurant becomes very popular we might need to rent out some extra space so the cost will increase. Again, this is not always relevant for case interviews.

5.2.1.3. Profit and profit margin

The profit is the amount of money a company is left with after it has paid all of its expenses and can be expressed as follows:

Profit = Revenue - Costs

It’s very likely that you will encounter a profitability issue in one of your case interviews, namely you will be asked to increase a company’s profit. There are two main ways of doing this: increasing revenues and reducing costs , so these will be the two main areas you will have to investigate. This may seem simple but what you will really need to understand in a case are the key drivers of a business (and this should be done through clarifying questions to the interviewer - just as a real consultant would question their client).

For example, if your client is an airline you can assume that the main source of revenue is sales of tickets, but you should inquire how many types of ticket the specific airline sells. You may naturally consider economy and business class tickets, but you may find out that there is a more premium option - such as first class - and several in-between options. Similarly to our football club example, there may be ancillary revenues from selling of food and beverage as well as advertising certain products or services on flights.

You may also come across the profit margin in case interviews. This is simply the percentage of profit compared to the revenue and can be expressed as follows:

Profit margin = Profit/Revenue x 100

5.2.1.4. Break-even point

An ancillary concept to profit, the break-even point is the moment where revenues equal costs making the profit zero and can be expressed as the following equation:

Revenues = Costs (Fixed costs + Variable costs)

This formula will be useful when you are asked questions such as ‘What is the minimum price I should sell product X?’ or ‘What quantity do I need to sell in order to recoup my investment?’. Let’s say in a case interview an owner of a sandwich store asks us to figure out how many salami and cheese salami sandwiches she needs to sell in order to break even. She’s spending $4 on salami and $2 for cheese and lettuce per sandwich, and believes she can sell the sandwiches at around $7. The cost of utilities and personnel is around $5000 per month. We could lay this all out in the break-even equation:

7 x Q ( quantity ) = (4+2) x Q + 5000 ( variable + fixed costs )

In a different scenario, we may be asked to calculate the break-even price . Let’s consider our sandwich example and say our owner knows she has enough ingredients for about 5000 sandwiches per month but is not sure how much to sell them for. In that case, if we know our break-even equation, we can simply make the following changes:

P ( price ) x 5000 = (4+2) x 5000 + 5000

By solving the equation we get to the price of $7 per sandwich.

5.2.1.5. Market share and market size

We can also consider the market closely with profit, as in fact the company’s performance in the market is what drives profits. The market size is the total number of potential customers for a certain business or product, whereas the market share is the percentage of that market that your business controls (or could control, depending on the case).

There is a good chance you will have to estimate the market size in one of your case interviews and we get into more details on how to do that below. You may be asked to estimate this in either number of potential customers or total value . The latter simply refers to the number of customers multiplied by the average value of the product or service.

To calculate the market share you will have to divide the company’s share by the total market size and multiply by 100:

Note, though, that learning the very basics of business is the beginning rather than the end of your journey. Once you are able to “speak business” at a rudimentary level, you should try to “become fluent” and immerse yourself in reading/viewing/listening to as wide a variety of business material as possible, getting a feel for all kinds of companies and industries - and especially the kinds of problems that can come up in each context and how they are solved. The material put out by the consulting firms themselves is a great place to start, but you should also follow the business news and find out about different companies and sectors as much as possible between now and interviews. Remember, if you’re going to be a consultant, this should be fun rather than a chore!

5.3 Public sector and NGO concepts

As we mentioned, there will be some cases (see section 6.6 for a more detailed example) where the key performance indicators (or KPIs in short) will not be connected to profit. The most common ones will involve the government of a country or an NGO, but they can be way more diverse and require more thought and application of first principles. We have laid out a couple of the key concepts or KPIs that come up below

5.3.1 Quantifiability

In many such scenarios you will be asked to make an important strategic decision of some kind or to optimise a process. Of course these are not restricted to non-private sector cases but this is where they really come into their own as there can be great variation in the type of decision and the types of field.

While there may be no familiar business concepts to anchor yourself onto, a concept that is essential is quantifiability . This means, however qualitative the decision might seem, consultants rely on data so you should always aim to have aspects of a decision that can be quantified, even if the data doesn’t present itself in a straightforward manner.

Let’s take a practical example. Your younger sibling asks you to help them decide which university they should choose if they want to study engineering. One way to structure your approach would be to segment the problem into factors affecting your sibling’s experience at university and experience post-university. Within the ‘at uni’ category you might think about the following:

• Financials : How much are tuition costs and accommodation costs?
• Quality of teaching and research : How are possible universities ranked in the QS guide based on teaching and research?
• Quality of resources : How well stocked is their library, are the labs well equipped etc.?
• Subject ranking : How is engineering at different unis ranked?
• Life on campus and the city : What are the living costs in the city where the university is based? What are the extracurricular opportunities and would your sibling like to live in that specific city based on them?

Within the ‘out of uni’ category you might think about:

• Exit options : What are the fields in which your sibling could be employed and how long does it take the average student of that university to find a job?
• Alumni network : What percentage of alumni are employed by major companies?
• Signal : What percentage of applicants from the university get an interview in major engineering companies and related technical fields?

You will perhaps notice that all the buckets discussed pose quantifiable questions meant to provide us with data necessary to make a decision. It’s no point to ask ‘Which university has the nicest teaching staff?’ as that can be a very subjective metric.

5.3.1 Impact

Another key concept to consider when dealing with sectors other than the private one is how impactful a decision or a line of inquiry is on the overarching issue , or whether all our branches in our issue tree have a similar impact. This can often come in the form of impact on lives, such as in McKinsey’s conservation case discussed below, namely how many species can we save with our choice of habitat.

5.4 Common consulting concepts

Consultants use basic business concepts on an every day basis, as they help them articulate their frameworks to problems. However, they also use some consulting specific tools to quality check their analysis and perform in the most efficient way possible. These principles can be applied to all aspects of a consultant’s work, but for brevity we can say they mostly impact a consultant’s systematic approach and communication - two very important things that are also tested in case interviews. Therefore, it’s imperative that you not only get to know them, but learn how and when to use them as they are at the very core of good casing. They are MECE-ness, the Pareto Principle and the Pyramid principle and are explained briefly below - you should, however, go on to study them in-depth in their respective articles.

Perhaps the central pillar of all consulting work and an invaluable tool to solve cases, MECE stands for Mutually Exclusive and Collectively Exhaustive . It can refer to any and every aspect in a case but is most often used when talking about structure. We have a detailed article explaining the concept here , but the short version is that MECE-ness ensures that there is no overlap between elements of a structure (i.e. the Mutually Exclusive component) and that it covers all the drivers or areas of a problem (Collectively Exhaustive). It is a concept that can be applied to any segmentation when dividing a set into subsets that include it wholly but do not overlap.

Let’s take a simple example and then a case framework example. In simple terms, when we are asked to break down the set ‘cars’ into subsets, dividing cars into ‘red cars’ and ‘sports cars’ is neither mutually exclusive (as there are indeed red sports cars) nor exhaustive of the whole set (i.e. there are also yellow non-sports cars that are not covered by this segmentation). A MECE way to segment would be ‘cars produced before 2000’ and ‘cars produced after 2000’ as this segmentation allows for no overlap and covers all the cars in existence.

Dividing cars can be simple, but how can we ensure MECEness in a case-interview a.k.a. a business situation. While the same principles apply, a good tip to ensure that your structure is MECE is to think about all the stakeholders - i.e. those whom a specific venture involves.

Let’s consider that our client is a soda manufacturer who wants to move from a business-to-business strategy, i.e. selling to large chains of stores and supermarkets, to a business-to-consumer strategy where it sells directly to consumers. In doing so they would like to retrain part of their account managers as direct salespeople and need to know what factors to consider.

A stakeholder-driven approach would be to consider the workforce and customers and move further down the issue tree, thinking about individual issues that might affect them. In the case of the workforce, we might consider how the shift would affect their workload and whether it takes their skillset into account. As for the customers, we might wonder whether existing customers would be satisfied with this move: will the remaining B2B account managers be able to provide for the needs of all their clients and will the fact that the company is selling directly to consumers now not cannibalise their businesses? We see how by taking a stakeholder-centred approach we can ensure that every single perspective and potential issue arising from it is fully covered.

5.4.2 The Pareto Principle

Also known as the 80/20 rule, this principle is important when gauging the impact of a decision or a factor in your analysis. It simply states that in business (but not only) 80% of outcomes come from 20% of causes. What this means is you can make a few significant changes that will impact most of your business organisation, sales model, cost structure etc.

Let’s have a look at 3 quick examples to illustrate this:

• 80% of all accidents are caused by 20% of drivers
• 20% of a company’s products account for 80% of the sales
• 80% of all results in a company are driven by 20% of its employees

The 80/20 rule will be a very good guide line in real engagements as well as case interviews, as it will essentially point to the easiest and most straightforward way of doing things. Let’s say one of the questions in a case is asking you to come up with an approach to understand the appeal of a new beard trimmer. Obviously you can’t interview the whole male population so you might think about setting up a webpage and asking people to comment their thoughts. But what you would get would be a laundry list of difficult to sift through data.

Using an 80/20 approach you would segment the population based on critical factors (age groups, grooming habits etc.) and then approach a significant sample size of each (e.g. 20), analysing the data and reaching a conclusion.

5.4.3 The Pyramid Principle

This principle refers to organising your communication in a top-down , efficient manner. While this is generally applicable, the pyramid principle will most often be employed when delivering the final recommendation to your client. This means - as is implicit in the name - that you would organise your recommendation (and communication in general) as a pyramid, stating the conclusion or most important element at the top then go down the pyramid listing 3 supporting arguments and then further (ideally also 3) supporting arguments for those supporting arguments.

Let’s look at this in practice in a case interview context: your client is a German air-conditioning unit manufacturer who was looking to expand into the French market. However, after your analysis you’ve determined that the market share they were looking to capture would not be feasible. A final recommendation using the Pyramid Principle would sound something like this: ‘I recommend that we do not enter the German market for the following three reasons. Firstly, the market is too small for our ambitions of $50 million. Secondly the market is heavily concentrated, being controlled by three major players and our 5 year goal would amount to controlling 25% of the market, a share larger than that of any of the players. Thirdly, the alternative of going into the corporate market would not be feasible, as it has high barriers to entry.Then, if needed, we could delve deeper into each of our categories

6. Case examples or building blocks?

As we mentioned before, in your case interview preparation you will undoubtedly find preparation resources that claim that there are several standard types of cases and that there is a general framework that can be applied to each type of case. While there are indeed cases that are straightforward at least in appearance and seemingly invite the application of such frameworks, the reality is never that simple and cases often involve multiple or more complicated components that cannot be fitted into a simple framework.

At MCC we don’t want you to get into the habit of trying to identify which case type you’re dealing with and pull out a framework, but we do recognize that there are recurring elements in frameworks that are useful - such as the profitability of a venture (with its revenues and costs), the valuation of a business, estimating and segmenting a market and pricing a product.

We call these building blocks because they can be used to build case frameworks but are not a framework in and of themselves, and they can be shuffled around and rearranged in any way necessary to be tailored to our case. Hence, our approach is not to make you think in terms of case types but work from first principles and use these building blocks to build your own framework. Let’s take two case prompts to illustrate our point.

The first is from the Bain website, where the candidate is asked whether they think it’s a good idea for their friend to open a coffee shop in Cambridge UK (see the case here ). The answer framework provided here is a very straightforward profitability analysis framework, examining the potential revenues and potential costs of the venture:

While this is a good point to start for your case interview (especially taken together with the clarifying questions), we will notice that this approach will need more tailoring to the case - for example the quantity of coffee will be determined by the market for coffee drinkers in Cambridge, which we have to determine based on preference. We are in England so a lot of people will be drinking tea but we are in a university town so perhaps more people than average are drinking coffee as it provides a better boost when studying. All these are some much needed case-tailored hypotheses that we can make based on the initial approach.

Just by looking at this case we might be tempted to say that we can just take a profitability case and apply it without any issues. However, this generic framework is just a starting point and in reality we would need to tailor it much further in the way we had started to do in order to get to a satisfactory answer. For example, the framework for this specific case interview doesn’t cover aspects such as the customer’s expertise: does the friend have any knowledge of the coffee business, such as where to source coffee and how to prepare it? Also, we could argue there may be some legal factors to consider here, such as any approvals that they might need from the city council to run a coffee shop on site, or some specific trade licences that are not really covered in the basic profitability framework.

Let’s take a different case , however, from the McKinsey website. In this scenario, the candidate is being asked to identify some factors in order to choose where to focus the client’s conservation efforts. Immediately we can realise that this case doesn’t lend itself to any pre-packaged framework and we will need to come up with something from scratch - and take a look at McKinsey’s answer of the areas to focus on:

We notice immediately that this framework is 100% tailored to the case - of course there are elements which we encounter in other cases, such as costs and risks but again these are applied in an organic way. It’s pretty clear that while no standard framework would work in this case, the aforementioned concepts - costs and risks - and the way to approach them (a.k.a building blocks ) are fundamentally similar throughout cases (with the obvious specificities of each case).

In what follows, we’ll give a brief description of each building block starting from the Bain example discussed previously, in order to give you a general idea of what they are and their adaptability, but you should make sure to follow the link to the in-depth articles to learn all their ins and outs.

6.1 Estimates and segmentation

This building block will come into play mostly when you’re thinking about the market for a certain product (but make sure to read the full article for more details). Let’s take our Bain Cambridge coffee example. As we mentioned under the quantity bucket we need to understand what the market size for coffee in Cambridge would be - so we can make an estimation based on segmentation .

The key to a good estimation is the ability to logically break down the problem into more manageable pieces. This will generally mean segmenting a wider population to find a particular target group. We can start off with the population of Cambridge - which we estimate at 100.000. In reality the population is closer to 150.000 but that doesn’t matter - the estimation has to be reasonable and not accurate , so unless the interviewer gives you a reason to reconsider you can follow your instinct. We can divide that into people who do and don’t drink coffee. Given our arguments before, we can conclude that 80% of those, so 80.000 drink coffee. Then we can further segment into those who drink regularly - let’s say every day - and those who drink occasionally - let’s say once a week. Based on the assumptions before about the student population needing coffee to function, and with Cambridge having a high student population, we can assume that 80% of those drinking coffee are regular drinkers, so that would be 64.000 regular drinkers and 16.000 occasional drinkers. We can then decide whom we want to target what our strategy needs to be:

This type of estimation and segmentation can be applied to any case specifics - hence why it is a building block.

6.2 Profitability

We had several looks at this building block so far (see an in-depth look here ) as it will show up in most case interivew scenarios, since profit is a key element in any company’s strategy. As we have seen, the starting point to this analysis is to consider both the costs and revenues of a company, and try to determine whether revenues need to be improved or whether costs need to be lowered. In the coffee example, the revenues are dictated by the average price per coffe x the number of coffees sold , whereas costs can be split into fixed and variable .

Some examples of fixed costs would be the rent for the stores and the cost of the personnel and utilities, while the most obvious variable costs would be the coffee beans used and the takeaway containers (when needed). We may further split revenues in this case into Main revenues - i.e. the sales of coffee - and Ancillary revenues , which can be divided into Sales of food products (sales of pastries, sandwiches etc., each with the same price x quantity schema) and Revenues from events - i.e renting out the coffee shop to events and catering for the events themselves. Bear in mind that revenues will be heavily influenced by the penetration rate , i.e. the share of the market which we can capture.

6.3 Pricing

Helping a company determine how much they should charge for their goods or services is another theme that comes up frequently in cases. While it may seem less complicated than the other building blocks, we assure you it’s not - you will have to understand and consider several factors, such as the costs a company is incurring, their general strategic positioning, availability, market trends as well as the customers’ willingness to pay (or WTP in short) - so make sure to check out our in-depth guide here .

In our example, we may determine that the cost per cup (coffee beans, staff, rent) is £1. We want to be student friendly so we should consider how much students would want to pay for a coffee as well as how much are competitors are charging. Based on those factors, it would be reasonable to charge on average £2 per cup of coffee. It’s true that our competitors are charging £3 but they are targeting mostly the adult market, whose willingness to pay is higher, so their pricing model takes that into account as well as the lower volume of customers in that demographic.

6.4. Valuation

A variant of the pricing building block, a valuation problem generally asks the candidate to determine how much a client should pay for a specific company (the target of an acquisition) as well as what other factors to consider. The two most important factors (but not the only ones - for a comprehensive review see our Valuation article ) to consider are the net present value (in consulting interviews usually in perpetuity) and the synergies .

In short, the net present value of a company is how much profit it currently brings in, divided by how much that cash flow will depreciate in the future and can be represented with the equation below:

The synergies refer to what could be achieved should the companies operate as one, and can be divided into cost and revenue synergies .

Let’s expand our coffee example a bit to understand these. Imagine that our friend manages to open a chain of coffee shops in Cambridge and in the future considers acquiring a chain of take-out restaurants. The most straightforward example of revenue synergies would be cross-selling, in this case selling coffee in the restaurants as well as in the dedicated stores, and thus getting an immediate boost in market share by using the existing customers of the restaurant chain. A cost synergy would be merging the delivery services of the two businesses to deliver both food and coffee, thus avoiding redundancies and reducing costs associated with twice the number of drivers and vehicles.

6.5. Competitive interaction

This component of cases deals with situations where the market in which a company is operating changes and the company must decide what to do. These changes often have to do with a new player entering the market (again for more details make sure to dive into the Competitive Interaction article ).

Let’s assume that our Cambridge coffee shop has now become a chain and has flagged up to other competitors that Cambridge is a blooming market for coffee. As such, Starbucks has decided to open a few stores in Cambridge themselves, to test this market. The question which might be posed to a candidate is what should our coffee chain do. One way (and a MECE one) to approach the problem is to decide between doing something and doing nothing . We might consider merging with another coffee chain and pooling our resources or playing to our strengths and repositioning ourselves as ‘your student-friendly, shop around the corner’. Just as easily we may just wait the situation out and see whether indeed Starbucks is cutting into our market share - after all, the advantages of our product and services might speak for themselves and Starbucks might end up tanking. Both of these are viable options if argued right and depending on the further specifics of the case.

6.6. Special cases

Most cases deal with private sectors, where the overarching objective entails profit in some form. However, as hinted before, there are cases which deal with other sectors where there are other KPIs in place . The former will usually contain one or several of these building blocks whereas the latter will very likely have neither. This latter category is arguably the one that will stretch your analytical and organisational skills to the limit, since there will be very little familiarity that you can fall back on (McKinsey famously employs such cases in their interview process).

So how do we tackle the structure for such cases? The short answer would be starting from first principles and using the problem driven structure outlined above, but let’s look at a quick example in the form of a McKinsey case :

The first question addressed to the candidate is the following:

This is in fact asking us to build a structure for the case. So what should we have in mind here? Most importantly, we should start with a structure that is MECE and we should remember to do that by considering all the stakeholders . They are on the one hand the government and affiliated institutions and on the other the population. We might then consider which issues might arise for each shareholder and what the benefits for them would be, as well as the risks. This approach is illustrated in the answer McKinsey provides as well:

More than anything, this type of case shows us how important it is to practise and build different types of structures, and think about MECE ways of segmenting the problem.

7. How Do I prepare for case interviews

In consulting fashion, the overall preparation can be structured into theoretical preparation and practical preparation , with each category then being subdivided into individual prep and prep with a partner .

As a general rule, the level and intensity of the preparation will differ based on your background - naturally if you have a business background (and have been part of a consulting club or something similar) your preparation will be less intensive than if you’re starting from scratch. The way we suggest you go about it is to start with theoretical preparation , which means learning about case interviews, business and basic consulting concepts (you can do this using free resources - such as the ones we provide - or if you want a more through preparation you can consider joining our Case Academy as well).

You can then move on to the practical preparation which should start with doing solo cases and focusing on areas of improvement, and then move on to preparation with a partner , which should be another candidate or - ideally - an ex-consultant.

Let’s go into more details with respect to each type of preparation.

7.1. Solo practice

The two most important areas of focus in sole preparation are:

• Mental math

As we mentioned briefly, the best use of your time is to focus on solving cases. You can start with cases listed on MBB sites since they are clearly stated and have worked solutions as well (e.g. Bain is a good place to start) and then move to more complex cases (our Case Library also offers a range of cases of different complexities). To build your confidence, start out on easier case questions, work through with the solutions, and don't worry about time. As you get better, you can move on to more difficult cases and try to get through them more quickly. You should practice around eight case studies on your own to build your confidence.

Another important area of practice is your mental mathematics as this skill will considerably increase your confidence and is neglected by many applicants - much to their immediate regret in the case interview. Find our mental math tool here or in our course, and practice at least ten minutes per day, from day one until the day before the interview.

7.2. Preparation with a partner

There are aspects of a case interview - such as asking clarifying questions - which you cannot do alone and this is why, after you feel comfortable, you should move on to practice with another person. There are two options here:

• Practicing with a peer
• Practicing with an ex-consultant

In theory they can be complementary - especially if you’re peer is also preparing for consulting interviews - and each have advantages and disadvantages. A peer is likely to practice with you for free for longer, however you may end up reinforcing some bad habits or unable to get actionable feedback. A consultant will be able to provide you the latter but having their help for the same number of hours as a peer will come at a higher cost. Let’s look at each option in more detail.

7.2.1. Peer preparation

Once you have worked through eight cases solo, you should be ready to simulate the case interview more closely and start working with another person.

Here, many candidates turn to peer practice - that is, doing mock case interviews with friends, classmates or others also applying to consulting. If you’re in university, and especially in business school, there will very likely be a consulting club for you to join and do lots of case practice with. If you don’t have anyone to practice, though, or if you just want to get a bit more volume in with others, our free meeting board lets you find fellow applicants from around the world with whom to practice. We recommend practicing around 10 to 15 ‘live’ cases to really get to a point where you feel comfortable.

7.2.2. Preparation with a consultant

You can do a lot practising by yourself and with peers. However, nothing will bring up your skills so quickly and profoundly as working with a real consultant.

Perhaps think about it like boxing. You can practice drills and work on punch bags all you want, but at some point you need to get into the ring and do some actual sparring if you ever want to be ready to fight.

Practicing with an ex consultant is essentialy a simulation of a case interview. Of course, it isn’t possible to secure the time of experienced top-tier consultants for free. However, when considering whether you should invest to boost your chances of success, it is worth considering the difference in your salary over even just a few years between getting into a top-tier firm versus a second-tier one. In the light of thousands in increased annual earnings (easily accumulating into millions over multiple years), it becomes clear that getting expert interview help really is one of the best investments you can make in your own future.

Should you decide to make this step, MyConsultingCoach can help, offering bespoke mentoring programmes , where you are paired with a 5+ year experienced, ex-MBB mentor of your choosing, who will then oversee your whole case interview preparation from start to finish - giving you your best possible chance of landing a job!

7.3. Practice for online interviews

Standard preparation for interview case studies will carry directly over to online cases.

However, if you want to do some more specific prep, you can work through cases solo to a timer and using a calculator and/or Excel (online cases generally allow calculators and second computers to help you, whilst these are banned in live case interviews).

Older PST-style questions also make great prep, but a particularly good simulation is the self-assessment tests included in our Case Academy course . These multiple choice business questions conducted with a strict time limit are great preparation for the current crop of online cases.

7.4. Fit interviews

As we’ve noted, even something billed as a case interview is very likely to contain a fit interview as a subset.

We have an article on fit interviews and also include a full set of lessons on how to answer fit questions properly as a subset of our comprehensive Case Academy course .

Here though, the important thing to convey is that you take preparing for fit questions every bit as seriously as you do case prep.

Since they sound the same as you might encounter when interviewing for other industries, the temptation is to regard these as “just normal interview questions”.

However, consulting firms take your answers to these questions a good deal more seriously than elsewhere.

This isn’t just for fluffy “corporate culture” reasons. The long hours and close teamwork, as well as the client-facing nature of management consulting, mean that your personality and ability to get on with others is going to be a big part of making you a tolerable and effective co-worker.

If you know you’ll have to spend 14+ hour working days with someone you hire and that your annual bonus depends on them not alienating clients, you better believe you’ll pay attention to their character in interview.

There are also hard-nosed financial reasons for the likes of McKinsey, Bain and BCG to drill down so hard on your answers.

In particular, top consultancies have huge issues with staff retention. The average management consultant only stays with these firms for around two years before they have moved on to a new industry.

In some cases, consultants bail out because they can’t keep up with the arduous consulting lifestyle of long hours and endless travel. In many instances, though, departing consultants are lured away by exit opportunities - such as the well trodden paths towards internal strategy roles, private equity or becoming a start-up founder.

Indeed, many individuals will intentionally use a two year stint in consulting as something like an MBA they are getting paid for - giving them accelerated exposure to the business world and letting them pivot into something new.

Consulting firms want to get a decent return on investment for training new recruits. Thus, they want hires who not only intend to stick with consulting longer-term, but also have a temperament that makes this feasible and an overall career trajectory where it just makes sense for them to stay put.

This should hammer home the point that, if you want to get an offer, you need to be fully prepared to answer fit questions - and to do so excellently - any time you have a case interview.

8. Interview day - what to expect, with tips

Of course, all this theory is well and good, but a lot of readers might be concerned about what exactly to expect in real life . It’s perfectly reasonable to want to get as clear a picture as possible here - we all want to know what we are going up against when we face a new challenge!

Indeed, it is important to think about your interview in more holistic terms, rather than just focusing on small aspects of analysis. Getting everything exactly correct is less important than the overall approach you take to reasoning and how you communicate - and candidates often lose sight of this fact.

In this section, then, we’ll run through the case interview experience from start to finish, directing you to resources with more details where appropriate. As a supplement to this, the following video from Bain is excellent. It portrays an abridged version of a case interview, but is very useful as a guide to what to expect - not just from Bain, but from McKinsey, BCG and any other high-level consulting firm.

8.1. Getting started

Though you might be shown through to the office by a staff member, usually your interviewer will come and collect you from a waiting area. Either way, when you first encounter them, you should greet your interviewer with a warm smile and a handshake (unless they do not offer their hand). Be confident without verging into arrogance. You will be asked to take a seat in the interviewer’s office, where the case interview can then begin.

8.1.1. First impressions

In reality, your assessment begins before you even sit down at your interviewer’s desk. Whether at a conscious level or not, the impression you make within the first few seconds of meeting your interviewer is likely to significantly inform the final hiring decision (again, whether consciously or not).

Your presentation and how you hold yourself and behave are all important . If this seems strange, consider that, if hired, you will be personally responsible for many clients’ impressions of the firm. These things are part of the job! Much of material on the fit interview is useful here, whilst we also cover first impressions and presentation generally in our article on what to wear to interview .

As we have noted above, your interview might start with a fit segment - that is, with the interviewer asking questions about your experiences, your soft skills, and motivation to want to join consulting generally and that firm in particular. In short, the kinds of things a case study can’t tell them about you. We have a fit interview article and course to get you up to speed here.

8.1.2. Down to business

Following an initial conversation, your interviewer will introduce your case study , providing a prompt for the question you have to answer. You will have a pen and paper in front of you and should (neatly) note down the salient pieces of information (keep this up throughout the interview).

It is crucial here that you don’t delve into analysis or calculations straight away . Case prompts can be tricky and easy to misunderstand, especially when you are under pressure. Rather, ask any questions you need to fully understand the case question and then validate that understanding with the interviewer before you kick off any analysis. Better to eliminate mistakes now than experience that sinking feeling of realising you have gotten the whole thing wrong halfway through your case!

This process is covered in our article on identifying the problem and in greater detail in our Case Academy lesson on that subject.

8.1.3. Analysis

Once you understand the problem, you should take a few seconds to set your thoughts in order and draw up an initial structure for how you want to proceed. You might benefit from utilising one or more of our building blocks here to make a strong start. Present this to your interviewer and get their approval before you get into the nuts and bolts of analysis.

We cover the mechanics of how to structure your problem and lead the analysis in our articles here and here and more thoroughly in the MCC Case Academy . What it is important to convey here, though, is that your case interview is supposed to be a conversation rather than a written exam . Your interviewer takes a role closer to a co-worker than an invigilator and you should be conversing with them throughout.

Indeed, how you communicate with your interviewer and explain your rationale is a crucial element of how you will be assessed. Case questions in general, are not posed to see if you can produce the correct answer, but rather to see how you think . Your interviewer wants to see you approach the case in a structured, rational fashion. The only way they are going to know your thought processes, though, is if you tell them!

To demonstrate this point, here is another excellent video from Bain, where candidates are compared.

Note that multiple different answers to each question are considered acceptable and that Bain is primarily concerned with the thought processes of the candidate’s exhibit .

Another reason why communication is absolutely essential to case interview success is the simple reason that you will not have all the facts you need to complete your analysis at the outset. Rather, you will usually have to ask the interviewer for additional data throughout the case to allow you to proceed .

NB: Don't be let down by your math!

Your ability to quickly and accurately interpret these charts and other figures under pressure is one of the skills that is being assessed. You will also need to make any calculations with the same speed and accuracy (without a calculator!). As such, be sure that you are up to speed on your consulting math .

8.1.4. Recommendation

Finally, you will be asked to present a recommendation. This should be delivered in a brief, top-down "elevator pitch" format , as if you are speaking to a time-pressured CEO. Again here, how you communicate will be just as important as the details of what you say, and you should aim to speak clearly and with confidence.

For more detail on how to give the perfect recommendation, take a look at our articles on the Pyramid Principle and providing recommendations , as well the relevant lesson within MCC Academy .

8.1.5. Wrapping up

After your case is complete, there might be a few more fit questions - including a chance for you to ask some questions of the interviewer . This is your opportunity to make a good parting impression.

We deal with the details in our fit interview resources. However, it is always worth bearing in mind just how many candidates your interviewers are going to see giving similar answers to the same questions in the same office. A pretty obvious pre-requisite to being considered for a job is that your interviewer remembers you in the first place. Whilst you shouldn't do something stupid just to be noticed, asking interesting parting questions is a good way to be remembered.

Now, with the interview wrapped up, it’s time to shake hands, thank the interviewer for their time and leave the room .

You might have other case interviews or tests that day or you might be heading home. Either way, if know that you did all you could to prepare, you can leave content in the knowledge that you have the best possible chance of receiving an email with a job offer. This is our mission at MCC - to provide all the resources you need to realise your full potential and land your dream consulting job!

8.2. Remote and one-way interview tips

Zoom case interviews and “one-way” automated fit interviews are becoming more common as selection processes are increasingly remote, with these new formats being accompanied by their own unique challenges.

Obviously you won’t have to worry about lobbies and shaking hands for a video interview. However, a lot remains the same. You still need to do the same prep in terms of getting good at case cracking and expressing your fit answers. The specific considerations around remote case interviews are, in effect, around making sure you come across as effectively as you would in person.

8.2.1. Connection

It sounds trivial, but a successful video case interview of any kind presupposes a functioning computer with a stable and sufficient internet connection.

Absolutely don’t forget to have your laptop plugged in, as your battery will definitely let you down mid-interview. Similarly, make sure any housemates or family know not to use the microwave, vacuum cleaner or anything else that makes wifi cut out (or makes a lot of noise, obviously)

If you have to connect on a platform you don’t use much (for example, if it’s on Teams and you’re used to Zoom), make sure you have the up to date version of the app in advance, rather than having to wait for an obligatory download and end up late to join. Whilst you’re at it, make sure you’re familiar with the controls etc. At the risk of being made fun of, don’t be afraid to have a practice call with a friend.

8.2.2. Dress

You might get guidance on a slightly more relaxed dress code for a Zoom interview. However, if in doubt, dress as you would for the real thing (see our article here ).

Either way, always remember that presentation is part of what you are being assessed on - the firm needs to know you can be presentable for clients. Taking this stuff seriously also shows respect for your interviewer and their time in interviewing you.

8.2.3. Lighting

An aspect of presentation that you have to devote some thought to for a Zoom case interview is your lighting.

Hopefully, you long ago nailed a lighting set-up during the Covid lockdowns. However, make sure to check your lighting in advance with your webcam - bearing in mind what time if day your case interview actually is. If your case interview is late afternoon, don’t just check in the morning. Make sure you aren’t going to be blinded from light coming in a window behind your screen, or that you end up with the weird shadow stripes from blinds all over your face.

Natural light is always best, but if there won’t be much of that during your interview, you’ll likely want to experiment with moving some lamps around.

8.2.4. Clarity

The actual stories you tell in an automated “one-way” fit interview will be the same as for a live equivalent. If anything, things should be easier, as you can rattle off a practised monologue without an interviewer interrupting you to ask for clarifications.

You can probably also assume that the algorithm assessing your performance is sufficiently capable that it will be observing you at much the same level as a human interviewer. However, it is probably still worth speaking as clearly as possible with these kinds of interviews and paying extra attention to your lighting to ensure that your face is clearly visible.

No doubt the AIs scoring these interviews are improving all the time, but you still want to make their job as easy as possible. Just think about the same things as you would with a live Zoom case interview, but more so.

9. How we can help

There are lots of great free resources on this site to get you started with preparation, from all our articles on case solving and consulting skills to our free case library and peer practice meeting board .

To step your preparation up a notch, though, our Case Academy course will give you everything you need to know to solve the most complex of cases - whether those are in live case interviews, with chatbots, written tests or any other format.

Whatever kind of case you end up facing, nothing will bring up your skillset faster than the kind of acute, actionable feedback you can get from a mock case interview a real, MBB consultant. Whilst it's possible to get by without this kind of coaching, it does tend to be the biggest single difference maker for successful candidates.

You can find out more on our coaching page:

Explore Coaching

Of course, for those looking for a truly comprehensive programme, with a 5+ year experienced MBB consultant overseeing their entire prep personally, from networking and applications right through to your offer, we have our mentoring programmes.

You can read more here:

Comprehensive Mentoring

Account not confirmed

Case Interview Prep – Useful Tips and Frameworks

Without case interview prep, you have no chance of getting a job offer from a consulting firm . And since preparing for case interviews is very different from preparing for a normal job interview, we've put together a detailed guide that takes you step-by-step through your case interview preparation. You can find the 9 ultimate case interview prep tips , different frameworks you can apply to the most common cases, and helpful expert tips from our case coaches . We have also provided a pdf with 5 case studies for you to download for free .

If you have not read the case interview guide and firstly need some more general information on case interviews, make sure to read it first and then come back here to get more detailed tips on how to prepare for the actual case interview and solve it with confidence in front of your interviewer !

• 1. Case Interview Preparation: 9 Tips for a Successful Case Prep
• 1.1 Learn the Theory

By reading this article, you have already taken the first step of getting to know what case interviews are all about. Well done! You can now proceed by learning the theory you need to know to solve them. In general, you should learn how to:

• Identify your case type (e.g. Market sizing , Market entry , Profitability , Growth )
• Structure your thoughts (e.g. Issue tree , MECE , Pyramid principle )
• Use business analysis tools (e.g. ABC analysis , Breakeven , Benchmarking )
• Define common terms of business (e.g. NPV , CAGR , Fixed and variable cost )

In our Case Interview Basics , you can find all the necessary basics.

• 1.2 Gradually Develop your Business Intuition

As you need to have good business sense to successfully pass your case interview, you should dedicate some time before gradually building up your business intuition. The earlier you start doing this, the easier it will come to you. All you have to do is make it a habit of regularly reading business publications or magazines. You can choose new insights from McKinsey , Bain , and BCG or find other sources that appeal to you. While you do that, try to develop a basic knowledge of business, strategy, and industries , such as retail, airlines, telecom, banking, natural resources, and tech.

• 1.3 Bring your Mental Math up to Speed

All case interviews involve doing math without a calculator which is why brushing up your math skills should be a constant part of your daily prep plan . Practice until you are a hundred percent comfortable doing basic additions, subtractions, divisions, multiplications, and growth rate calculations in your head. Read our article on Fast Math and make use of our mental math tool in order to practice your efficiency. This will greatly ease the pressure if confronted with a math problem in your interview.

Knowing the shortcuts for a wide range of calculations will help you simplify math problems. For example, break down complex math problems into multiple smaller operations:

= (100 - 3) x (50 + 3)

= 5000 + 300 - 150 - 9

• 1.4 Practice Makes Perfect

Take a look at our vast Case Library with which you’ll be prepared for all possible case types. Our case collection includes cases that have been used in case interviews in the past. Solving cases on your own can give you a first feeling for them, but the only way to improve the skills you need to pass your interview is to put yourself in a case interview situation. Find a few outstanding candidates you can practice with and practice cases on a regular basis . The more perspectives you can get, the better. Feedback will help you improve.

On PrepLounge, the world’s largest case interview community awaits you. Simply schedule or accept a mock interview with another candidate on our Meeting Board ! Here is how it works:

• Schedule: After you and your case partner have confirmed the mock interview on the Meeting Board, your meeting is set and should be visible on your dashboard.
• Communication : We recommend you directly get in touch with your case partner to confirm your method of communication during the interview (e.g. Skype) and case preferences.
• Interview: During the back-to-back meeting you will take turns with your case partner in order to play both interviewer and interviewee roles. Don’t neglect the part of the session where you play the interviewer role . It will help you notice points of importance and adapt your approach accordingly.
• Case: There will be two PrepLounge cases randomly selected by default, but you can also change them and pick one of our other 190+ cases or use your own case.
• Feedback: This is the most important part of your mock interview as it helps you to improve your case performance. Please give valuable feedback to your case partner. You would want them to do the same!
• 1.5 Get Support from Experts

To make your case interview preparation as effective as possible, we recommend you also invest in coaching sessions with experienced top consultants . Our experience shows that this will be worth it, as it significantly increases your chance of getting your dream job offer (by four to be exact). Our experts know exactly what interviewers want and can work with you on every aspect of your case performance , whether it is structure, personal fit, confidence, or communication. They can even give you valuable networking tips and help you get a referral.

We offer you a transparent list of coaches , including their professional and educational backgrounds, top skills, individual approaches, reviews, and recommendation rates. This allows you to individually choose the perfect experts for your coaching sessions . You may also benefit from our C oachingPlus Package that comes with an overall discount.

• 1.6 Learn and Keep Track of your Progress

You can do as many cases as you like, but if you do not learn from them, you will not going to improve your case performance . This is why you should do the following: At the end of each case that you solve, whether it is on your own, with a case partner or expert, write down in your own words what mistakes you have made and what you learned. After a few days, redo the case and apply your learnings to ensure that you are making progress. Keeping track of your improvements will keep you motivated and make sure that you don’t repeat the same mistakes .

• 1.7 Don’t Forget About the Personal Fit

It doesn’t matter how much you ace the case, but if you are not a personal fit for the company, you will not get the job offer. After all, consulting is a people’s business , that includes teamwork and spending a lot of time with your colleagues. In order to ace the personal fit part of the interview, it is important that you understand what an interviewer is looking for in a candidate to decide that he or she is a personal fit. Typically, the interviewer has three key questions in mind.

Then, you have to learn how to convey to the interviewer that you comply with what he or she is looking for. Practice your answers to personal fit questions with other candidates or experts:

• Why management consulting ?
• Why company x?
• Why should we hire you?
• Tell me about yourself!
• Give me an example of a time that you have led a group to achieve a difficult goal!
• Find more Stress Questions
• 1.8 Practice Confidence

The more you practice, the more confident you will automatically feel. However, feeling confident is not equal to seeming confident. Sometimes you can come across as insecure without even noticing and this can be due to minor communication style habits. Therefore, you should ask your PrepLounge case partner or expert to take your verbal and non-verbal communication into account and to give you feedback on your level of confidence or insecurity . Try to focus on the following aspects during your practice:

• Sound of your voice. A monotone voice or speaking too fast gives an impression of insecurity and a poor communication style. To avoid that, you can listen to podcasts with great speakers for about 30 minutes to one hour per day. After a couple of days, you will start to speak in a similar manner, as you will absorb their communication style.
• Smile. Smiling can be a powerful element to show that you enjoy the interview (and interviewer) and are not afraid. You can force smiles (obviously not too much) in case you get feedback that you seem too serious.
• Eye contact. You should do not need to constantly look the interviewer in the eyes, but you should not look away when he or she asks you something and you should not stare, either.
• Ability to break the ice. Confident people are not afraid to start small talks with interviewers from the beginning. Keeping silent creates less connection and may be considered a sign of lack of confidence.
• Posture. You should try to keep straight in the chair most of the time. Leaning too much towards the interviewer can be seen as a lack of confidence.
• 1.9 Take Breaks

In total you should prepare for well over 50 hours in up to a 6-week time period , practicing on a daily basis. This can be exhausting, and we know that a lot of candidates struggle with a lack of motivation and focus , especially after an intense period of case prep. This is usually because they forgot to implement regular breaks in their prep plan. Professional athletes will always take time to rest to give their muscles time to regenerate, and so should you for your brain muscle. A good strategy is to develop an evening and morning routine that gives you time to relax and maximizes your energy level for the prep during the day. Here are some examples of what you can do:

• 15-20 minutes of exercise in the morning or evening
• A cold shower in the morning
• Meditation or writing a journal
• Define three important things to do for the next day and allocate the time for all activities while doing the most important ones first
• No social media one hour after you wake up and before you go to sleep
• Get enough sleep (at least 7 hours)
• Take breaks between each case or intense case practice session and do something totally different (e.g. workout, play video games)
• 2. Case Interview Frameworks

There is no magic formula that can be applied to every case but there are frameworks and methods that can be learned; with practice, you can ensure you are able to answer any case that you come up against.​

Anyone that has started delving into case interviews will likely have come across the frameworks designed by Victor Cheng. These are effective frameworks that have been adapted from widely published frameworks such as porters five forces . These can generally be applied to most case studies and learning them should definitely feature in your preparation. ​

Most firms are wise to these frameworks now and will even mark you down for applying one blindly . They want to see you think on your feet rather than apply a learned response. Using these frameworks is a great foundation that you can build upon, sometimes just changing the headings is enough to show you are able to create a bespoke solution.​

2.1 Types of Frameworks ​

There are three key framework types that can help tackle the toughest of case interviews . Whilst it is possible to learn particular frameworks prior to interviews, using frameworks from memory can result in being penalized by the interviewer. Deploying one of the following framework types with bespoke parameters is all that is required to develop an exceptional answer.​

The three framework types are; bucket, issue tree, and matrix. All three allow for a methodical approach but are more effective when used to answer different types of questions.​

Issue tree: Great for profitability questions and any market sizing elements. Each ‘root’ of the tree allows for the isolation of the problem and clear analysis. Often this is used in conjunction with a bucket framework.​

Matrix: Usually taking the form of a table but sometimes a pair of the axis (BCG matrix). This framework is great when having to draw comparisons such as in competitor analysis or M&A suitability. The key is to use only the minimum necessary parameters in order to make a clean and simple comparison.​

Bucket: The most commonly used framework, it is very good for finding the root cause and developing a good idea of the bigger picture. Laying this framework out at the start also provides a checklist to work through which should prevent any unexpected mental blocks.​​

2.2 Five Key Frameworks ​

• 2.2.1 Profitability Framework​

This framework takes the form of an issue tree (sometimes referred to as a logic tree), it isolates the clients' profitability problem into its key components. Following its branches, it is easy to identify where the issue lies and visualize where it fits into the bigger picture. The branches of this issue tree satisfy the MECE principle and therefore if followed correctly, it should lead you to the cause.​

Often a case will require you to identify the root cause of an issue and then subsequently recommend solutions. In this scenario, it is likely that a bucket framework will be required for the solution section.​

A profitability question will normally contain a sentence such as “PepsiCo has experienced declining profits” and therefore should be easily recognizable. Any case involving profits or one of its components (revenues and costs) will require a profitability framework.

Three equations to learn:​

1. Profits = revenue – costs

2. Revenue = units x price

3. Costs = Variable costs + Fixed costs​

Profits = revenue – costs ​

This is the overarching equation that you are looking at but as always you must dig deeper into each component of the equation to find the crux of the issue.​

Revenue = units x price ​

Units can be increased by increasing the number of customers buying the current products (usually sales & marketing) or by increasing the number of products purchased by the current customer base (upselling).​

Increasing the price of a product is usually the quickest way to increase profits but this will affect the number of units that can be sold at that price, the magnitude of the effect will depend on the elasticity of demand and alternatives available to the consumer. ​

Costs = variable costs + fixed costs ​

To increase profits variable costs can be reduced by reducing the costs of inputs per unit. Increasing buying power or increasing efficiency on a per unit basis, such as automating steps of the manufacturing process, are ways of achieving this.​

Fixed costs can be reduced by removing unnecessary costs or by maximizing the efficiency of current resources. Relocating the office to a cheaper location is an example of reducing fixed costs directly and increasing manufacturing production to 100% from 80% capacity would reduce the fixed cost per unit.​

• 2.2.2 General Framework​

Developed on a framework made popular by Victor Cheng, this general-purpose framework is capable of being adapted to the majority of case interview questions. This framework can be an alternative to the growth and market entry frameworks below if you are short of preparation time and cannot learn all the suggested frameworks.​

This case interview framework primarily serves as a checklist to ensure you cover all the relevant elements in the case. It is still important to remain disciplined and methodical by exhausting each point before moving on to the next.

a) Consumer:​

Useful mnemonic: Whales Wave With Police Constables​

Who – the demographic of the customer base e.g age, gender, individuals, businesses, etc.

What – the products they are buying and reason for buying this product e.g stapler to help organize paperwork

Where – the location of the customer base e.g UK, Europe, global

Price – the prices that customers have been paying

Consumer risk – how concentrated are these customers, what effect will lose certain customers have on total revenues? (Usually fewer customers = higher risk)​

b) Client:​

Useful mnemonic: Every Dog Is Four​

Expertise – What the client is capable of and where their limitations are e.g great at manufacturing clothes cheaply but bad at luxury design?

Distribution channels – How is the client getting their product in front of customers? e.g wholesale, retail, direct to consumer, e-commerce, etc.

Intangibles – does the client possess anything intangible that may affect the strategic decision? such as strong brand recognition or intellectual property.

Financial Situation – what financial resources does the client have to make the necessary investments or absorb the cost if the project fails?

c) Product:​

Useful mnemonic: Why Eight Children Started Laughing​

What – the details of the product the client sells

The elasticity of demand – how much of a necessity is the product to consumers? For example, petrol has a high elasticity of demand for those with petrol cars it’s a necessity.

Compliments – are there any existing compliments to the product? e.g a phone case compliments a phone

Substitutes – are there any indirect competitors (especially emerging ones) such as tablets were to the laptop market (different products competing for the same consumers).

Lifecycle – how long does the product last? When will consumers be purchasing again? E.g a sandwich may have a lifecycle of 24 hours but a car is more like 5 years.

d) Market:​

Useful mnemonic: My Children Tried Saying Rebellious​

Market share – the breakdown of competitors and their respective market shares of the target market.

Competitor observations – the competitor's response to the same situation or anything notable in how they differ from the client.

The threat of new entrants – what is going to prevent another entrant to the market and what effect would this have?

Supplier risk – how concentrated are the suppliers, what effect would lose the current supplier have? (usually few suppliers = higher risk)

Regulations – are there any regulations that have or will have an effect on the client?​​

• 2.2.3 Pricing Framework​

Whilst pricing cases are less common it's sensible to know at least the basics of pricing strategies . Without the basics, it would be easy to flunk the case unnecessarily. The three common pricing strategies are cost-based, value-based, and competitor-based.​

Cost-based pricing: The addition of a target profit margin to the full unit cost.

Value-based pricing: The value that the product provides to the consumer. Usually worked out via a cost-saving, additional benefits over and above existing products or similar.

Competitor-based pricing: Taken from what competitors are charging and what this product offers in comparison.

• 2.2.4 Market Entry Framework​

This market entry case interview framework is a development of the general framework, it places more emphasis on the strategy of understanding the target market and market capture. It is still possible to answer these questions with the general framework but it is likely to convey a lack of originality to the interviewer.​

Market entry questions usually explicitly state the intentions to enter a new market such as “Bosch is looking to enter the South American market”, making them easily recognizable.

a) Market:​

Useful mnemonic: Small Childish People Prefer Marrying Red-heads​

Size – what is the size of the target market?

Customers - who are the customers and what are their needs and preferences?

Product types – what products is the market receptive to? Do changes need to be made to existing products?

Profitability – are the current players in the market profitable and by how much?

Market share – what is the current market structure of its participants?

Regulations – are there any regulations that could affect the client from successfully entering?

b) Financials:​

Useful mnemonic: Fighting Is Overly Exuberant​

Financial situation – what financial resources does the client have to make the necessary investments or absorb the cost if the project fails.

Investment required – to enter the market what initial costs are there? E.g building manufacturing facilities.

Ongoing costs – what costs will be incurred following the initial investment of entering?

Expected revenue & ROI – what is the expected return from entering the market?

c) Client capabilities:​

Useful mnemonic: Children Eat Children Maltesers​

Expertise – what the client is capable of and where are their limitations? e.g great at manufacturing clothes cheaply but bad at luxury design.

Entry experience – has the client entered a market before?

Market entrants – has anyone entered the market before? If so, does the client have the same capabilities? ​

d) Entry strategy:​

Useful mnemonic: Tall People Try Oranges​

Timing – when is the best time to enter?

Pilot – will a pilot be used (99% yes) and what size will it be? Who will participate?

Type – how will the expansion be executed? Self-built, M&A, Joint venture?

Operation location – will the new operation be run from head office or the new location?

• 2.2.5 Growth Strategy Framework​

This growth framework is an alternative to using a combination of profitability and general frameworks. It simplifies the question of growth nicely by segmenting the problem into internal and external factors.​

During a growth strategy case, it is important to remain pragmatic. It is easy to get carried away with elaborate ideas such as ‘build an app’ but hard to offer sensible ideas with real potential for the client and their current operations. This isn’t to say you should not offer all of the ideas in the beginning but then choose which ones you would recommend they explore further based on the situation in front of you. This is a good chance to show good business acumen.

a) Internal​​

Current situation - what is the financial health, growth and profitability of the company today?

Drivers of financial performance - for this particular company what impacts profitability the most?

b) External​

Industry - what is going on in the industry? (market share, growth rates, new entrants)

Customers - who are the customers and what have their historical buying trends been?

Competitors - who are they and what have they been doing? How have they grown themselves

• 2.3 The Best Frameworks When Solving Cases

A framework may help you to solve the business problem in your case interview in a more structured and concise way. You should know the most common types of cases in order to determine which might be a suitable framework you can apply. Our coaches Guennael and Vlad explain their approaches:

What does a framework really have to do? Basically, 3 things :

First, be MECE (Mutually Exclusive, Collectively Exhaustive); Second, help you go through the case in a structured and methodical way to not only allow you find the best answer; Third, convince your interviewer that your success is repeatable and that you will crack this case and the next and the next.

Back when I was prepping for my BCG interview, I ended up falling back on just two frameworks, which I'd then tweak to fit the actual case: First, a version of the profitability model (Profit = Revenue - Cost, and Revenue = Price x Quantity); Second, a basic version of (Product, Price, Client, Competition, Company). Are these 2 frameworks optimal in every instance? No, they are not. Did they do the trick? I have used them in the 10+ practice cases with former BCGers, as well as in my 5 BCG cases... and I got in, so there's that :) I would even argue that every case can be solved by using either or both of these frameworks. Learn them, keep them in your back pocket, and be ready to use them. If you find a better one, great! But I'd rather you started with an "ok" framework and focused on solving the problem than spending 30 seconds at the beginning of the case to find the "perfect" framework , failed, and found yourself having to think on the fly as your start the solving process.

There is no one-fits-all structure.  You should have some patterns in mind for specific case types, however, you should change them depending on the:

• Additional details of the case

Below you can find a list of the  most common case types  and some high-level recommendations on structuring:

• Market sizing  - structuring from the supply or demand side. Structuring using a formula or using an issue tree
• Profitability  - basic profitability framework. Remember about different revenue streams and product mix
• Market context  cases (Market Entry, New product, Acquisition, etc). Always start with the big picture "market". Finish with something the specific strategy to answer the objective of the case (e.g. "Entry strategy" - for market entry. "Exit Strategy" for PE case. "Go-to-market strategy" for a new product case). Structure it as if you are defining the work streams for the real project.
• Operational math problem  (e.g. Should we increase the speed of an elevator or just buy a second one? How should we reduce the queues? Etc.) - Structuring as a process/value chain, with inflows, operations, and outflows
• Cost-cutting  - I provided the recommendations on structuring it:

Structuring:

• What is the cost composition and what are the biggest costs
• Benchmarking of the biggest costs to find the improvement potential
• Process improvements to meet the benchmarks
• Costs and benefits of the proposed initiatives

The key concepts  that you have to learn:

• Internal / external benchmarking
• Core processes (usually are optimized) and the supporting processes (usually are cut)
• Math structures (Frequency of operations * time per operation)
• Other useful structures (e.g. people - process - technology)
• Valuation  - Purely financial structure with cash flows, growth rate, WACC / hurdle rate, etc.
• Synergies  - revenue synergies (price, qty, mix) and cost synergies (value chain).
• Social/economics cases  (e.g. How to improve the quality of life in the city? How to increase the revenues of the museum?) - huge variability. Practice 3-5 social cases before the interview

Besides that, there is a bunch of  useful frameworks that you can apply in the middle of the case to find the root cause of a problem . E.g.

• People - Process - Technologies
• Capacity - Utilization - Output rate
• Product - Distribution - Marketing - Price
• Value-based pricing - competitive pricing - cost-based pricing

You will learn these frameworks while solving the cases.  It's useful to have a bunch of them in mind to be able to identify the root cause quickly .

• 2.4 How You Should (Not) Use a Framework

With frameworks, you are structured in every case . They give you a helping hand and guide you like a red thread through your case. However, you should not be too fixated on specific frameworks. A framework should always be adapted to the respective situation. Our coach Sidi explains why:

You can (and should) get acquainted with all of these frameworks. But you should NOT use them as blueprints to structure your approach towards ANY given case! One big misconception that I, unfortunately, see with many many candidates needs to be called out again and again:

Structure DOES NOT equal frameworks!

The different frameworks that you can find in pertinent case literature provide a very good basic toolbox in terms of which areas to look into for certain types of problems. However,  they are very poor regarding HOW TO APPROACH a case and HOW TO DRAFT A ROADMAP for solving the case.  This approach and roadmap need to be rooted in a  rigorous and specific logic.  Unfortunately, the "framework learning philosophy" brought forward by, e.g., Case in Point, is the very reason why an overwhelming majority of candidates will not get an offer.

By and large, most (or probably all) casebooks on the market are teaching a fundamentally flawed way how to think about business/strategy / organizational problems!  A framework as such is worth nothing  if it is not  embedded into the specific context of the situation!  This means each element that you want to scrutinize ("building blocks" of the framework so to speak) needs to clearly  relate to the question that you want to address! This principle should form the basis of any structure.

This is why you  ALWAYS start from the specific question that you want to answer!  From there, you define the  criterion or criteria  that need to be met to answer this core question in one way or another.

In 95% of cases,  value creation  will be the central element. Ultimately, this is nothing else than profit generation over a specific time frame. You then draw a  driver tree  for profitability to isolate the  numerical drivers  for your solution. And then, only after you have drawn out the driver tree, you can map out the relevant qualitative "framework elements" to the sub-branches.  This approach, visualized by means of a rigorous driver tree, is much much clearer than any framework you will find in any case book.  And, contrary to such frameworks, which are hanging in the air and do not logically relate back to the specific question, this is a bulletproof approach when done rigorously.

The caveat is: this requires time and qualified coaching to internalize. But ultimately, this is how consultants think about problems -  how can we optimize for value creation?

• 2.5 How to Develop Your Own Framework in 4 Steps

In order to address unique issues in case interviews, it is important to develop your own frameworks . Our expert Benjamin gives you tips on how to do it:

1. (almost)  Never use a standard framework taken from the books.  Strategy consulting is about helping clients facing unique issues with a tailored answer. Forcing your approach in a standard framework is unlikely to be relevant

2.  Project yourself in your client's shoes and show empathy for its problems.  By doing so it will be much easier for you to understand what are the key topics to cover to formulate a recommendation and make sure you don't forget anything. I always ask myself "what would I do if this was my business and my own problem? What do I need to know/understand to make a decision ?"

3.  Make sure every topic you want to cover is relevant for the final recommendation.  A simple check is to ask yourself "If I spend time on this specific topic, and get some answers to my questions (ex. market sizing, competition, etc.), will this bring useful element for the final recommendation given my client's problematics"? If the answer is no, then you should drop this sub-issue.

4.  Practice a lot, with any daily case you can set up on your own.  The above tips are taken from my own experience doing my best to build MECE structures, but keep in mind that it takes a lot of practice to achieve a satisfying performance here. I have developed an exercise called structuring drills, that focus your effort on learning to build a structure. This is usually very appreciated by candidates.

• 3. How to Solve a Case Study in 10 Steps [Infographic]

Step 1: Listen actively and take notes . Write down every piece of information, especially numerical data.

Step 2: Restate the question. Pause, paraphrase and make sure you understand the problem statement by confirming with the interviewer.

Step 3: Clarify the objectives and identify the problem. Ask specific questions and double-check on objectives. Make sure you completely understand the problem.

Step 4: Write out your structure. Ask your interviewer for a minute to prepare your structure and organize your notes. Identify your case type and use an issue tree to customize your structure. The branches of your issue tree should be MECE.

Step 5: State your hypothesis. Now that you have set up the issue tree, your task is to test each branch to see if it is the root cause of the problem. Where to begin? A hypothesis based on an educated guess helps here. (e.g. "Since you have mentioned that revenues are more or less flat, my hypothesis is that the problem is mostly driven by the cost side of the business. If it is okay with you, I will start by […]")

Step 6: Think out loud. Sharing your thoughts allows the interviewer to interact. Refine or rebuild your hypothesis as you find out more.

Step 7: Gather more data in order to test your hypothesis. Proactively ask for relevant data and always segment it (e.g. using the ABC analysis ). Try to evaluate whether trends have been company-specific or industry-wide.

Step 8: Dig deeper while staying structured ( MECE !) throughout the case. Always refer to the structure you have set up at the beginning of the case but be flexible as the case evolves. If you conclude that your hypothesis is false, eliminate that branch and go to the next one. Summarize findings when switching major branches. If your test confirms your hypothesis, go deeper into that branch, and drill down to the lower levels until you identify all proven root causes.

Step 9: Choose a recommendation and use the Pyramid Principle to structure your conclusion. Ask for a minute to gather your thoughts and then state your recommendation. You need to deliver a one-minute, top-down, concise, structured, clear, and fact-based summary of your findings.

Step 10: Stand by your conclusion. Your interviewer will likely challenge your recommendation (either to see if you can handle pressure or to assess if you really believe in what you are saying).

• 4. PrepLounge: The Key to Your Success

To become the best, you must learn from the best. That is exactly what PrepLounge can offer you. The vast PrepLounge community makes it easy to find case partners with the same ambitions and goals as you. Whether you are looking for a professional case coach or other aspiring consultants, you will have no problem finding case partners in the build-up to your interview. Our PrepLounge coaches – from Bain to McKinsey – are uniquely qualified to provide you with insights into the mastery of a case interview.

Apart from case partners from every imaginable background, PrepLounge provides a colossal collection of online resources to give you the best preparation leading up to your case interview. We will provide you with questions and answers to the most important consulting case types and share in-depth knowledge for the best possible case interview preparation. You will be able to find case partners to practice online and always be on top of the latest insights and news regarding consulting jobs and top consulting firms .

As a PrepLounge member, you will receive access to all these perks. PrepLounge will accompany you all the way from your application through to your contract negotiation . You strongly diminish your chance of success without sufficient preparation. Invest in your future and give yourself the best chance at acing your case interview ! Exchange your experience with peers from all around the world in our Consulting Q&A . Join our case interview community today and embark on your journey into consulting!

• Get started right away and practice your first cases

Oliver Wyman Case: Full Electrons Ahead

Simon-Kucher Case: GST Cruise Company

Deloitte Case: Footloose

Oliver wyman case: setting up a wine cellar.

zeb case: Quo vadis, customer?

Continue to learn.

BCG Case Interview Guide

Are you facing a BCG case interview? We have the ultimate preparation guide for you!

Consulting Industry Trends in 2023

Find out what will happen in the consulting industry in 2023.

The Difference Between MBB and the Big Four in Consulting

Dive into the world of the consulting industry now

• 2.1 Types of Frameworks​
• 2.2 Five Key Frameworks​

• Select category
• General Feedback
• Case Interview Preparation
• Technical Problems

47 case interview examples (from McKinsey, BCG, Bain, etc.)

One of the best ways to prepare for   case interviews  at firms like McKinsey, BCG, or Bain, is by studying case interview examples. 

There are a lot of free sample cases out there, but it's really hard to know where to start. So in this article, we have listed all the best free case examples available, in one place.

The below list of resources includes interactive case interview samples provided by consulting firms, video case interview demonstrations, case books, and materials developed by the team here at IGotAnOffer. Let's continue to the list.

• McKinsey examples
• BCG examples
• Bain examples
• Deloitte examples
• Other firms' examples
• Case books from consulting clubs
• Case interview preparation

Click here to practise 1-on-1 with MBB ex-interviewers

1. mckinsey case interview examples.

• Beautify case interview (McKinsey website)
• Diconsa case interview (McKinsey website)
• Electro-light case interview (McKinsey website)
• GlobaPharm case interview (McKinsey website)
• National Education case interview (McKinsey website)
• Talbot Trucks case interview (McKinsey website)
• Shops Corporation case interview (McKinsey website)
• Conservation Forever case interview (McKinsey website)
• McKinsey case interview guide (by IGotAnOffer)
• Profitability case with ex-McKinsey manager (by IGotAnOffer)
• McKinsey live case interview extract (by IGotAnOffer) - See below

2. BCG case interview examples

• Foods Inc and GenCo case samples  (BCG website)
• Chateau Boomerang written case interview  (BCG website)
• BCG case interview guide (by IGotAnOffer)
• Written cases guide (by IGotAnOffer)
• BCG live case interview with notes (by IGotAnOffer)
• BCG mock case interview with ex-BCG associate director - Public sector case (by IGotAnOffer)
• BCG mock case interview: Revenue problem case (by IGotAnOffer) - See below

3. Bain case interview examples

• CoffeeCo practice case (Bain website)
• FashionCo practice case (Bain website)
• Associate Consultant mock interview video (Bain website)
• Consultant mock interview video (Bain website)
• Written case interview tips (Bain website)
• Bain case interview guide   (by IGotAnOffer)
• Digital transformation case with ex-Bain consultant
• Bain case mock interview with ex-Bain manager (below)

4. Deloitte case interview examples

• Engagement Strategy practice case (Deloitte website)
• Recreation Unlimited practice case (Deloitte website)
• Strategic Vision practice case (Deloitte website)
• Retail Strategy practice case  (Deloitte website)
• Finance Strategy practice case  (Deloitte website)
• Talent Management practice case (Deloitte website)
• Enterprise Resource Management practice case (Deloitte website)
• Footloose written case  (by Deloitte)
• Deloitte case interview guide (by IGotAnOffer)

5. Accenture case interview examples

• Case interview workbook (by Accenture)
• Accenture case interview guide (by IGotAnOffer)

6. OC&C case interview examples

• Leisure Club case example (by OC&C)
• Imported Spirits case example (by OC&C)

7. Oliver Wyman case interview examples

• Wumbleworld case sample (Oliver Wyman website)
• Aqualine case sample (Oliver Wyman website)
• Oliver Wyman case interview guide (by IGotAnOffer)

8. A.T. Kearney case interview examples

• Promotion planning case question (A.T. Kearney website)
• Consulting case book and examples (by A.T. Kearney)
• AT Kearney case interview guide (by IGotAnOffer)

9. Strategy& / PWC case interview examples

• Presentation overview with sample questions (by Strategy& / PWC)
• Strategy& / PWC case interview guide (by IGotAnOffer)

10. L.E.K. Consulting case interview examples

• Case interview example video walkthrough   (L.E.K. website)
• Market sizing case example video walkthrough  (L.E.K. website)

11. Roland Berger case interview examples

• Transit oriented development case webinar part 1  (Roland Berger website)
• Transit oriented development case webinar part 2   (Roland Berger website)
• 3D printed hip implants case webinar part 1   (Roland Berger website)
• 3D printed hip implants case webinar part 2   (Roland Berger website)
• Roland Berger case interview guide   (by IGotAnOffer)

12. Capital One case interview examples

• Case interview example video walkthrough  (Capital One website)
• Capital One case interview guide (by IGotAnOffer)

12. EY Parthenon case interview examples

• Candidate-led case example with feedback (by IGotAnOffer)

14. Consulting clubs case interview examples

• Berkeley case book (2006)
• Columbia case book (2006)
• Darden case book (2012)
• Darden case book (2018)
• Duke case book (2010)
• Duke case book (2014)
• ESADE case book (2011)
• Goizueta case book (2006)
• Illinois case book (2015)
• LBS case book (2006)
• MIT case book (2001)
• Notre Dame case book (2017)
• Ross case book (2010)
• Wharton case book (2010)

Practice with experts

Using case interview examples is a key part of your interview preparation, but it isn’t enough.

At some point you’ll want to practise with friends or family who can give some useful feedback. However, if you really want the best possible preparation for your case interview, you'll also want to work with ex-consultants who have experience running interviews at McKinsey, Bain, BCG, etc.

If you know anyone who fits that description, fantastic! But for most of us, it's tough to find the right connections to make this happen. And it might also be difficult to practice multiple hours with that person unless you know them really well.

Here's the good news. We've already made the connections for you. We’ve created a coaching service where you can do mock case interviews 1-on-1 with ex-interviewers from MBB firms . Start scheduling sessions today!

Related articles:

Case Interview Types: Master Common Ones Before Your Interview

• Last Updated January, 2024

Rebecca Smith-Allen

Former McKinsey Engagement Manager

On Case Study Preparation , we described what a case interview question is and how you should approach answering one. You can think about that page as your Consulting Case Interview 101 course.

But if we could tell you how to ace your consulting case interview in just one page, Bain, BCG, McKinsey, and other top consulting firms would give out a lot more offers than they do every year.

On this page, we discuss the most common types of case study interview questions . We’ll take your understanding of how to answer these to the next level by outlining the key issues to consider when structuring your answer.

Let’s get started!

Here are the types of cases you might come across during your case interview :

• Profitability Cases 1.1 Profit Optimization 1.2 Revenue Growth 1.3 Pricing Optimization 1.4 Market Entry 1.5 M&A 1.6 Cost Optimization 1.7 Startup / Early-Stage Venture
• Non-Profitability Cases 2.1   Lives Affected 2.2 Retention 2.3 Industry Landscape and Competitive Dynamics
• Market Sizing Questions (also called dinner conversation cases)
• Case Interview Math (also known as consulting math) 4.1 Consulting Math Example 4.2 Summary of Key Things to Remember on Consulting Math Questions

How To Make the Most of Case Interview Practice Time

Help with case study interview preparation.

Nail the case & fit interview with strategies from former MBB Interviewers that have helped 89.6% of our clients pass the case interview.

Profitability Cases

On this page , we discussed case interview  frameworks   that can help you structure your answers to case study interview questions, we introduced the profitability equation. It’s 1 of 2 basic business frameworks you can use to answer any type of case question. 

This formula can help ensure you address all the key aspects of straightforward profitability cases like the following:

A sports apparel retailer has experienced declining sales in its stores over the past year and declining profits. How would you recommend they address their profitability problem?

A cell phone manufacturer is experiencing declining profitability despite strong sales. What should they do to improve their bottom line?

For more detail on the components in this formula and an example of how to use it to solve a case interview question, see our  Case Interview Frameworks  page . Below, we’ll discuss types of profitability problems that go beyond the basics.

Profit Optimization

Perhaps a company is profitable… just not profitable enough . 

Maybe its margins are lower than those of an industry rival. 

Maybe they’ve dipped below its own prior-year performance. 

Perhaps management sees an opportunity to launch a new product, leapfrogging the competition, but needs to generate more cash to invest in development. 

Any of these can be reasons to improve the performance of an already profitable company. 

Sample questions:

A nationwide fast-food chain failed to meet Wall Street expectations on its latest investor call and as a result, its stock price fell significantly. Management wants help identifying opportunities to improve the bottom line.

The CEO of a regional hospital chain is concerned that his company’s profitability is half that of the market leader. How can the company grow its net income?

Use the Profitability Equation

In structuring your analysis of a profit optimization case, you should touch on all 4 components of the profitability equation to understand what the company is doing well and where things have taken a turn for the worse. 

But the underlying problem in this type of case may be more subtle than in a basic profitability question. 

Instead of a big jump in costs or the loss of a large customer wiping out a significant chunk of revenue, the company may be experiencing a couple of small problems that add up to bad news for the bottom line. 

Benchmark Relative to Competition of Past Performance

For example, if our client is a TV manufacturer and we find out that our cost of producing a TV has increased overtime while our prices have remained the same, we can see that rising costs is the reason for our profits declining. 

To turn around the situation, we could look into what the competition is doing to reduce costs. For example, if a competitor is sourcing the same materials as us but from a cheaper supplier, we want to see if we can lower our cost by sourcing from the same supplier.

Benchmark One Business Segment to Another

Another way consultants benchmark performance on revenue and cost levers is by comparing the performance in one business segment or type of end-customer to another . 

Continuing with our TV manufacturing example, we might find that the client has seen costs rise on components in its high-end models but remain constant for its low-end models. 

We can look into what is being done differently in the low-end product group: low-cost sourcing, process improvement, etc. to find opportunities to improve the cost position in the high-end segment.

Use Key Performance Indicators (KPIs)

The company may also need more disciplined business processes and a system for measuring key performance indicators . 

Our TV manufacturer might institute a system for measuring cost per unit on a weekly or monthly basis in order to ensure they have an early warning system to monitor if costs are getting out of line.

To go with these KPIs, a regular process for reviewing the costs and taking necessary action could be instituted. Disciplined processes and performance indicators will help to fine-tune operations over time, taking them from good to best-in-class.

Key concepts to consider when addressing a profit optimization case:

The profitability equation including all its components,

• Benchmarks of cost and/or revenue relative to best-in-class competition and prior year performance.  
• Benchmark the company’s performance segmented by product or type of customer .
• Opportunities for business process improvement and key performance indicators that will allow management to monitor profitability more closely. 

Revenue Growth

Revenue growth case questions focus on companies that, while already profitable, still want to grow. 

They can do this by increasing market share, by selling their existing products to new markets, by selling new products to their existing customers, or by pursuing a combination of these opportunities. 

They can also capture more revenue by increasing prices.

A national chain of fitness centers wants to leverage its brand equity by selling additional products and services to its client base. What incremental products and services can profitably grow revenue?

The president of a printer and ink manufacturer thinks there is an opportunity to provide after-sale service to its customer base. What might be the impact on revenue from entering this market?

Capture Additional Market Share

As its name suggests, this type of case study focuses on the first half of the profitability equation — revenue = price x quantity of units sold. in examining units sold, you should consider the company’s ability to capture additional market share for existing products in the markets it already serves. , what is the company’s current share of the market that of its largest competitor what would it take to capture additional share product improvements a shift in marketing and promotion.

If a chain of fitness centers was our client, for example, we’d look at whether the primary competition was 1 or 2 large chains or a number of small, single-location gyms and tailor our strategy to increase market share accordingly. 

If the competition was single-location gyms, we could promote flexibility for members to use our facilities in multiple locations to bring in new customers. We could also leverage the client’s greater size to outspend the small gyms on advertising.

Branch into New Products or Markets

Also, consider the new products and/or markets the company could branch into . What products do competitors sell that the company doesn’t? Does the company have capabilities that would help them  succeed in other markets?

Our fitness center client could consider selling new products like fitness apparel or vitamins. They could expand into new markets, such as towns and cities adjacent to ones currently served.

Offer Services to Existing Customers

In addition, consider  services that can be sold to existing customers . Post-sales support for equipment, for example. Or consumables used with their products, like ink for a printer manufacturer. Our fitness center client could look into providing personal fitness coaching services to members.

Review Pricing

Lastly, consider the company’s  flexibility to raise prices . Where do their prices stand relative to competitive products or services? Do their products or services have higher quality or value-added capabilities that would command a higher price?

For more examples of revenue growth case interviews, see our  Revenue Growth Case article. 

Pricing Optimization

A company must have a solid product or service offering to be able to take a price increase without seeing a significant loss of sales to competitors. 

If their products or services are strong, then optimizing price can be an important lever to grow revenue.

A manufacturer of kitchen knives sells a range of products, from low-end to professional, to customers at different price points. They’ve developed a new line of knives in collaboration with a celebrity chef and would like help setting the prices for these products.

The airline industry has experienced significant changes in its pricing model over the past few years, with some airlines charging separately for checked baggage, meals, and beverages. A global carrier has asked us to help optimize the pricing of the additional services it provides to customers who fly with them.

Elasticity of Demand

When prices rise, demand for a product goes down and when prices fall, demand rises. You’ll remember this from Economics 101, or perhaps just from common sense. Pricing optimization is all about how much . 

If you can raise prices with demand going down just a little, you can improve a company’s revenues by raising price. If a change in price has a big impact on demand, then raising price could be a big mistake.

The term for this is Price Elasticity of Demand . If demand for a product or service changes a lot in response to a change in price, it’s said to have price elasticity. Products with many substitutes or ones that consumers can easily do without are the most sensitive to price changes. 

For example, if McDonald’s raised the price of the Big Mac, more customers might go to Burger King, Taco Bell, or just eat lunch at home. McDonald’s hamburger sales would fall dramatically.

Substitutes

For some products, demand is relatively insensitive to changes in price. This can be the case for luxury goods, for products that have few substitutes , or for when there are large switching costs. When the cost of home heating oil rises, some customers consider switching to natural gas to heat their homes. But if doing so will require buying a new furnace to run on gas or paying for pipes from their house to the gas distribution network, they won’t make the change unless the change in price is dramatic and/or expected to persist for a number of years. 

3 Methods for Setting Prices

Competitive-based pricing — Setting prices based on the prices of other similar products in the market. This is the simplest method for setting prices. Companies who use competitive-based pricing are price takers.

Cost-based pricing —Setting prices as a function of the cost to provide a good or service plus a profit margin. Cost alone can’t be used to set pricing because if a company’s costs are out of line with its competitors, it may price itself out of the market.

Value-based pricing — Setting prices based on the value provided to customers. Luxury goods are priced well above the cost of their production because customers of these products value association with the prestigious image the product conveys. Products that provide significant value to customers in terms of saving time or providing features not found in other products can be priced higher because they are worth more to customers.

Value-based pricing the best pricing method but it can only be used for products and services that are sufficiently differentiated in the eyes of the customer that they will not change their buying behavior in response to higher prices.

Market Entry

Significant start-up costs will be incurred to develop and manufacture a new product, to launch the marketing campaign, or to build the sales force needed to find customers. 

To ensure that spending money on start-up costs are worthwhile, due diligence needs to be done to estimate the size of the market being considered and the cost of successfully entering it.

A teen fashion retailer has seen its sales boom in the North American market for the past 5 years. They’re considering expansion into international markets. They’d like help identifying which markets provide the best opportunities for their line of clothing.

A not-for-profit organization has been successful at hiring the long-term unemployed to manufacturer furniture made from pallets and other recycled items. They’ve not only designed and created beautiful pieces of indoor and outdoor furniture, but also helped to improve the lives of individuals in one city. They’d like to expand to other products and potentially to other cities and have asked for our help in assessing their options.

There are  4 parts to any market entry case : market size, market attractiveness, costs of entry and capabilities required. Let’s look at each.

Market size

Market sizing is sometimes used as a case interview question on its own. See below for more details . It’s also usually the first part of a market entry case. It addresses how large a market is in terms of annual revenue, number of units sold, or both. The underlying issue is whether there is enough opportunity in a market to make it worth the up-front cost.

To determine whether the amount of sales revenue or unit volume is “enough,” estimate the size of the market based on the information provided by your interviewer or by using factors you can reasonably estimate about the market. You can then consider profit margins and what portion of the market the company must capture to break even.

Market attractiveness

The market a company is thinking about entering may be huge, but it can still be unattractive. Key questions include: What is the profit margin for companies already in the market?  What does the competition in the market look like? Large firms with huge marketing budgets or small companies? 

Costs of entry

Will new technology, equipment, sales staff, or something else be required to succeed in the new market? If so, what will it cost? The greater the investment required to enter a market, the more difficult it will be to recoup the initial investment.

Capabilities

Does the firm being discussed have what it takes to succeed in the new market? In some markets, the key to success is marketing expertise and distribution. In others, it’s low costs and disciplined business processes. Identify the key attributes of success in the market and whether the company possesses those attributes.

To learn how you can structure and break down a case such as these, visit the  Case Interview Frameworks  page can help you think through important factors in this type of consulting case interview question.

Above, we looked at how to analyze a market entry case. 

If a market is attractive but the client does not have all the capabilities required to succeed in it, it may decide to buy the right capabilities through a merger or acquisition (M&A). 

They could also consider M&A opportunities if they need to enter the market fast rather than build capabilities over time.

The number 3 competitor in the cellular phone services market is at a disadvantage relative to its larger competitors. Providing cellular phone service has high fixed costs—for the equipment that transmits calls, the retail stores that sell phones and provide in-person customer support, and the marketing spend that is key to customer attraction and retention. The CEO is considering acquiring a smaller competitor in order to gain market share. He would like our help thinking through this decision.

The president of a national drug-store chain is considering acquiring a large, national health insurance provider. The merger would combine one company’s network of pharmacies and pharmacy management business with the health insurance operations of the other, vertically integrating the companies. He would like our help analyzing the potential benefits to customers and shareholders.

When you get this type of case, ask your interviewer why the company is considering the merger or acquisition. They may provide key information on the size and attractiveness of the market the target company is in. Assuming the target company is in a large, attractive market and has the critical capabilities required to succeed in that market, then you should consider whether it is better to build the new business internally or undertake a merger or acquisition. 

If two companies are considering a merger, they still have to persuade their shareholders that the 2 companies would be more valuable working together than on their own. The value the companies can create by working together is called  synergy .

Synergies from a merger or acquisition can be on the cost side, the revenue side, or both. Cost synergies include leveraging fixed costs across more business or cutting costs duplicated in both firms’ operations. Revenue side synergies include selling a broader range of products through the existing sales force or distribution channel. 

The synergies created by the merger or acquisition must be greater than the premium that must be paid to secure the deal in order for the transaction to make sense.

Integration

Mergers and acquisitions are large and complicated transactions. They require  integrating  the talent, systems, policies, and processes of the 2 organizations. Synergies that look good on PowerPoint slides do not always accrue in real life. In addition, key employees may quit during the disruption and uncertainty the M&A activity causes. Even if substantial synergies are identified, a company should consider whether it can successfully undertake the integration.

Regulatory Approval

Lastly, mergers of large companies in regulated markets (financial services, telecommunications) and concentrated markets (ones with only a few large competitors) can require government approval . The possibility of the government blocking the merger or acquisition should be considered in this type of case.

Cost Optimization

A top-3 home improvement retailer has seen price increases from several of its vendors, squeezing its bottom line. The company wants to know how it can cut costs to restore its margins to their previous levels.

The head of an automobile manufacturer has seen its production costs rise over the last several years. She wants your help in turning around this trend.

The most important thing to understand when addressing this type of case is what is going on with fixed costs and variable costs . The costs can be broken down and compared to competitors’ costs or costs in prior years to identify opportunities for improvement.

As a reminder, here are the definitions of fixed and variable costs:

Fixed Costs

Costs that you incur just because you are in business regardless of how many units you sell. Examples: factory rent, equipment depreciation, compensation for salaried employees, and property taxes. A way to think about fixed costs is that a cost that does not change over the short-term, even if a business experiences increases or decreases in its sales volume.

Variable Costs

Costs that only incur when you begin to produce units (if you sell nothing you have no variable costs). Examples: sales commissions, credit card transaction costs, and sales taxes. A way to think about variable costs is that a cost that does change over the short-term. More sales volume will mean more variable costs.

Startup / Early-Stage Venture

Startup and early-stage venture cases have some similarities to market entry cases. 

Ensuring that the market the company is going after is big enough and has high enough margins to be attractive is important, as is understanding their competition. 

Startups are small, nimble companies with only a handful of key employees and limited access to cash. These factors need to be taken into account.

A student from Iceland studying in the U.S. has determined there’s a big opportunity to bring Icelandic-style yogurt to this market. How would you recommend he proceed?

A software company has developed video technology that can be used to quickly and easily create short videos that can be sent to a colleague in place of typing a long email. This disruptive technology will take advantage of the cameras built into cell phones and laptops as well as consumers’ preference for watching a video rather than reading text. The company has a small number of beta customers and is looking for advice on how to ramp up their product to attract a wider audience.

When answering this type of case, focus on the key things that help these small, fast-growth ventures move with agility as they search for the product and business model that will attract customers and investors. 

The Right People

They need the right people —ones with product savvy, marketing savvy and investor savvy to make it. 

A Minimum Viable Product

They need a minimum viable product . This is an initial version of their product offering that will attract paying customers, allowing them earn money and to collect feedback that can be used to improve the product. It will also serve as a proof-of-concept to investors. 

A Business Plan

Start-up and early stage venture also need an initial business plan addressing how they will bring their product to market.

Non-Profitability Cases

Some might focus on charitable organization. Others might focus on businesses issues that don’t relate directly to profits, such as employee retention or understanding the competitive dynamics in an industry. 

An overview of how to approach non-profitability cases is found on this page .

This section focuses on key concepts to address in a few common types of non-profitability cases.

Lives Affected

Government agencies and charitable organizations don’t aim to maximize profits. Nonetheless, they do important work that affects many lives. 

They might hire a consulting company to help them improve their effectiveness, or a consulting firm might take on an important project for a charitable organization on a pro-bono basis. 

The state agency that administers the free summer lunch program for children of families under a certain income threshold wants to increase the reach of its program. How would you advise they approach this? 

Malaria is a devastating disease, affecting hundreds of millions of individuals each year. It’s transferred to humans by mosquitoes, with most of the cases occurring in South Asia and Sub-Saharan Africa. Though drugs to treat the disease exist, many in the affected regions don’t have access to or can’t afford these drugs. The disease is a strain on the economies of several nations, perpetuating the cycle of poverty. What can be done to alleviate this disease and its adverse economic effects?

Key Performance Indicators (KPIs)

A detailed example of how to approach a lives affected case is provided  here .  As discussed in that case, the key to answering this type of question is to find the key performance indicator (KPI) the organization is trying to improve. In the case of the first sample question above, this is the number of free lunches served to needy children. 

Benchmarking

Once you’ve established the KPI, the case can be answered in the same way you’d answer any case question on business improvement. You can benchmark the organization’s performance by looking at trends in the KPI over time or comparing the growth of the organization’s KPI to that of other organizations serving the same target population to assess whether the agency is doing a good job meeting their mandate or falling behind. If they are falling behind, drill down into the factors that might be causing them to do so.

Cases focused on employee retention are not directly about profits, though the loss of key skills when employees depart and the cost of training new hires require hurts the profitability of organizations with high turnover. 

A fast-food chain is experiencing an increase in the already-high rate of employee turnover typical in its industry. It’s also experiencing trouble attracting qualified new employees. What would you suggest?

The school system in a middle-class suburban town is experiencing higher-than-normal rates of teacher attrition. With a tight budget, they are unable to simply raise salaries to hold onto experienced teachers. What options does the school system have for increasing teacher retention?

Conducting retention interviews —interviews with departing employees to find out why they’re leaving the organization—is a standard practice in most organizations. Because of this, there should be data available on what employees like about their jobs, don’t like about their jobs, why they looked for new opportunities and what new job they’re taking. Ask your interviewer for this information, as well as survey data on the job satisfaction of all employees. It can be used to develop a multi-pronged approach to improving employee retention.

• Look for opportunities to enhance aspects of the job that appeal to employees and change the negative aspects of working for the organization. For instance: What about the job is appealing? 
• Do employees see the work of the organization positively impacting the broader community? 
• Do employees like their colleagues, recognition they receive from management, the financial package provided? 

Industry Landscape and Competitive Dynamics

Cases focused on the landscape of an industry and its competitive dynamics are about the big-picture strategic issues that must be taken into account to compete effectively in that industry.

The traditional newspaper industry is facing heavy pressure from free online news organizations that don’t face the cost of printing a traditional newspaper and are able to leverage Internet ads as a source of revenue. The publisher of an award-winning regional paper would like your help in assessing and responding to this new threat.

The food and beverage industry faces disruption to their traditional brands as organic and small-batch products gain favor with consumers. How should companies in this industry respond to this new of competitive threat?

When analyzing this kind of case, first look for what is changing in the industry —consumer preferences, brand loyalty, barriers to entering the market, regulation, the industry’s cost structure, etc. Ensure you know what the source of change is before you begin to look for a strategy to help the client succeed in the new marketplace. 

For tips on structuring a case like these, visit the  Business Frameworks page . SWOT analysis and other frameworks include some factors to consider in this type of consulting case interview question.

Market Sizing Questions (Also Called Dinner Conversation Cases)

Market sizing cases are focused on establishing the size of a market in terms of annual revenue or the number of units sold rather than determining how to compete successfully in the market. 

Consulting firms often ask market sizing questions early in the consulting interview process or in interviews of undergraduate students who may not have a deep business background. 

They can also be one component of complicated, multi-step cases in later-round interviews. Market sizing questions focus on making logical estimates, showing creativity, and doing basic math.  

What is the size of the market for organic toothpaste in the United States?

How many golf balls would fit inside the Empire State building?

What Are Consulting Interviewers Looking for on Market Sizing Cases?

With case interview questions of this type, you’re not expected to know the answer, but instead to show a logical way of deducing it. Committing a few key facts to memory would serve you well. For example, knowing the population of the United States (or the country you live in) would give you a good place to start as you think through the size of the market for various retail goods. Gross domestic product can help with sizing industrial markets.

Key Statistics to Know for Market Sizing Case Questions:

The Population of the United States 2019 – 329 million according to the US Census Bureau .

World population in 2015 – 7.4 billion according to the United Nations DESA / Populations Division .

2018 Gross Domestic Product of the United States – $20.5 trillion according to the Bureau of Economic Analysis of the U.S. Department of Commerce .

Statistics like these give you a good foundation to start your market size analysis. For instance, you could begin estimating the size of the U.S. market for organic toothpaste with the US population. From there, make logical assumptions:

• How many times a day does the average American brushes their teeth?
• How many toothpaste applications are in the average tube of toothpaste?
• How much does the average tube of toothpaste cost?

These assumptions will allow you to calculate the size of the overall toothpaste market in terms of annual revenue. To get to the annual revenue of organic toothpaste you’ll also need to estimate:

• What portion of toothpaste consumers prefers organic toothpaste?

You can (and should) bring paper and a pen into consulting interviews. Use these to keep track of your assumptions as you work through them and to do the basic math required to come to a conclusion.

 Our Market Sizing Questions article has a list of the 7 steps to answering this type of question.

Key Things to Remember When Answering a Market Sizing Question:

• Ask clarifying questions. Does the interviewer want the market size in terms of dollars or units? For the United States, North America, the world?
• Use round numbers for simplicity. For instance, using $20 trillion for U.S. GDP rather than $20.5 would be fine.
• Creativity in your approach to approximating the market is important, but so is good sense. Don’t be so creative that your answer lacks credibility.
• Practice case math so you can do it quickly and correctly even under the stress of an interview.
• Give your answer a sniff-test at the end. Does it make sense? This will both show that you are careful in your analysis and give you the chance to fix an arithmetic mistake if you find you’re way off. 

Case Interview Math (also known as consulting math)

Management consulting interviewers screen candidates to ensure that they can do basic math. 

Don’t worry if you didn’t ace multivariate calculus, the math is usually basic arithmetic—addition, subtraction, multiplication, division and fractions/percentages. You may also be asked to extract data from charts and convert from one unit of measure to another.

As mentioned in the discussion of market-sizing case questions above, you can and should bring a paper and pen into the interview. It’s fine to write out your calculations.

Consulting Math Example

In each step, we’ll provide a sense of how we are making the estimate so that the interviewer knows we’re not just grabbing a number out of the air. We want our answer to be as grounded in fact as possible. 

The population of the United States: 329 million. We’ll round to 330 million for simplicity.

The number of times the average American brushes their teeth – 2 times per day. Some people brush at lunchtime too, but that’s probably offset by people who only brush once a day.

330 million people brushing 2x’s per day gives us 660 million toothpaste applications/day.

To get to an annual number of toothpaste applications, we need to multiply by 365. That’s 241 billion toothpaste applications. We’ll round to 240 billion for simplicity.

A tube of toothpaste usually lasts me about 2 months. That means we need to divide by 120 toothpaste applications per tube to come up with the number of tubes sold annually (2 months x 30 days/month x 2 applications/day). 240 billion toothpaste applications / 120 applications per tube = 2 billion tubes of toothpaste sold in the U.S. every year.

The cost of toothpaste ranges from $1 for inexpensive brands to $4 for expensive brands, but the average cost is probably about $2. This means the total revenue for toothpaste sold in the U.S. is 2 billion tubes x $2 or $4 billion.

The percent of the toothpaste market that’s organic is a little tricky to estimate. In the grocery store I shop in, there’s 1 aisle of organic goods in a store that has 20 aisles – that means organic products make up 5% of shelf space (and presumably also of sales). 

I think that people would be less likely to buy organic toothpaste than organic food, because you eat organic food, but you spit organic toothpaste out into the sink. Organic products always cost more and organic toothpaste doesn’t seem quite as important to your health. 

Conclusion: Based on that, I’ll say that 1% of the market for toothpaste is organic, so if $4 billion in toothpaste is sold in the U.S. every year, $40 million of it is organic toothpaste.

Is our answer right? 

Probably not exactly. There are different sizes of toothpaste tubes, a complication that we did not consider in this analysis. There might be some people who don’t brush their teeth every day. That would mean that we overestimated consumption. 

But our estimate of the market size for organic toothpaste is reasonable and grounded in logical assumptions. We could sniff-test our answer by comparing it to a market size we know, or to GDP, one of the facts we suggested having in your back pocket for market sizing case questions. 

U.S. GDP was about $20 trillion in 2018. Our estimations suggest that the overall toothpaste market is $4 billion. That means toothpaste is 1/5,000 of the U.S. economy, and the market for organic toothpaste is 1% of that. 

That sounds plausible. If your answer showed that the market for organic toothpaste was larger than U.S. GDP, it would be a clear indication that you made a mistake somewhere along the way.

For the 4 types of math problems you’ll be asked to compute as part of case studies, read Case Interview Math.

Above, we’ve provided you with 11 different types of case interview questions you might be asked during your consulting interviews. We’ve also told you that you need to get great at doing case math. 

Overwhelming? It can be.

But it doesn’t have to be.

The best way to prepare for your consulting case interviews is NOT to spend hundreds of hours reading every case study question and answer you can get your hands on. Instead, see our page on Case Interview Practice  to find out how to make the most of your interview prep time. In addition, check out this video where Davis Nguyen, Founder of My Consulting Offer, talks about how mastering the case interview is made easier when you focus on the most common types of cases. 

Here in an online workshop he conducted for  Columbia University, NYU, and Cornell students, you can see why this approach is so effective:

After studying the information on this page, you have an in-depth understanding of the types of cases you could be asked to analyze in consulting interviews. From Davis’s video, you know why this is so important to focus on the main types of cases. You’re well prepared to find a case study practice partner and begin practicing.

As you prepare for case interviews, you should use this page in conjunction with  Case Interview Examples , where you’ll find links to sample case study questions and their answers. Remember that while it is important to discuss all the appropriate aspects of a business case, it’s important to structure your analysis and your answer. Refer back to our page on  Case Interview Frameworks   to ensure that you’re not just practicing more cases, but doing them better.

If you still have questions, leave them in the comments below. We’ll ask our My Consulting Offer coaches and get back to you with answers.

• Market Sizing Questions
• Cost Reduction Case Interview
• Case Interview Workshop Video
• Written Case Interviews
• Market Sizing Cases
• M&A Case Study
• Revenue Growth Case Interview
• Pricing Case Interview
• Financial Services Cases
• The Healthcare Consulting Case Interview
• Supply Chain Cases
• The Social Impact Case Interview
• Case Interview Formulas

Thanks for turning to My Consulting Offer for advice on case study interview prep. My Consulting Offer has helped almost 89.6% of the people we’ve worked with get a job in management consulting.  For example, here is how Thomas was able to get a BCG offer with just a short time to prepare..

Leave a Comment Cancel reply

Save my name, email, and website in this browser for the next time I comment.

© My CONSULTING Offer

3 Top Strategies to Master the Case Interview in Under a Week

We are sharing our powerful strategies to pass the case interview even if you have no business background, zero casing experience, or only have a week to prepare.​

No thanks, I don't want free strategies to get into consulting.

We are excited to invite you to the online event., where should we send you the calendar invite and login information.

Case Interview Preparation

Perform at your best during your case interview., bcgers share their case study interview tips., follow these dos and don ’ ts to ace your case prep:, test your case interview skills with these interactive quizzes., set out a climate strategy for a client., restore client satisfaction at a digital bank., test your it strategy and architecture skills..

Market Entry Framework: How to Apply in Case Interviews

The market entry framework is a tool to assess whether a company should enter a particular market or introduce new products in existing markets by assessing growth opportunities, capabilities, and challenges. In case interviews , these frameworks are useful templates for market entry cases.

In this article, I will explain how you can apply market entry frameworks in market entry cases using a four-step guide and case examples. Let’s get started!

Table of Contents

Market entry cases in case interview

A market entry is a type of case interview that asks candidates to evaluate and decide whether a client company should enter a particular market. The market entry case is one of the most common types of cases in consulting interviews since, in practice, consultants frequently deal with this type of cases 

Among MBB (Big 3) firms , market entry cases are more common at BCG and Bain than McKinsey.

Our Case Interview End-to-End Secrets Program assembled everything you need to know about consulting case interviews and how to pass them, so that’s the best place to go if you have general questions.

Types of market entry cases

There are three commonly encountered market entry cases: New geographic market case, New product category case, and New customer segment case. 

However, you also need to be aware that there are countless types of market entry cases and you can face any type of case in your case interview. Each case you receive has certain differences and comes with a different breakdown and solution.

Type 1: New geographic market case

Geographic market entry cases ask candidates to assess whether the business should expand to a new geographical market , for example, if Amazon Go should enter the UK or if Mercy Meats should enter South America.

Type 2: New product category case

On the other hand, product expansion cases ask candidates to assess whether the business should launch new business lines into their existing market , for example, if Disney should launch their own streaming service, or if Walmart should start selling meal kits from its service partners.

Type 3: New customer segment case

Lastly, targeting different customer segment cases ask candidates to assess whether the company ought to consider offering a version of an existing product to a new customer segment , for example, if KFC should serve premium fried chicken for the wealthy or if Gucci should target working class people. 

Examples of market entry cases

A French soft drink company, Le Seine, is looking to diversify its holdings by investing in a new fast food chain in the US. You are hired to determine whether they should pursue this path and, if so, how they should go about execution (HBS Case Interview Guide).

The client is a grocery store chain considering whether they should enter the emerging Internet-based grocery shopping/delivery market in the Boston area. This regional chain is currently one of the leaders in northern New England's traditional grocery store market.

In their core market, two competitors have emerged in the Internet/at-home grocery shopping business and are rapidly gaining market share. Should the client enter the market?

Apple, a technology company renowned for its premium smartphones and computers, has predominantly focused on individual consumers and creative professionals. Apple is now contemplating the prospect of expanding its market by targeting the corporate sector. Should Apple venture into the corporate market? If so, how should they do it?

Case interview frameworks – Definition & characteristics

Understanding what a framework is, the characteristics of good frameworks, and how to apply them in case interviews is essential to sounding structured and methodical – two main consulting traits interviewers look for.

What is a case interview framework? 

The most important thing to remember when using frameworks to solve a problem is to be FLEXIBLE. Consulting problems are complex and usually, there are no clear-cut, ready-to-use frameworks to solve them. The interviewer looks for context-relevant frameworks, not complicated but inappropriate ones.

Hence, the more you master the “building-blocks” frameworks, the better you can draw specific frameworks suitable to each context. Learn more about frameworks here .

Characteristics of a good framework

When building a framework, you should keep these three priorities in mind:

A good framework is top-down: The problem must be broken down from the generic to the specific, with each hypothesis staying on one level of the issue tree .

A good framework is MECE: MECE is extremely important in problem-solving because it ensures complete coverage of the problem while preventing effort duplications.

A good framework is geared toward isolating the root cause: To isolate the root cause, your framework must strictly follow the problem-solving methodology .

The MConsultingPrep market entry framework

In a market entry case interview , you are expected to evaluate an expansion opportunity (entry into new markets, new segments or new product lines in existing markets), decide whether the client company should pursue it , and, if yes, suggest an entry strategy . The underlying principle of the market entry framework is based on this process.

A market entry framework answers three questions, in order: “Should I enter?”, “Can I enter?”, “How to enter?” .

These ordered questions make up the  three steps of a market entry framework: Assessment, Feasibility, and Implementation.

Step 1: Assessment – Should I enter?

The first step is to justify WHY the company should pursue a particular expansion opportunity. To answer “Should I enter?”, you have to make two assessments – market assessment and company assessment . 

Company assessment will reveal the company’s internal motivations to expand, whereas market assessment shows the external motivations driving expansion decisions.

Company assessment

The first step after receiving a case is to ask for more information about your client company. Use that data to understand if there are internal motivations driving expansion decisions.

For example, let’s say you asked about revenue and were informed of a declining trend. You know this is a market entry case, so you might hypothesize that the client company’s revenue is declining because their product is at the mature stage of the product life cycle.

If the hypothesis is confirmed, this implies an internal motivation for the company’s expansion to other markets to capture new market shares or introduce new products to capture more revenues from their early life cycles.

Market assessment

The next step is to inquire into the market of interest to pinpoint the external motivations that can justify the need to expand. What is attractive about this market? Is it the market size, or the potential market demand? 

If information about the market size is available in the case, this implies that you need to first estimate it .

Sometimes, markets are attractive because of their location advantage , which can save transport costs or enable the client company to obtain cheap inputs . 

The open trade environment of a market might also help firms jump trade barriers. Finally, political stability is also attractive for minimizing risks and conducting business sustainably in the long run.

Other information to ask for:

What is the current product portfolio? What is the life cycle of each product? How closely related are the current products?

Who are the customers? How are they segmented?

What are the company’s key strengths and weaknesses?

What are the current distribution channels?

Who are the key suppliers and partners?

Regardless, the most important information to ask for are:

What geographical area will I serve, and how much demand will there be in the market?

What is the market’s growth rate? What are the current trends in the industry?

At what stage of the life cycle is it? Emerging, Mature, Declining?

Who are the existing competitors in the market?

Are there substitute products or potential entrants?

Are there any location-specific advantages that can save transport/ input costs?

Are there any macroeconomic, social, or geopolitical factors to consider?

Is there a key technology involved? How fast are technologies changing in the industry?

After gathering information about the company and market opportunities, do your cost-benefit analysis. By then, you can decide if the company SHOULD enter a new market or not. 

If you decide that the company should not enter , you no longer need to answer the other two questions. If you decide that it should enter , move on with the next step. 

Part 2: Feasibility – Can I enter?

Remember, only move on with this step if you’ve decided that the estimated benefit of this market entry outweighs the estimated cost. 

At this point, you need to assess the FEASIBILITY of entering a new market – does the client company have the financial capacities and capabilities to adapt to and profit from the new market?

Financial feasibility

Figure out whether the client company’s financial situation can cover investment costs . To do this, you first need to estimate the amount of investment required.

You can follow these questions, in order:

What investments are required for this market entry? (R&D, warehouse rent, factory rent, marketing, distribution, etc)

What is the current financial situation of the company?

Can the company fund these investments itself or can it raise the required capital?

Capability feasibility

The company’s capabilities help it secure market share by differentiating it from other competitors in the market. 

Examples of capabilities are firm-specific competitive advantages such as patented technologies, efficient logistics & production capacities, local knowledge, a low-cost structure, etc.

Important information to ask for:

Does the company have efficient distribution channels/ logistics?

Does the company have efficient production capacities?

Does the company have a patented technology/design that makes room for no substitution of its products?

Can the company obtain the capabilities it currently lacks?

Step 3: Implementation – How to enter?

This step will be applied if it’s feasible for the client to enter this new market and you must next suggest an entry strategy or an implementation plan. This plan must be specific in terms of timeline, modes of expansion, and execution details.

However, there are some market entry scenarios where the project may just require the first two components, which entails responding to the customer's inquiry regarding whether or not they should enter the market they desire. 

Propose a timeframe

Propose a time frame for your expansion strategy. When is the right time for the client company to enter the market? Is there a first-mover advantage at present? 

Don’t forget to refer back to the above information about the company’s situation and market opportunities to support your decision.

Propose a method of expansion

Regarding modes of expansion, there are three common strategies:

Partnership: Partnership entry modes are those wherein two (bilateral partnership) or more (network partnership) firms co-join their finance, skills, information and/or other resources to minimize risks. These are joint ventures , licensing , or joint distribution networks .

Organic: Organic entry modes involve those that increase the company’s sales using only internal resources. In other words, they are trade-based entry modes, such as exporting.

Mergers and Acquisitions (M&A): M&A generally occurs when one company directly purchases another company. Together, they form a new legal entity under one mother corporation.

Again, evaluate the information about the company and carefully compare that with the risks of each entry mode to decide on a suitable one. For example, if the client company has a patented technology, choosing a partnership entry mode runs the risk of technological theft.

You should also consider the commitment factor – how much control does the company want over the new market, and how much investment is it willing to make? 

With a simple strategy like exporting, you can exit easily but have less control. Meanwhile, with a wholly-owned subsidiary, investment costs are high but you also have more control.

Finalize your execution plan

The final step is to specify your execution plan, containing the key objectives to be implemented. The plan will also need to specify what tasks to be completed, who is in charge of each task, and how they should be carried out. 

The final plan will be the final deliverable to the client. The client can then choose to implement it themselves or sign another implementation contract.

The market entry framework – Sample case

Now, let’s apply the framework to a sample case so you can see the flow.

Situation: 

Your client company is Mercy Meats, an international plant-based meat producer in the US. The main ingredients in their products are soy protein and heme – a genetically modified ingredient extracted from soy roots that makes their products look and taste identical to animal meat.

Mercy Meats is considering an expansion in South American countries, Brazil in particular, after major successes in the US, Hong Kong, and Canada. Our client would like your help in deciding whether or not to pursue this growth opportunity, and if so, what their entry strategy should be.

We’ll begin by assessing the company – Mercy Meats, and Brazil’s market, to make an entry decision.

Company Assessment

For company assessment, we want to find out if there are any internal motivations specific to Mercy Meats regarding this entry decision. We are told that the only motivation is to satisfy its stakeholders’ expectations, profitability-wise and mission-wise.

Profitability-wise, shareholders want to scale up production to capitalize on economies of scale, thereby maximizing profits.

Mission-wise, the CEO and investors want to reduce the environmental footprint of the factory farming industry, by competing with conventional meat producers and making more consumers cut back on animal meat consumption.

Market Assessment

For market assessment, we will look at external motivations that Mercy Meats seek to justify its entry decision – attractive characteristics of Brazil’s alternative protein market.

What is the market’s size, growth rate, trends, and industry life cycle?

First, we’ll want to know the life cycle of plant-based meat, its market size in Brazil, the market’s growth rate, and trends. The plant-based industry is in its growth stage, with an annual average compound growth rate of 8% globally and 20% in Brazil’s market.

Meanwhile, we’re told that Brazil’s plant protein market size is predicted to reach $30.2 billion by 2023. This is mainly attributable to a strong shift in attitude towards vegetarianism among young Brazilian consumers. With a strong growth rate driven by positive attitude shifts, this market is an attractive place to be.

Who are the customers? What are their needs and preferences?

We can broadly construct a portfolio of our customers: people who are health-conscious, high-income, concerned about animal welfare, would buy plant-based protein as a substitution for animal protein, and enjoy similar tastes of real meat.

The interviewer might also inform us that our customers could be swayed by lab-grown meat for its real taste and “real meat” brand, although this technology is yet to be marketable due to its high price and environmental concerns.

The competitors of Mercy Meats will consist of any businesses meeting the same customer demand mentioned above. We’re told that direct competitors in the market are local plant-based brands, however, the tough competition will be posed by conventional meat players (such as Marfrig or JBS), who are starting to develop their own plant-based products.

Here, we should talk about events that can broadly affect our entry strategy. For example, we might point out that complex bureaucracy and lack of transparency are the two biggest barriers to doing business in Brazil.

As a response, the interviewer might say that Brazilian governments are committed to reducing bureaucracy by simplifying their tax structure and investing in public services digitalization (such as digitized tax fillings). This is a positive improvement, making Brazil a more attractive place to do business. You can raise other concerning issues in a similar manner if needed.

To summarize, we have sufficient reasons to decide that Mercy Meats should enter Brazil . Brazil’s plant-based protein market is overall attractive, with a strong predicted growth rate and, as a leading soy producer, can create a cost-saving advantage for the company.

The biggest concern so far is competition from well-established meat players, and lab-grown meat competitors in the near future. 

Step 2: Feasibility – Can I enter?

Now that we’ve decided that entering Brazil is beneficial for Mercy Meats, we need to see whether the client company is equipped with what’s required to do so, capability-wise and finance-wise.

First, we need to understand whether Mercy Meats has the capabilities (competitive advantages), to sustainably compete in the new market. 

In the US, Canada, and Singapore, Mercy Meats have very efficient logistical channels, with low warehouse capacity, minimal shipping time, low inventory turnover rate, and a high number of orders relative to all of its major competitors. The company definitely has the required capability to replicate another efficient logistical channel in Brazil.

Can the company produce premium quality products at a lower cost than its competitors?

Mercy Meats products, Mercy Burger, Mercy Sausage, and Mercy Pork, are much more expensive compared to animal meat products in Brazil. For example, one Impossible Burger pack weighing 1.4kg is currently priced at around $30, nearly 4 times higher than the same amount of beef (around $8 per 1.4kg) in Brazil. 

However, Brazil is the leading exporter of soybean in quantity due to its low price and premium quality. Hence, if the company can take advantage of the low soybean input in Brazil and can scale up its production, a more reasonable product pricing can be achieved. 

Does the company have a patented technology/design that distinguishes it from other competitors?

Mercy Meats owns a patented technology over its heme ingredient, a soy root-extracted ingredient that makes its products taste and look almost identical to animal meat. In fact, Burger Queen, a major fast food chain, chose to partner with Mercy Meats in the US because its products taste much more like real meat than that of Beyond Meat, Mercy Meats’ biggest competitor in the plant-based industry. 

What is the current financial situation of the company? Can the company fund the investments itself or can it raise the required capital?

Next, we will look at how much investment is required and whether the company can financially cover it. The total investment cost is estimated at $80 million, while the expected return is over $180 million in 2 years. 

Finance-wise, the company is doing really well, with average yearly revenue of $151 million. Mercy Meats also attracted many investors in the past, with $1.4 billion in total funding, of which $200 million was acquired in 2020. These figures exhibit investor confidence in the company, which implies a high chance of getting more funding in the near future.

After analyzing the facts and evidence, we can conclude that Mercy Meats clearly has the finance and capability to enter Brazil . Hence, we proceed with the decision to advise the client to say “Yes” to the entry decision.

The final step is to formulate an entry strategy, which includes deciding the implementation timeline, choosing the methods of expansion, and drafting an execution plan. We will examine each aspect, in the above order.

When is the best time to enter Brazil’s market?

The best time to enter Brazil is right now. We’ve observed that our major competitors, such as Marfrig, have started developing their own lines of plant-based meat. These competitors have better local knowledge than our client company and an already widely-recognized brand name in Brazil. Mercy Meats needs to move fast if it wants to secure a fair share of the plant-based meat market. 

Which method of expansion is the most suitable?

To effectively gauge demand, Mercy Meats should consider expanding under trade-based modes, exporting in particular, and growing organically first. After that, it is recommended that Mercy Meats establish its own subsidiary, to have better control of two aspects: technology and market. 

First, partnership modes are risky due to the potential of technological theft, subsidiaries or M&A modes can eliminate this risk, although they require more investment. Second, establishing a production subsidiary will enable the company to exert more control over the target market, by quickly adjusting production to customers’ needs and reducing logistic costs to be more cost-competitive . 

What is the execution plan?

Finally, we need to develop an execution plan.

What: The breakdown of tasks in the overall implementation plan, for example, establishing partnerships for exporting, marketing the product, setting up the factory, etc.

Who: Who will be in charge of the aforementioned tasks? What are their deliverables?

How: What are the targets for each task, what are the expected quality standards that align with the key objectives?

Market entry case: examples & guidelines 

Case 1: medicare plus.

Our client, MediCare Plus, is considering opening a new medical clinic in the affluent Riverside neighborhood of Los Angeles. Riverside is known for its high-income residents, including individuals from various socio-economic segments. 

The client aims to diversify their healthcare services and tap into the lucrative Riverside market that aligns with their expertise. They seek your guidance on whether to proceed with this investment.

Should MediCare Plus open a new medical clinic in Riverside, Los Angeles?

Step 1: Assessment - Should I Enter?

Current Capability: Can MediCare Plus handle this expansion given its current resources and expertise?

Strategic Alignment: Does this expansion align with MediCare Plus' long-term goals?

Market Size: How big is the Riverside healthcare market?

Market Growth: Is the Riverside healthcare market expected to grow?

Competitors: Who are the competitors in Riverside's healthcare market?

Step 2: Feasibility - Can I Enter?

Financial Feasibility

Initial Investment: What's the cost to set up the new clinic?

Operating Costs: What are the ongoing expenses, including salaries, maintenance, and utilities?

Revenue Projection: How much revenue can we expect from different patient segments and specialties?

Capability Assessment

• Facilities: Can MediCare Plus handle clinic setup and management in Riverside?
• Financing: How can we finance this expansion?
• Doctor and Patient Attraction: Can we attract top doctors and patients to Riverside?

Step 3: Implementation - How I Enter?

Key Milestones: What are the critical milestones and deadlines for the expansion?

Responsibility: Who is responsible for each task?

Tasks: What specific activities are needed for a successful launch?

Methods: How will we execute each task effectively?

Approaches: What strategies and methods will we use for marketing, patient acquisition, and operations?

Case 2: TechGizmo Inc .

Our client, TechGizmo Inc., is a leading manufacturer of smartphones and consumer electronics. They have been experiencing steady growth, with revenues of $500 million last year and a healthy profit margin of 15%. However, they are concerned about the cyclical nature of the consumer electronics industry, which can lead to fluctuations in their business.

The CEO is considering entering the market for smart home devices. They want your opinion on whether this would be a good strategic move for TechGizmo Inc.?

Current Capability: Can TechGizmo handle this expansion with its existing resources and expertise?

Strategic Alignment: Does this expansion align with TechGizmo's long-term goals and expertise in consumer electronics?

Market Size: How big is the smart home devices market in Westwood?

Market Growth: Is the smart home devices market in Westwood expected to grow?

Competitors: Who are the competitors in Westwood's smart home devices market?

Initial Investment: What's the cost to develop and launch the new line of smart home devices?

Operating Costs: What are the ongoing expenses, including production, marketing, and distribution?

Revenue Projection: How much revenue can we expect from different customer segments and product lines?

Product Development: Can TechGizmo efficiently develop and manufacture smart home devices?

Financing: What are the financing options available for this expansion?

Customer and Retailer Attraction: Can TechGizmo attract both customers and retailers to sell their smart home devices in Westwood?

Step 3: Implementation

Key Milestones: What are the critical milestones and deadlines for launching the new line of smart home devices?

Responsibility: Who is responsible for each task, from product development to marketing?

Tasks: What specific activities are needed for a successful product launch?

Methods: How will we execute each task effectively, from marketing strategies to distribution?

Approaches: What marketing strategies and distribution methods will we use to promote and sell our smart home devices in Westwood?

What do you think about the market entry framework sample presented above? It’s super detailed, isn’t it? Even so, it’s just theory. 

The only way to master the market entry framework is to practice. You need to learn and understand the fundamentals of market entry cases.

And it would be best if you had any consulting experts review your performance. Reach out to our ex-consultants , who can give you concrete feedback on your answer to a specific market entry framework case. 

Meet your coach today to start sharpening your skills! They’ll help you determine your weak areas and suggest effective improvement methods. 

Scoring in the McKinsey PSG/Digital Assessment

The scoring mechanism in the McKinsey Digital Assessment

Related product

Case Interview End-to-End Secrets Program

Elevate your case interview skills with a well-rounded preparation package

A case interview is where candidates is asked to solve a business problem. They are used by consulting firms to evaluate problem-solving skill & soft skills

Case interview frameworks are methods for addressing and solving business cases.  A framework can be extensively customized or off-the-shelf for specific cases.

Thank you for your review!

Free interview prep material in your inbox

WHAT'S INCLUDED?

What’s included?

28 emails packed with tips. 8 full cases with solutions (incl. FlashFash). Plus sample case and fit interview videos.

The framework for nailing revenue growth case questions

You’ve just been given a case question on growing an existing business. It’s up to you to organize your ideas into a structure that’s going to set you up for success.

The chances of being faced with this scenario in a case interview are high. In our 2023 analysis of case study interview questions at McKinsey, BCG and Bain , revenue growth was the second-most frequently cited topic, accounting for 15% of the case questions reported.

Here’s a framework we’ve developed to help you tackle case questions on revenue growth with clarity and confidence.

The two main ways to grow a business

The revenue growth framework is based on the principle that there are two main ways to grow a company’s revenue:

• Growing its core business
• Growing outside of its core business

To grow the core business , you could:

• grow across your current market segments
• and/or invest in the fastest-growing segments in the market

To grow across your current market segments you might look at how you could acquire or retain customers and increase how much they spend.

To invest in the fastest-growing market segments, you could look at the geographies, types of customers or product lines that are likely to experience the fastest growth.

To grow the business outside of its core offering , you could:

• sell new products to your current clients
• and/or leverage your capabilities to get into new business areas

To sell a new product to your current clients, you might look at introducing products that are similar or related to your existing products. These are options that will seem like a natural extension of your current offering. Your client might purchase these new products or services either when they buy your existing products or at a later stage.

To use your capabilities to get into new businesses, you would look at the assets that give your company a competitive advantage. These might include its brand, know-how, distribution network, or production facilities. You would then look at products and services that could make the best use of these assets.

To use this revenue growth framework in a case interview, draw two branches or ‘buckets’ to represent the main ways to grow a business. Then unpack the next level of detail in each subsequent branch, as shown in the example below.

The revenue growth case framework in practice

When you put this framework to use in a case interview, it’s vital that your segmentation and ideas are relevant to the client and their industry. You shouldn’t simply regurgitate the same structure for each case.

Imagine you’re a car maker with a strong presence in the SUV market. If you were to grow within that market, you might consider making better cars, improving your marketing, or offering competitive prices.

If you were to think about positioning your brand to maximize long-term growth you might invest in electric vehicles, a new low-cost line of cars, or possibly in the Asian market.

If you were to grow outside of your core business, you could sell new products – such as insurance and maintenance plans – or consider leasing to your current clients.

Alternatively, you could use your capabilities to get into new business areas, such as trucks, buses or motorbikes.

Remember that when you answer a case question on revenue growth, it’s important to identify the most relevant drivers for the situation you’ve been asked to consider. For instance, it wouldn’t make much sense for a startup that’s trying to establish itself in its core market to even consider growing outside of it. What would make sense will depend on a number of factors, such as time horizon, market maturity, and the position of the company in its market.

In any case, the revenue growth framework is an excellent starting point and a strong foundation from which to drive the rest of the case. You can learn more about how to use the framework – along with nine others that will help you answer the most common case interview questions – in the Case Interview Prep Course, included in our Consulting Interview Prep Toolkit .

Designed to teach you how to tackle each dimension of the case and fit interviews, the Toolkit contains all the online courses, sample interviews, case material, and practice tools you’ll need to ace any case interview. This includes access to our Case Library of over 100 cases, which span a range of sectors, functions and question types, including revenue growth.

Continue to learn

Explore other resources

• Applications
• Interview tips

Search resources

We are using cookies to give you the best experience on our website. By clicking "Accept all", you consent to our use of cookies. You can read our Privacy Information to learn more about how we use cookies.

Thank you for visiting nature.com. You are using a browser version with limited support for CSS. To obtain the best experience, we recommend you use a more up to date browser (or turn off compatibility mode in Internet Explorer). In the meantime, to ensure continued support, we are displaying the site without styles and JavaScript.

• View all journals
• Explore content
• About the journal
• Publish with us
• Sign up for alerts
• Published: 27 September 2024

Valuing energy flexibility from water systems

• Akshay K. Rao   ORCID: orcid.org/0000-0002-9054-476X 1 ,
• Jose Bolorinos 1 ,
• Erin Musabandesu   ORCID: orcid.org/0000-0001-8381-4656 1 ,
• Fletcher T. Chapin   ORCID: orcid.org/0000-0002-2165-7963 1 &
• Meagan S. Mauter   ORCID: orcid.org/0000-0002-4932-890X 1 , 2 , 3 , 4 , 5  

Nature Water ( 2024 ) Cite this article

Metrics details

• Civil engineering
• Energy modelling
• Energy storage
• Water resources

Water systems represent an untapped source of electric power load flexibility, but determining the value of this flexibility requires quantitative comparisons to other grid-scale energy storage technologies and a compelling economic case for water system operators. Here we present a unified framework for representing water asset flexibility using grid-scale energy storage metrics (round-trip efficiency, energy capacity and power capacity) and assessing the technoeconomic benefits of energy flexibility at the water facility scale (levelized cost of water and levelized value of flexibility). We apply this framework to case studies of an advanced water treatment (desalination) plant, a water distribution network and a wastewater treatment plant. The framework reveals strengths and limitations of water system flexibility relative to other grid-scale energy storage solutions, high-value opportunities for flexible load operation of water assets and the critical role of electricity tariff structures and energy service markets in determining water sector participation in load flexibility. Ultimately, this unified framework for valuating water asset flexibility enables both electricity and water asset managers to prioritize investments based on levelized cost comparisons across their respective portfolios.

This is a preview of subscription content, access via your institution

Access options

Subscribe to this journal

Receive 12 digital issues and online access to articles

111,21 € per year

only 9,27 € per issue

Buy this article

• Purchase on SpringerLink
• Instant access to full article PDF

Prices may be subject to local taxes which are calculated during checkout

Data availability

Data are publicly available via GitHub at https://github.com/we3lab/valuing-flexibility-from-water .

Code availability

Code for all figures with data is publicly available via GitHub at https://github.com/we3lab/valuing-flexibility-from-water . Additionally, we provide an interactive code notebook with download instructions to provide more in-depth visualizations for specific cases.

Jenkins, J. D., Luke, M. & Thernstrom, S. Getting to zero carbon emissions in the electric power sector. Joule 2 , 2498–2510 (2018).

Article   Google Scholar  

de Sisternes, F. J., Jenkins, J. D. & Botterud, A. The value of energy storage in decarbonizing the electricity sector. Appl. Energy 175 , 368–379 (2016).

Frew, B. A., Becker, S., Dvorak, M. J., Andresen, G. B. & Jacobson, M. Z. Flexibility mechanisms and pathways to a highly renewable US electricity future. Energy 101 , 65–78 (2016).

Kittner, N., Schmidt, O., Staffell, I. & Kammen, D. M. in Technological Learning in the Transition to a Low-Carbon Energy System (eds Junginger, M. & Louwen, A.) 119–143 (Academic Press, 2020).

US Department of Energy (DOE). Energy Storage Grand Challenge Roadmap 2020 (2020).

Schmidt, O., Melchior, S., Hawkes, A. & Staffell, I. Projecting the future levelized cost of electricity storage technologies. Joule 3 , 81–100 (2019).

Nandanoori, S. P., Chakraborty, I., Ramachandran, T. & Kundu, S. Identification and validation of virtual battery model for heterogeneous devices. In 2019 IEEE Power & Energy Society General Meeting (PESGM) 1–5 (IEEE, 2010); https://doi.org/10.1109/PESGM40551.2019.8973978

Beil, I., Hiskens, I. A. & Backhaus, S. Round-trip efficiency of fast demand response in a large commercial air conditioner. Energy Build. 97 , 47–55 (2015).

Liu, C. et al. Demand side flexibility resources in buildings: characterization and quantification. In 2023 8th Asia Conference on Power and Electrical Engineering (ACPEE) 1130–1134 (IEEE, 2023); https://doi.org/10.1109/ACPEE56931.2023.10135663

Wu, D., Hao, H., Fu, T. & Kalsi, K. Regional assessment of virtual battery potential from building loads. In 2018 IEEE/PES Transmission and Distribution Conference and Exposition (T&D) 1–5 (IEEE, 2018); https://doi.org/10.1109/TDC.2018.8440225

der Jagt, S., van, Patankar, N. & Jenkins, J. D. Understanding the role and design space of demand sinks in low-carbon power systems. Energy Clim. Change 5 , 100132 (2024).

Bolorinos, J., Mauter, M. S. & Rajagopal, R. Integrated energy flexibility management at wastewater treatment facilities. Environ. Sci. Technol. 57 , 18362–18371 (2023).

Article   PubMed   CAS   Google Scholar  

Sowby, R. B. & Hopkins, E. G. Energy management in the water sector: a policy statement review. Water Environ. Res. 95 , e10972 (2023).

Gao, X., Knueven, B., Siirola, J. D., Miller, D. C. & Dowling, A. W. Multiscale simulation of integrated energy system and electricity market interactions. Appl. Energy 316 , 119017 (2022).

Rupiper, A. M., Good, R., Miller, G. J. & Loge, F. Mitigating renewables curtailment and carbon emissions in California through water sector demand flexibility. J. Clean. Prod. 437 , 140373 (2024).

Article   CAS   Google Scholar  

Zohrabian, A., Plata, S. L., Kim, D. M., Childress, A. E. & Sanders, K. T. Leveraging the water–energy nexus to derive benefits for the electric grid through demand-side management in the water supply and wastewater sectors. WIREs Water 8 , e1510 (2021).

Kenway, S. J. et al. Defining water-related energy for global comparison, clearer communication, and sharper policy. J. Clean. Prod. 236 , 117502 (2019).

Tidwell, V. C., Moreland, B. & Zemlick, K. Geographic footprint of electricity use for water services in the western U.S. Environ. Sci. Technol. 48 , 8897–8904 (2014).

International Financial Institutions (IFI). Default Energy Intensity Factors for Water Supply Systems (2020).

Quon, H. & Jiang, S. Decision making for implementing non-traditional water sources: a review of challenges and potential solutions. npj Clean Water 6 , 1–14 (2023).

Quon, H. et al. Pipe parity analysis of seawater desalination in the United States: exploring costs, energy, and reliability via case studies and scenarios of emerging technology. ACS EST Eng. 2 , 434–445 (2022).

Xu, X. et al. Analysis of brackish water desalination for municipal uses: case studies on challenges and opportunities. ACS EST Eng. 2 , 306–322 (2022).

Daniel, I. et al. A survey of water utilities’ digital transformation: drivers, impacts, and enabling technologies. npj Clean Water 6 , 51 (2023).

Atia, A. A. & Fthenakis, V. Active-salinity-control reverse osmosis desalination as a flexible load resource. Desalination 468 , 114062 (2019).

Amaral Lopes, R. et al. Characterisation and use of energy flexibility in water pumping and storage systems. Appl. Energy 277 , 115587 (2020).

Salomons, E., Housh, M., Katz, D. & Sela, L. Water–energy nexus in a desalination-based water sector: the impact of electricity load shedding programs. npj Clean Water 6 , 1–9 (2023).

Rao, A., Atia, A., Bartholomew, T. & Mauter, M. Optimizing seawater desalination: trade-offs in costs and emissions through flexibility. In International Water Conference Proceedings by the Engineer's Society of Western Pennsylvania Vol. 23, Ch. 19 (2023).

Oikonomou, K. & Parvania, M. Optimal coordination of water distribution energy flexibility with power systems operation. IEEE Trans. Smart Grid 10 , 1101–1110 (2019).

Liu, Y., Barrows, C., Macknick, J. & Mauter, M. Optimization framework to assess the demand response capacity of a water distribution system. J. Water Resour. Plann. Manage. 146 , 04020063 (2020).

Menke, R., Abraham, E., Parpas, P. & Stoianov, I. Extending the envelope of demand response provision though variable speed pumps. Procedia Eng. 186 , 584–591 (2017).

Hashemi, S. S., Tabesh, M. & Ataeekia, B. Ant-colony optimization of pumping schedule to minimize the energy cost using variable-speed pumps in water distribution networks. Urban Water J. 11 , 335–347 (2014).

Basupi, I., Kapelan, Z. & Butler, D. Reducing life-cycle carbon footprint in the (re)design of water distribution systems using water demand management interventions. Urban Water J. 11 , 91–107 (2014).

Oikonomou, K., Parvania, M. & Burian, S. Integrating water distribution energy flexibility in power systems operation. In 2017 IEEE Power & Energy Society General Meeting 1–5 (IEEE, 2017); https://doi.org/10.1109/PESGM.2017.8274374

Zairi, M., Aydi, A. & Dhia, H. B. Leachate generation and biogas energy recovery in the Jebel Chakir municipal solid waste landfill, Tunisia. J. Mater. Cycles Waste Manage. 16 , 141–150 (2014).

Musabandesu, E. & Loge, F. Load shifting at wastewater treatment plants: a case study for participating as an energy demand resource. J. Cleaner Prod. 282 , 124454 (2021).

Chapin, F. T., Bolorinos, J. & Mauter, M. S. Electricity and natural gas tariffs at United States wastewater treatment plants. Sci. Data 11 , 113 (2024).

Article   PubMed   PubMed Central   Google Scholar  

Gerke, B. et al. The California Demand Response Potential Study, Phase 3: Final Report on the Shift Resource Through 2030 (LBNL, 2020); https://doi.org/10.20357/B7MS40

Sowby, R. B. Increasing water and wastewater utility participation in demand response programs. Energy Nexus 1 , 100001 (2021).

Liu, Y. & Mauter, M. S. Assessing the demand response capacity of U.S. drinking water treatment plants. Appl. Energy 267 , 114899 (2020).

Producing and Consuming Power (California Department of Water Resources, 2024); https://water.ca.gov/What-We-Do/Power

Gunter, D., Amusat, O., Bartholomew, T. & Drouven, M. Santa Barbara Desalination Digital Twin Technical Report (OSTI, 2022); https://doi.org/10.2172/1831427

Beattie, K. S. et al. WaterTAP v1.0.0; https://github.com/watertap-org/watertap (California Energy Commission, National Alliance for Water Innovation, USDOE; 21 May 2021).

Bernal, D. E., Chen, Q., Gong, F. & Grossmann, I. E. in Computer Aided Chemical Engineering vol. 44 (eds Eden, M. R., Ierapetritou, M. G. & Towler, G. P.) 895–900 (Elsevier, 2018).

Bynum, M. L. et al. Pyomo—Optimization Modeling in Python vol. 67 (Springer International Publishing, 2021).

Hart, W. E., Watson, J.-P. & Woodruff, D. L. Pyomo: modeling and solving mathematical programs in Python. Math. Program. Comput. 3 , 219–260 (2011).

Diamond, S. & Boyd, S. CVXPY: a python-embedded modeling language for convex optimization. J. Mach. Learn. Res. 17 , 1–5 (2016).

Google Scholar  

Agrawal, A., Verschueren, R., Diamond, S. & Boyd, S. A rewriting system for convex optimization problems. J. Control Decis. 5 , 42–60 (2018).

Cole, W. & Karmakar, A. Cost Projections for Utility-Scale Battery Storage: 2023 Update (NREL, 2023).

Voutchkov, N. Desalination Engineering: Planning and Design (McGraw-Hill, 2023).

US Department of Energy (DOE). Pump Lifecycle Costs: A Guide to LCC Analysis for Pumping Systems (2001).

Download references

Acknowledgements

This work is supported by the National Alliance for Water Innovation (NAWI, grant number UBJQH - MSM) and the Office of Energy Efficiency and Renewable Energy (EERE, grant number 0009499 - MSM) through the Department of Energy (DOE). The views expressed herein do not necessarily represent the views of the US Department of Energy or the United States Government. We thank A. Atia and T. Bartholomew from the National Energy Technology Laboratory; B. Knueven from the National Renewable Energy Laboratory; A. Miot and A. Akela from Silicon Valley Clean Water; J. Haggmark, G. Paul and B. Rahrer from the City of Santa Barbara; A. Dudchenko from SLAC National Accelerator Laboratory and S. A. Farraj for their helpful conversations and feedback on the work.

Author information

Authors and affiliations.

Civil and Environmental Engineering, Stanford University, Stanford, CA, USA

Akshay K. Rao, Jose Bolorinos, Erin Musabandesu, Fletcher T. Chapin & Meagan S. Mauter

Woods Institute for the Environment, Stanford University, Stanford, CA, USA

Meagan S. Mauter

Precourt Institute for Energy, Stanford University, Stanford, CA, USA

Photon Science, SLAC National Accelerator Laboratory, Menlo Park, CA, USA

Environmental Social Sciences, Stanford University, Stanford, CA, USA

You can also search for this author in PubMed   Google Scholar

Contributions

A.K.R.: conceptualization, methodology, software, validation, formal analysis, investigation, writing (all stages), visualization, project administration, funding acquisition. J.B.: conceptualization, methodology, software, formal analysis, writing (review and editing). E.M.: methodology, software, formal analysis, writing (review and editing). F.T.C.: methodology, software, data curation, writing (review and editing). M.S.M.: conceptualization, resources, supervision, funding acquisition.

Corresponding author

Correspondence to Meagan S. Mauter .

Ethics declarations

Competing interests.

The authors declare no competing interests.

Peer review

Peer review information.

Nature Water thanks Angineh Zohrabian, Christopher Chini, and the other, anonymous, reviewer(s) for their contribution to the peer review of this work.

Additional information

Publisher’s note Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Rights and permissions

Springer Nature or its licensor (e.g. a society or other partner) holds exclusive rights to this article under a publishing agreement with the author(s) or other rightsholder(s); author self-archiving of the accepted manuscript version of this article is solely governed by the terms of such publishing agreement and applicable law.

Reprints and permissions

About this article

Cite this article.

Rao, A.K., Bolorinos, J., Musabandesu, E. et al. Valuing energy flexibility from water systems. Nat Water (2024). https://doi.org/10.1038/s44221-024-00316-4

Download citation

Received : 29 February 2024

Accepted : 05 September 2024

Published : 27 September 2024

DOI : https://doi.org/10.1038/s44221-024-00316-4

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

Quick links

• Explore articles by subject
• Guide to authors
• Editorial policies

Sign up for the Nature Briefing: Anthropocene newsletter — what matters in anthropocene research, free to your inbox weekly.

• Study protocol
• Open access
• Published: 27 September 2024

A hybrid type II effectiveness-implementation trial of a positive emotion regulation intervention among people living with HIV engaged in Ryan White Medical Case Management: protocol and design for the ORCHID study

• Casey D. Xavier Hall 1 , 2 , 3 ,
• Kristen Ethier 4 ,
• Peter Cummings 3 ,
• Angela Freeman 3 , 5 ,
• Katrin Bovbjerg 3 ,
• Jacqueline Bannon 3 ,
• Andrea Dakin 5 ,
• Fay Abujado 5 ,
• Nora Bouacha 5 ,
• Devan Derricotte 5 ,
• Lakethia Patterson 5 ,
• Lisa R. Hirschhorn 3 ,
• Alida Bouris 6 , 7 &
• Judith T. Moskowitz   ORCID: orcid.org/0000-0002-1399-3318 3  

Trials volume  25 , Article number:  631 ( 2024 ) Cite this article

Metrics details

The Ryan White Medical Case Management System, which serves more than half of people living with HIV (PLWH) in the USA, is an opportune setting for identifying and addressing depression among PLWH. A growing body of research suggests that interventions that promote positive emotion may lessen symptoms of depression and improve physical and psychological well-being among people experiencing a variety of health-related stress, including living with HIV. Research on how best to integrate standardized mental health screening and referral to evidence-based interventions in Ryan White Medical Case Management settings has the potential to improve the health and wellbeing of PLWH.

This mixed-methods study will enroll up to N  = 300 Ryan White clients who screen positive for depressive symptoms in ORCHID (Optimizing Resilience and Coping with HIV through Internet Delivery), a web-based, self-guided positive emotion regulation intervention. The study will be conducted in 16 Ryan White Medical Case Management clinics in Chicago, IL. Following pre-implementation surveys and interviews with Medical Case Managers (MCMs) and Supervisors to develop an implementation facilitation strategy, we will conduct a hybrid type 2 implementation-effectiveness stepped wedge cluster randomized trial to iteratively improve the screening and referral process via interviews with MCMs in each wedge. We will test the effectiveness of ORCHID on depression and HIV care outcomes for PLWH enrolled in the program. RE-AIM is the implementation outcomes framework and the Consolidated Framework for Implementation Research is the implementation determinants framework.

Study findings have the potential to improve mental health and substance use screening of Ryan White clients, decrease depression and improve HIV care outcomes, and inform the implementation of other evidence-based interventions in the Ryan White Medical Case Management System.

Trial registration

ClinicalTrials.gov NCT05123144. Trial registered 6/24/2021

Peer Review reports

Depression is common among people living with HIV (PLWH) [ 1 , 2 , 3 ]. A meta-analysis of 118 studies from 2000 to 2018 demonstrated that the global estimated prevalence rate of depression was 31% (95% CI: 28–34%) among PLWH [ 4 ], with another meta-analysis estimating 41% [ 5 ]. Further, depression is underdiagnosed among PLWH underscoring the need for systematic screening in clinical settings [ 6 , 7 ]. Depression is a barrier to optimal engagement in, and success with, HIV care [ 8 , 9 , 10 , 11 ]. For example, Gonzalez et al. [ 12 ] found that depression was significantly associated with HIV treatment nonadherence among 95 distinct samples of PLWH. Additionally, PLWH with untreated depression have a lower level of sustained viral suppression compared to those without depression or those receiving antidepressants [ 13 ].

Despite elevated rates of depression among PLWH and the documented deleterious associations with HIV progression [ 14 ], PLWH often lack access to adequate mental health screening [ 6 ] and treatment [ 7 , 15 ]. In response, practitioners and researchers have called for universal mental health screening among PLWH and increased access to treatment options [ 16 , 17 ]. Screening guidelines highlight the need for brief screening tools with high-burden populations, including PLWH experiencing trauma, violence, and other structural inequalities that can limit mental health screening and treatment access [ 18 ].

Once a mental health challenge is identified, there is an ethical imperative to provide evidence-based interventions to address mental health needs and well-being [ 16 ]. A growing body of evidence suggests that targeting the ability to experience and maintain positive emotion in the context of stress (rather than targeting the reduction of depression, stress, and negative emotion) is a promising approach to promoting physical and psychological adjustment when coping with a chronic illness [ 19 , 20 ]. Grounded in theory [ 21 , 22 ] and building on empirical links between positive affect and adaptive outcomes for people coping with significant stress, we developed an intervention that focuses on skills for increasing the frequency of positive affect for people coping with health-related or other life stress [ 23 , 24 , 25 , 26 , 27 , 28 ]. Our Positive Pathways to Health theoretical model [ 29 ] posits that increased positive affect has a range of proximal effects, such as providing a timeout from stress [ 30 ], prompting more adaptive coping strategies [ 21 ], broadened attention and cognition, and increased behavioral action tendencies [ 22 ], as well as reduced emotional reactivity to daily stress and strengthened social relationships, all of which lead to reduced depression [ 20 , 29 ]. This reduction, in turn, predicts better physiological functioning (e.g., quicker autonomic recovery after a stressful event) [ 20 , 31 , 32 ] and greater adherence to recommended health behaviors [ 33 , 34 , 35 ], which ultimately lead to improved physical and psychological well-being. In concert with the rapidly growing literature on the social, cognitive, psychological, and health benefits of positive affect, our theoretical model argues strongly for programs that increase positive affect as an approach for mitigating depression, stress, and distress, and subsequently increasing the likelihood of beneficial health behaviors, ultimately improving physical health.

Among PLWH, positive emotion, separately from depression, predicts a slower progression of disease [ 14 , 36 ], improves medication adherence [ 33 , 37 ], and is associated with a greater likelihood of attaining a suppressed viral load [ 38 ]. In a previous randomized controlled trial conducted by our group, we found that sexual minority men (SMM) who endorsed substance abuse randomly assigned to a positive emotion skills intervention had lower viral load, increased positive affect, and reduced drug use when compared to SMM in an attention-control condition [ 39 ]. A separate trial showed that online delivery of the intervention resulted in decreased depression in a general population sample with elevated depressive symptoms [ 40 , 41 ]. Finally, pilot testing of ORCHID (Optimizing Resilience and Coping with HIV through Internet Delivery), our self-guided, online, positive emotion regulation intervention, demonstrated feasibility, acceptability, and preliminary efficacy among PLWH with co-occurring depression [ 42 ].

The present paper describes the protocol for a hybrid type II effectiveness-implementation stepped wedge cluster randomized trial (SW-CRT) [ 43 ] of a clinic-based behavioral health screening and referral to ORCHID, a 6-week online positive emotion regulation intervention for people living with co-morbid HIV and depression. The study aims are to: (1) determine the effects of ORCHID on the primary outcome of depression symptoms and the secondary outcomes of retention in care, adherence to antiretroviral therapies (ART), viral suppression, and substance use; and (2) evaluate and iteratively refine the implementation strategies to support widespread adoption of mental health screening and the ORCHID intervention in Ryan White Medical Case Management settings.

We will use two implementation frameworks, each with distinct purposes aligned with study aims. The Consolidated Framework for Implementation Research (CFIR), a meta-theoretical framework based on 19 implementation theories and models, will be the determinants framework [ 44 ] to help us understand factors that determine implementation effectiveness. CFIR focuses on five domains: (1) the characteristics of the intervention ; (2) the inner setting, i.e., where the intervention is implemented ; (3) the outer setting, i.e., factors exogenous to the implementation setting ; (4) the individuals involved in implementing the intervention ; and (5) the implementation process [ 44 ] . In addition, we will use RE-AIM [ 45 ] as the evaluation framework to structure the factors on which we evaluate the success of the program. Like CFIR [ 44 ], RE-AIM is a widely used implementation outcomes framework [ 46 ] that focuses on five domains: Reach, Effectiveness, Adoption, Implementation, and Maintenance . In applying both frameworks, we will conduct cross-sectional and longitudinal mixed-methods research with MCMs and other clinical leaders to evaluate key implementation parameters, identify relevant implementation facilitators and barriers, and adapt the implementation strategy over the course of the trial.

In preparation for the stepped wedge trial, we conducted a sequential, explanatory mixed-methods study with medical case managers (MCMs) and supervisors across the network of 16 participating clinics. Through surveys with MCMs and supervisors followed by in-depth interviews, we identified barriers and facilitators to implementation and developed a set of initial implementation strategies. Please see Stump et al. for a full discussion of the methods and results of the pre-implementation research [ 47 ].

Materials and methods

The study is taking place in 16 Ryan White Medical Case Management Clinics in Chicago, IL. All participating clinics are part of the Northeastern Illinois HIV/AIDS Case Management Collaborative (the Collaborative), which is coordinated by AIDS Foundation Chicago (AFC), a study partner. AFC has led and coordinated the Collaborative since 1989. Through the Collaborative, AFC offers central administration and coordination to Ryan White Parts A and B funded clinics, including (1) standardized policies and procedures across sites, (2) intake and needs assessments, (3) standardized training and technical assistance, and (4) direct data entry of client-level reporting. Clinics that provide Ryan White medical case management but are not part of the Collaborative were not included in the study.

Behavioral health screener

AFC developed a behavioral health screener that includes standardized assessments of depression symptoms [ 48 ], anxiety symptoms [ 49 ], post-traumatic stress symptoms [ 50 ], alcohol use [ 51 ], and substance abuse [ 52 ]. Clients who screen positive for depression symptoms, as measured by the PHQ-9, are eligible to be referred to ORCHID.

ORCHID is a 6-week self-guided online positive emotion regulation intervention for PLWH. Hosted and maintained on the BrightOutcome platform, ORCHID teaches and reinforces a set of skills week by week, including savoring positive events, gratitude, mindfulness, positive reappraisal, personal strengths, goal setting, and acts of kindness. These skills and sessions have been described in-depth elsewhere [ 28 , 39 , 42 , 53 ] (see Table  1 ). The intervention begins with an overview of the philosophies and structure of the course and presents a new skill or set of skills each week. This content is accompanied by daily practice, such as mindfulness exercises and gratitude journaling, as well as an instrument for brief emotion reporting.

Stepped wedged cluster randomized trial (SW-CRT)

Data collection will follow a stepped-wedge cluster design to recruit up to 300 PLWH receiving care at 16 Ryan White Medical Case Management clinics in Chicago, IL, USA. Recruitment for the evaluation of ORCHID effectiveness will last from the beginning of each wedge through the duration of the study. The 16 Ryan White clinics with co-located medical services were grouped into three clusters for randomization to timing of implementation of mental health screening + referral to ORCHID. We randomized groups using a modified constrained randomization process for cluster-based design [ 76 ] to ensure balance according to 12 baseline-level criteria pre-specified before randomization. The criteria included size, location, and other factors likely to influence the success of implementation as elucidated in the surveys and focus groups in the pre-implementation work [ 47 ]. Using this method, practices were randomly assigned into one of three wedges, and then the balance across waves was checked for those 12 criteria. Using REDCap, we simulated 30,000 randomization schemes, and of those, 15 distinct schemes met balancing criteria; from those 15, one was randomly selected for use in the project.

Each wedge will last approximately 12 months. See Fig.  1 . Cluster assignment was concealed to participating clinics up until the start of the trial with trial recruitment starting in Oct 2021.

Scheme for stepped wedge cluster randomized trial

Behavioral health screening

All PLWH over age 18 receiving care at one of the participating Ryan White clinics are offered a behavioral health screener at intake. Should a client score above the clinical threshold on any scale, they are scheduled to complete the questionnaire every 6 months [ 47 ]. If clients score below the threshold or decline the screener, they are offered the screener again after 12 months. The behavioral health screener is being rolled out as standard care across the full network and is used for other referrals, in addition to ORCHID.

ORCHID study participants and recruitment

Clients with a PHQ-9 [ 48 ] score ≥ 5 on the behavioral screener are eligible for referral to ORCHID. MCMs provide a link to the study website and the study phone number to eligible clients, who then complete an online screener in REDCap in English or Spanish prior to consent and participation which includes: previous participation in the study, zip code, and whether the client has daily access to the internet.

ORCHID study retention

We plan a multi-pronged approach to ensure acceptable rates of retention in the study. First, we will work with AFC to re-contact participants enrolled in ORCHID who are lost to follow-up. AFC oversees all the Ryan White MCMs and will attempt to recontact participants through them. Second, we will work with the Institute for Sexual and Gender Minority Health at Northwestern which has been successful in attaining high rates of retention (> 80%) for online HIV prevention interventions in high-risk populations [ 77 ]. Finally, we will use participant locator software such as Alumni Finder and Lexus Nexus to find hard-to-reach participants.

Potential Harms: The risks of participating in ORCHID are minimal. In past research, the research team has not observed any participants experiencing serious or lasting distress in response to similar interventions or assessments. The intervention has been user-tested to remove any material/content that might be upsetting or insensitive, to reduce the chances of using those questions in future versions. Therefore, the risk of discomfort is extremely low.

Nonetheless, ORCHID study staff who are interacting with participants or monitoring their responses to study procedures must be alert to indicators of elevated distress or possible suicidality. If an ORCHID study staff member observes a possible sign of significant distress and/or suicidal ideation, they will follow a standard protocol to record details of the interaction, working together with designated team members to evaluate the severity of the situation, generate a tailored response, and complete final responding and reporting.

Participants who enroll in ORCHID will complete self-report assessments at baseline, post intervention (approximately 8 weeks later), and 6 months, and 12 months post-intervention (See Fig. 2 ).

SPIRIT Figure for a hybrid type II effectiveness-implementation trial of a positive emotion regulation intervention. *This study used a Stepped-Wedge Design meaning that 3 different clusters of clinics received the intervention in 3 different consecutive years (Wedge 1–3) see Fig.  1 ** T 2  = immediately post intervention (8 weeks), T 3  = 6 months post intervention, T 4  = 12 months post intervention. *** These will be derived from health records in aggregate by clinic see Measures

The primary effectiveness outcome is depression, as measured by depressive symptoms with the PROMIS CAT Depression scale [ 53 ]. Secondary outcomes are retention in care and viral suppression based on data from clinic EHRs. Retention in care is operationalized as the percentage of patients living with HIV with at least 2 encounters (> 89 days apart) within 12 months divided by the total number of patients living with HIV who had at least one medical encounter within 12 months [ 78 ] and viral suppression is operationalized following recommendations from the Centers for Disease Control [ 79 ], i.e., ≤ 200 RNA copies/mL defined. Secondary outcomes also include self-report measures of ARV adherence and engagement in HIV care. We will assess adherence over the past 30 days using a visual analog scale which is strongly correlated with objective measures of adherence [ 80 ]. For each HIV medication prescribed, the participant is asked to indicate how much of each drug they have taken in the past 30 days from 0 to 100%. In addition, we will ask how many doses were missed in the last week [ 81 ]. All measures are shown in Table  2 . We will also examine maintenance of effects at the clinic level by examining changes in clinic-level viral suppression and engagement in care at the beginning and ending of each wedge as well as through the end of the study period.

Effectiveness analysis

Effectiveness analyses will examine the effect of ORCHID on depression symptoms and key secondary outcomes, with analyses occurring at both the individual and clinic levels. In modeling individual depressive symptoms, we will utilize multilevel latent growth curve modeling [ 104 ] to estimate adjusted latent growth curves while accounting for nesting of observations both with clusters and individuals over time [ 104 , 105 ]. Similarly, viral load will be evaluated using a piecewise multilevel growth model [ 106 ]. The primary analysis will utilize multiple imputation leveraging baseline data to estimate missing values for those participants who are missing observations [ 107 , 108 ]. In addition, a sensitivity analysis will compare this approach to listwise or pairwise deletion [ 109 ]. All analyses will be completed using Mplus [ 110 ]. At the clinic level, we will compare clinics where the intervention has been implemented (intervention clinics) to those where it has not yet been implemented (control clinics). We will use Wilcoxon signed-rank tests comparing rates of viral suppression by clinic before and after the introduction of the intervention [ 111 , 112 ].

Power analysis was conducted simulation in R [ 113 ] using variation in potential sample and effect sizes to estimate potential power to detect effects, assuming 16 clinics, a small intraclass correlation within sites (ICC = 0.05), and a substantial ICC within individuals (ICC = 0.30). We estimate that with 300 participants and a medium effect size for change in depression ( d  = 0.40), the study has sufficient power sufficient power (0.806) to detect a significant effect, with substantial power (0.950) to detect large effect sizes ( d  = 0.60) as found in our previous studies.

Implementation of evaluation procedures and participants

We will conduct an iterative mixed-methods evaluation of the implementation of the questionnaire and referral to ORCHID.

Qualitative interviews

We will conduct individual, in-depth interviews guided by the CFIR [ 44 ] with MCMs and supervisors in an active wedge at approximately 8 months post-implementation. The goal of the interviews is to understand barriers and facilitators to implementing the screener and referral to ORCHID to generate potential modifications to improve the implementation strategy package for the next cluster, as well as for future scalability and dissemination. MCMs and supervisors will be invited to participate in a confidential interview via email and provide informed consent via REDCap [ 114 ]. Interviews will be conducted via Zoom by trained members of the study team. Interviewers will take field notes [ 115 ] for each interview using a structured template designed to capture implementation facilitators, barriers, and insights, thereby capturing qualitative impressions and important implementation insights in real time [ 116 ]. All MCMs and supervisors who complete an interview will receive a $50 incentive in the form of a gift card. We also will track the response rate of MCMs and Supervisors who agree to participate, as well as reasons for refusal when provided.

Qualitative data analysis

Rapid qualitative methods are a pragmatic and robust approach to analyzing implementation data that can produce actionable and timeline insights [ 117 , 118 ]. To start, we will analyze the field notes using the Stanford Lightning Report Method (SLRM) [ 119 ], a rapid qualitative synthesis method that organizes implementation data into three categories: (1) the plus: implementation facilitators or the factors that are working well, (2) the delta: barriers to implementation or the factors that need to change, and (3) insights: any implementation insights, recommendations or changes derived from the data or evaluators. Using the SLRM in real time will enable the team to quickly synthesize implementation barriers and facilitators and to identify potential changes to implementation strategies [ 116 ].

We will supplement this approach with Rapid Qualitative Analysis (RQA) [ 120 , 121 ] of the transcripts. RQA is a rigorous, team-based approach to analyzing qualitative implementation data in order to produce actionable insights and outcomes. We will start with a structured template that follows the qualitative guides and facilitates rapid identification of key themes. Next, we will develop an analytic matrix that summarizes key findings and relevant quotes across transcripts. This approach, which we used in our pre-implementation research, has been found to be as rigorous as traditional qualitative analysis [ 118 ].

Implementation strategy adaptations

We will use the SLRM and RQA findings to identify the need for any adaptations or additions to the implementation strategy package used to support the referral and behavioral screener in each clinic wedge. All strategy adaptations will be recorded and reported in accordance to the Framework for Reporting Adaptations and Modifications to Evidence-based Implementation Strategies (FRAME-IS) [ 122 ]. For instance: initially, participants needed to be able to read English but in response to feedback from the initial set of clinics, we translated the platform and all materials into Spanish so that Spanish-speaking participants are now eligible.

Implementation outcome data tracking and data analysis

The majority of the data collected under RE-AIM is quantitative. With the exception of our effectiveness analyses, many of the analyses will be descriptive in order to provide quantitative perspectives on each outcome.

For mental health screening, we will measure the total number who are screened and referred. We will also compare characteristics (e.g., age, race/ethnicity, gender) of those who are screened to the population of patients in the clinic, and we will compare those who enroll in ORCHID to those who screened with elevated depression but did not enroll. We will also track the characteristics of those who refuse enrollment and those who withdraw or are lost to follow-up. We will use t-tests or chi-square tests to compare differences between targeted populations and those who enroll, with a Holm-modified Bonferroni correction to control for experiment-wise error rates, which minimizes both types I and II error rates [ 123 ].

AFC will track the characteristics of clients who have appointments during the study period, those who are offered the behavioral health screener (MCM adoption), those who accept the Behavioral Health Screener (acceptability), and those who are eligible for and referred to (ORCHID staff adoption) and enrolled in ORCHID (client adoption). From these data, we can calculate adoption at the MCM, clinic, and client levels.

Implementation

Implementation includes the fidelity to the protocol delivery. With an online intervention such as ORCHID, delivery is highly consistent but we will track other aspects of implementation including indicators of fidelity, such as the percentage of ORCHID participants who complete the intervention sessions and the associated home practice (all data is tracked on the BrightOutcome platform).

At the study end, MCMs will be asked to complete a survey assessing acceptability, feasibility, and appropriateness of the behavioral health screener and referral to ORCHID using three brief scales that assess perspectives on intervention appeal and acceptability, how well the questionnaire and referral to ORCHID fits with MCM’s work, and the overall ease of implementing the questionnaire and referral process [ 124 ].

Maintenance

At the study end, MCMs will complete a survey assessing the potential for sustainability of the behavioral health screener and referral of ORCHID with the Clinical Sustainability Assessment Tool (CSAT), which assesses perceptions of organizational capacity to sustain the implementation of a new clinical practice in the future, including the organization’s ability to respond and adapt new practices in response to the dynamic contexts of any service environment [ 125 ]. The CSAT consists of 7 subscales with five items each that measure perceptions of (1) staff and leadership engagement, (2) key stakeholder engagement, (3) organizational readiness, (4) workflow integration, (5) implementation and training, (6) monitoring and evaluation, and (7) outcomes and effectiveness [ 124 ]. All items are assessed on a 1  =  to little or no extent to 7  =  a great extent [ 125 ].

In addition to the effectiveness outcome measured in the primary trial, clients will be asked the extent to which they continue to practice the skills they learned in ORCHID and any barriers to continued engagement.

Oversight and monitoring

The team overseeing and monitoring the trial consists of roughly 22 individuals who meet on a weekly basis and represent three major institutions: Northwestern University, University of Chicago, and AIDS Foundation of Chicago. The DSMB for this study is comprised of roughly 3 individuals who are external to the three aforementioned institutions. The DSMB meets at a minimum annually. The DSMB is independent of the sponsor and does not have competing interests. The charter for the DSMB is available on request. There is not a Stakeholder Public Involvement Group for this trial.

Data security

All quantitative data will be collected via secure HIPAA-compliant platforms such as REDCap. Data shared by AFC to academic partners will be de-identified and aggregated. Qualitative transcripts will be de-identified and all qualitative data will be stored on a secure HIPAA-compliant server.

Dissemination

Findings will be disseminated through academic journals, academic conferences, and community presentations (e.g., presentations to AFC and their constituents). Authorship will follow the guidelines of the International Committee of Medical Journal Editors guidelines [ 126 ].

Persistent behavioral health inequities among PLWH highlight the need to increase evidence-based screening and referral in clinical care settings. The present study will be one of the first to examine the effectiveness of an evidence-based behavioral screener and referral to an online positive affect regulation intervention for PLWH who are receiving care in the Ryan White Medical Case Management System. Nationwide, the Ryan White Medical Case Management System serves over half of PLWH [ 127 ], with many encountering significant structural and psychosocial barriers to staying actively engaged in care and reaching viral suppression [ 128 , 129 ]. Although positive affect interventions have evidence of efficacy, it is essential to address challenges to implementation, including the development of strategies that will enhance adoption into routine clinical or organizational practice. In addition, the ability to measure implementation outcomes and adapt existing or introduce new strategies to address barriers is important learning that can support scale-up to similar and new settings.

Using a type II hybrid effectiveness-implementation design [ 130 ] to scale out promising interventions for PLWH and depression is critical. Although numerous HIV interventions have demonstrated efficacy, few are widely disseminated and implemented [ 131 ]. In light of the ambitious timelines of the EHE plan [ 54 , 132 ], we will use a hybrid type II effectiveness-implementation design [ 130 ] to yield simultaneous data on internal and external validity for screening and addressing depression among PWH receiving medical case management through Ryan White Parts A and B funded clinics in Chicago [ 46 ]. Compared to the typical decades-long approach that goes from efficacy to effectiveness to implementation, a hybrid type II design [ 130 ] will accelerate the time between research discovery and routine uptake, thereby maximizing the impact on Continuum of Care outcomes for PLWH and depression.

Trial status

Date of first recruitment: 10/1/2021.

Approximate date of completion: 6/30/2025.

Protocol Version: Version 15 (Approved 11/3/2023).

Availability of data and materials

Data will be available upon request.

Nanni MG, et al. Depression in HIV infected patients: a review. Curr Psychiatry Rep. 2015;17:1–11.

Article   Google Scholar  

Do AN, et al. Excess burden of depression among HIV-infected persons receiving medical care in the United States: data from the medical monitoring project and the behavioral risk factor surveillance system. PLoS ONE. 2014;9(3):e92842.

Glynn TR, et al. High levels of syndemics and their association with adherence, viral non-suppression, and biobehavioral transmission risk in Miami, a US city with an HIV/AIDS epidemic. AIDS Behav. 2019;23:2956–65.

Rezaei S, et al. Global prevalence of depression in HIV/AIDS: a systematic review and meta-analysis. BMJ Support Palliat Care. 2019;9(4):404–12.

Tao J, Vermund SH, Qian H-Z. Association between depression and antiretroviral therapy use among people living with HIV: a meta-analysis. AIDS Behav. 2018;22:1542–50.

Kilbourne AM, et al. Underdiagnosis of depression in HIV. J Gen Intern Med. 2003;18(6):450–60.

Conteh NK, Latona A, Mahomed O. Mapping the effectiveness of integrating mental health in HIV programs: a scoping review. BMC Health Serv Res. 2023;23(1):1–14.

Bhatia R, et al. Persons newly diagnosed with HIV infection are at high risk for depression and poor linkage to care: results from the steps study. AIDS Behav. 2011;15:1161–70.

Ickovics JR, et al. Mortality, CD4 cell count decline, and depressive symptoms among HIV-seropositive women: longitudinal analysis from the HIV epidemiology research study. JAMA. 2001;285(11):1466–74.

Article   CAS   Google Scholar  

Leserman J, et al. Relation of lifetime trauma and depressive symptoms to mortality in HIV. Am J Psychiatry. 2007;164(11):1707–13.

Mayne TJ, et al. Depressive affect and survival among gay and bisexual men infected with HIV. Arch Intern Med. 1996;156(19):2233–8.

Gonzalez JS, et al. Depression and HIV/AIDS treatment nonadherence: a review and meta-analysis. J Acquir Immune Defic Syndr. 2011;58(2):181–7.

Gokhale RH, et al. Depression prevalence, antidepressant treatment status, and association with sustained HIV viral suppression among adults living with HIV in care in the United States, 2009–2014. AIDS Behav. 2019;23:3452–9.

Ironson G, et al. Psychosocial and neurohormonal predictors of HIV disease progression (CD4 cells and viral load): a 4 year prospective study. AIDS Behav. 2015;19:1388–97.

Cholera R, et al. Mind the gap: gaps in antidepressant treatment, treatment adjustments, and outcomes among patients in routine HIV care in a multisite US Clinical Cohort. PLoS ONE. 2017;12(1):e0166435.

Remien RH, et al. Mental health and HIV/AIDS: the need for an integrated response. AIDS (London, England). 2019;33(9):1411.

Organization WH. Consolidated guidelines on the use of antiretroviral drugs for treating and preventing HIV infection. Recommendations for a public health approach ‐ Second edition. Geneva: World Health Organization; 2016.

Google Scholar  

Remien RH, et al. Integrating mental health into HIV prevention and care: a call to action. J Int AIDS Soc. 2021;24(Suppl 2):e25748.

Hernandez R, et al. Psychological well-being and physical health: associations, mechanisms, and future directions. Emot Rev. 2018;10(1):18–29.

Pressman SD, Jenkins BN, Moskowitz JT. Positive affect and health: what do we know and where next should we go? Annu Rev Psychol. 2019;70(1):627–50.

Folkman S. Positive psychological states and coping with severe stress. Soc Sci Med. 1997;45:1207–21.

Fredrickson BL. What good are positive emotions? Rev Gen Psychol. 1998;2:300–19.

Cheung EO, Cohn MA, Dunn LB, Melisko ME, Morgan S, Penedo FJ, Salsman JM, Shumay DM, Moskowitz JT. A Randomized Pilot Trial of a Positive Affect Skill Intervention (Lessons in Linking Affect and Coping) for Women with Metastatic Breast Cancer. Psycho-Oncology. 2017;26(12):2101–8. https://doi.org/10.1002/pon.4312 .

Moskowitz J, et al. Randomized controlled trial of a positive affect intervention to reduce stress in people newly diagnosed with HIV; protocol and design for the IRISS study. Open Access J Clin Trials. 2014;2014(6):85–100.

Moskowitz JT, et al. A positive affect intervention for people experiencing health-related stress: development and non-randomized pilot test. J Health Psychol. 2012;17(5):677–93.

Cohn MA, et al. An online positive affect skills intervention reduces depression in adults with type 2 diabetes. J Posit Psychol. 2014;9(6):523–34.

Dowling GA, et al. Life enhancing activities for family caregivers of people with frontotemporal dementia. Alzheimer Dis Assoc Disord. 2014;28(2):175–81.

Moskowitz JT, et al. Randomized controlled trial of a positive affect intervention for people newly diagnosed with HIV. J Consult Clin Psychol. 2017;85(5):409–23.

Moskowitz JT, Addington EA, Cheung EO. Positive pathways to health. Gen Hosp Psychiatry. 2019;61:136–8.

Lazarus RS, Kanner AD, Folkman S. Emotions: A cognitive-phenomenological analysis. In: Plutchik R, Kellerman H, editors. Theories of emotion. New York: Academic Press; 1980. p. 189–217.

Chapter   Google Scholar  

Fredrickson BL, Levenson RW. Positive emotions speed recovery from the cardiovascular sequelae of negative emotions. Cogn Emot. 1998;12:191–220.

Pressman SD, Cohen S. Does positive affect influence health? Psychol Bull. 2005;131(6):925–71.

Carrico AW, Moskowitz JT. Positive affect promotes engagement in care after HIV diagnosis. Health Psychol. 2014;33(7):686.

Bassett SM, et al. Positive affect and medication adherence in chronic conditions: a systematic review. Health Psychol. 2019;38(11):960.

Hoogwegt MT, et al. Exercise mediates the association between positive affect and 5-year mortality in patients with ischemic heart disease. Circulation. 2013;6:559–66.

Ironson GH. Do positive psychosocial factors predict disease progression in HIV-1? A review of the evidence. Psychosom Med. 2008;70(5):546.

Gonzalez JS, et al. Social support, positive states of mind, and HIV treatment adherence in men and women living with HIV/AIDS. Health Psychol. 2004;23(4):413.

Wilson TE, et al. Positive affect and its association with viral control among women with HIV infection. Health Psychol. 2017;36(1):91.

Carrico AW, et al. Randomized controlled trial of a positive affect intervention to reduce HIV viral load among sexual minority men who use methamphetamine. J Int AIDS Soc. 2019;22(12):e25436.

Addington EL, et al. The MARIGOLD study: feasibility and enhancement of an online intervention to improve emotion regulation in people with elevated depressive symptoms. J Affect Disord. 2019;257:352–64.

Cheung EO, et al. A self-paced, web-based, positive emotion skills intervention for reducing symptoms of depression: protocol for development and pilot testing of MARIGOLD. JMIR Res Protoc. 2018;7(6):e10494.

Bassett S, et al. Feasibility and acceptability of an online positive affect intervention for those living with comorbid HIV depression. AIDS Behav. 2019;23:753–64.

Hemming K, et al. Stepped wedge cluster randomized trials are efficient and provide a method of evaluation without which some interventions would not be evaluated. J Clin Epidemiol. 2013;66(9):1058–9.

Damschroder LJ, et al. Fostering implementation of health services research findings into practice: a consolidated framework for advancing implementation science. Implement Sci. 2009;4(1):50.

Glasgow RE, Vogt TM, Boles SM. Evaluating the public health impact of health promotion interventions: the RE-AIM framework. Am J Public Health. 1999;89(9):1322–7.

Glasgow RE, et al. RE-AIM planning and evaluation framework: adapting to new science and practice with a twenty-year review. Front Public Health. 2019;7:64.

Stump TK, et al. Development of an implementation facilitation strategy to link mental health screening and eHealth intervention for clients in Ryan white-funded clinics in Chicago. J Acquir Immune Defic Syndr. 2022;90(1):S197–205.

Kroenke K, Spitzer RL, Williams JB. The PHQ-9: Validity of a brief depression severity measure. J Gen Intern Med. 2001;16(9):606–13.

Kroenke K, et al. Anxiety disorders in primary care: prevalence, impairment, comorbidity, and detection. Ann Intern Med. 2007;146(5):317–25.

Prins A, et al. The primary care PTSD screen for DSM-5 (PC-PTSD-5): development and evaluation within a veteran primary care sample. J Gen Intern Med. 2016;31(10):1206–11.

Bush K, et al. The AUDIT alcohol consumption questions (AUDIT-C): an effective brief screening test for problem drinking. Arch Intern Med. 1998;158(16):1789–95.

Cocco KM, Carey KB. Psychometric properties of the Drug Abuse Screening Test in psychiatric outpatients. Psychol Assess. 1998;10(4):408.

Hays RD, et al. Development of physical and mental health summary scores from the patient-reported outcomes measurement information system (PROMIS) global items. Qual Life Res. 2009;18:873–80.

Services, D.o.H.a.H. Ending the HIV epidemic: a plan for America. 2019. Available from: https://www.hhs.gov/sites/default/files/ending-the-hiv-epidemic-fact-sheet.pdf .

Murrell SA, Norris FH. Resources, life events, and changes in positive affect and depression in older adults. Am J Community Psychol. 1984;12(4):445–64.

Zautra AJ, Reich JW. Life events and perceptions of life quality: developments in a two-factor approach. J Community Psychol. 1983;11:121–32.

Krause N. Positive life events and depressive symptoms in older adults. Behav Med. 1998;14:101–12.

Lewinsohn PM, Hoberman HM, Clarke GN. The coping with depression course: review and future directions. Can J Behav Sci. 1989;21:470–93.

Langston CA. Capitalizing on and coping with daily-life events: expressive responses to positive events. J Pers Soc Psychol. 1994;67:1112–2112.

Emmons RA. Thanks! how the new science of gratitude can make you happier. New York: Houghton Mifflin; 2007.

Emmons RA, McCullough ME. Counting blessings versus burdens: an experimental investigation of gratitude and subjective well-being in daily life. J Pers Soc Psychol. 2003;84:377–89.

Kashdan TB, Uswatte G, Julian T. Gratitude and hedonic and eudaimonic well-being in Vietnam war veterans. Behav Res Ther. 2006;44:177–99.

Kabat-Zinn J. Mindfulness-based interventions in context: past, present, and future. Clin Psychol Sci Pract. 2003;10:144–56.

Brown KW, Ryan RM. The benefits of being present: mindfulness and its role in psychological well-being. J Pers Soc Psychol. 2003;84:822–48.

Fredrickson BL, et al. Open hearts build lives: positive emotions, induced through meditation, build consequential personal resources. J Pers Soc Psychol. 2008;95:1045–62.

Grossman P, et al. Mindfulness training as an intervention for fibromyalgia: evidence of postintervention and 3-year follow-up benefits in well-being. Psychother Psychosom. 2007;76:226–33.

Lazarus RS, Folkman S. Stress, appraisal, and coping. New York: Springer; 1984.

Sears SR, Stanton AL, Danoff-Burg S. The yellow brick road and the emerald city: Benefit finding, positive reappraisal coping and posttraumatic growth in women with early-stage breast cancer. Health Psychol. 2003;22(5):487–97.

Koole SL, et al. The cessation of rumination through self-affirmation. J Pers Soc Psychol. 1999;77:111–25.

Taylor SE, et al. Maintaining positive illusions in the face of negative information: getting the facts without letting them get to you. J Soc Clin Psychol. 1989;8(2):114–29.

Taylor SE, et al. Are self-enhancing cognitions associated with healthy or unhealthy biological profiles? J Pers Soc Psychol. 2003;85:605–15.

Strecher VJ, et al. Goal setting as a strategy for health behavior change. Health Educ Q. 1995;22:190–200.

Carver CS, Scheier MF. Origins and functions of positive and negative affect: a control process view. Psychol Rev. 1990;97:19–35.

Lent RW, et al. Social cognitive predictors of domain and life satisfaction: exploring the theoretical precursors of subjective well-being. J Consult Clin Psychol. 2005;52:429–42.

Emmons RA. Abstract versus concrete goals: personal striving level, physical illness, and psychological well-being. J Pers Soc Psychol. 1992;62:292–300.

Nietert PJ, Jenkins RG, Nemeth LS, Ornstein SM. An application of a modified constrained randomization process to a practice-based cluster randomized trial to improve colorectal cancer screening. Contemp Clin Trials. 2009;30(2):129–32.

Mustanski B, et al. Feasibility, acceptability, and preliminary efficacy of an online HIV prevention program for diverse young men who have sex with men: the keep it up! intervention. AIDS Behav. 2013;17:2999–3012.

Administration HRS. Performance measure: annual retention in care. 2023. Available from: https://ryanwhite.hrsa.gov/grants/performance-measure-portfolio/core-measures/annual-retention-in-care . [cited 2024].

Prevention, C.f.D.C.a. Understanding the HIV Care Continuum. 2016. https://www.cdc.gov/hiv/pdf/library/factsheets/cdc-hiv-care-continuum.pdf .

Walsh JC, Mandalia S, Gazzard BG. Responses to a 1 month self-report on adherence to antiretroviral therapy are consistent with electronic data and virological treatment outcome. AIDS. 2002;16(2):269–77.

Simoni JM, et al. Self-report measures of antiretroviral therapy adherence: a review with recommendations for HIV research and clinic management. AIDS Behav. 2006;10:227–45.

Ferrari M, et al. Self-compassion interventions and psychosocial outcomes: a meta-analysis of RCTs. Mindfulness. 2019;10:1455–73.

Brooke J. Sus: a “quick and dirty’usability. Usability evaluation in industry. Open Access J Clin Trials. 1996;189(3):189–94. 

Izard CE. Human emotions. New York: Springer Science & Business Media; 2013.

Almeida DM, Wethington E, Kessler RC. The daily inventory of stressful events: an interview-based approach for measuring daily stressors. Assessment. 2002;9(1):41–55.

Pilkonis PA, et al. Item banks for measuring emotional distress from the Patient-Reported Outcomes Measurement Information System (PROMIS®): depression, anxiety, and anger. Assessment. 2011;18(3):263–83.

Brasseur S, et al. The profile of emotional competence (PEC): Development and validation of a self-reported measure that fits dimensions of emotional competence theory. PLoS ONE. 2013;8(5):e62635.

Kang SM, Shaver PR. Individual differences in emotional complexity: their psychological implications. J Pers. 2004;72(4):687–726.

van Kooten JA, et al. Validation of the PROMIS sleep disturbance and sleep-related impairment item banks in Dutch adolescents. Qual Life Res. 2018;27:1911–20.

Salsman JM, et al. Assessing meaning & purpose in life: development and validation of an item bank and short forms for the NIH PROMIS®. Qual Life Res. 2020;29:2299–310.

Ritter PL, et al. Self-reports of health care utilization compared to provider records. J Clin Epidemiol. 2001;54(2):136–41.

Lorig K. Outcome measures for health education and other health care interventions. New York: Sage; 1996.

Warttig SL, et al. New, normative, English-sample data for the short form perceived stress scale (PSS-4). J Health Psychol. 2013;18(12):1617–28.

Salsman JM, et al. Refining and supplementing candidate measures of psychological well-being for the NIH PROMIS®: qualitative results from a mixed cancer sample. Qual Life Res. 2018;27:2471–6.

Neff KD, et al. The development and validation of the state self-compassion scale (long-and short form). Mindfulness. 2021;12:121–40.

Fernald DH, et al. Common measures, better outcomes (COMBO): a field test of brief health behavior measures in primary care. Am J Prev Med. 2008;35(5):S414–22.

Gu J, et al. Examining the factor structure of the 39-item and 15-item versions of the Five Facet Mindfulness Questionnaire before and after mindfulness-based cognitive therapy for people with recurrent depression. Psychol Assess. 2016;28(7):791.

Forrest CB, et al. Development and evaluation of the PROMIS® pediatric positive affect item bank, child-report and parent-proxy editions. J Happiness Stud. 2018;19:699–718.

Salsman JM, et al. Development and validation of the positive affect and well-being scale for the neurology quality of life (Neuro-QOL) measurement system. Qual Life Res. 2013;22:2569–80.

Horowitz M, Wilner N, Alvarez W. Impact of event scale: a measure of subjective stress. Psychosom Med. 1979;41(3):209–18.

Sayles JN, et al. Development and psychometric assessment of a multidimensional measure of internalized HIV stigma in a sample of HIV-positive adults. AIDS Behav. 2008;12:748–58.

Fuster-RuizdeApodaca MJ, et al. Adaptation of the HIV stigma scale in Spaniards with HIV. Span J Psychol. 2015;18:E66.

West TN, et al. How the affective quality of social connections may contribute to public health: prosocial tendencies account for the links between positivity resonance and behaviors that reduce the spread of COVID-19. Affect Sci. 2021;2(3):241–61.

Beard E, et al. Stepped wedge randomised controlled trials: systematic review of studies published between 2010 and 2014. Trials. 2015;16(1):1–14.

Prost A, et al. Logistic, ethical, and political dimensions of stepped wedge trials: critical review and case studies. Trials. 2015;16(1):1–11.

Kohli N, Harring JR. Modeling growth in latent variables using a piecewise function. Multivar Behav Res. 2013;48(3):370–97.

Li J, et al. Roles of self-stigma, social support, and positive and negative affects as determinants of depressive symptoms among HIV infected men who have sex with men in China. AIDS Behav. 2017;21:261–73.

Wohl DA, et al. A randomized controlled trial of an intervention to maintain suppression of HIV viremia following prison release: The imPACT trial-JAIDS Ms. no.: QAIV16986. J Acquir Immune Defic Syndr. 2017;75(1):81.

Enders CK, Bandalos DL. The relative performance of full information maximum likelihood estimation for missing data in structural equation models. Struct Equ Model. 2001;8(3):430–57.

Muthén L.K.a.B.O.M. Mplus user’s guide, 3rd ed. 2005.

Brown CA, Lilford RJ. The stepped wedge trial design: a systematic review. BMC Med Res Methodol. 2006;6(1):1–9.

Woolson R. Wilcoxon signed‐rank test. 2007. p. 1–3.

Green P, MacLeod CJ. SIMR: an R package for power analysis of generalized linear mixed models by simulation. Methods Ecol Evol. 2016;7(4):493–8.

Patridge EF, Bardyn TP. Research electronic data capture (REDCap). J Med Lib Assoc. 2018;106(1):142.

Phillippi J, Lauderdale J. A guide to field notes for qualitative research: context and conversation. Qual Health Res. 2018;28(3):381–8.

Brown-Johnson C, et al. The Stanford Lightning Report Method: a comparison of rapid qualitative synthesis results across four implementation evaluations. Learning Health Systems. 2020;4(2):e10210.

Ridgeway JL, et al. Reducing burden and building goodwill for practice-embedded trials: results of rapid qualitative methods in the preimplementation phase of a community paramedic trial to reduce hospitalizations. J Clin Transl Sci. 2023;7(1):e61.

Gale RC, et al. Comparison of rapid vs in-depth qualitative analytic methods from a process evaluation of academic detailing in the Veterans Health Administration. Implement Sci. 2019;14(1):11.

Brown-Johnson C, et al. The stanford lightning report method: a comparison of rapid qualitative synthesis results across four implementation evaluations. Learn Health Syst. 2020;4(2):e10210.

Hamilton A. Qualitative methods in rapid turn-around health services research., V.H.S. Research, Editor. 2013: https://www.hsrd.research.va.gov/for_researchers/cyber_seminars/archives/video_archive.cfm?SessionID=780 .

Hamilton AB. Rapid qualitative analysis: updates/developments. V.H.S.R.a. Development, Editor. 2020. https://www.hsrd.research.va.gov/for_researchers/cyber_seminars/archives/video_archive.cfm?SessionID=3846 .

Miller CJ, et al. The FRAME-IS: a framework for documenting modifications to implementation strategies in healthcare. Implement Sci. 2021;16:1–12.

Jaccard J, Guilamo-Ramos V. Analysis of variance frameworks in clinical child and adolescent psychology: issues and recommendations. J Clin Child Adolesc Psychol. 2002;31(1):130–46.

Weiner BJ, et al. Psychometric assessment of three newly developed implementation outcome measures. Implement Sci. 2017;12:1–12.

Malone S, et al. The clinical sustainability assessment tool: measuring organizational capacity to promote sustainability in healthcare. Implement Sci Commun. 2021;2:1–12.

Editors, I.C.o.M.J. Defining the Role of Authors and Contributors. 2024. Available from: https://www.icmje.org/recommendations/browse/roles-and-responsibilities/defining-the-role-of-authors-and-contributors.html . [cited 2024].

Program, H.R.S.A.R.W.H.A. Program Parts & Initiatives. 2023. Available from: https://ryanwhite.hrsa.gov/about/parts-and-initiatives .

Park E, et al. Structural barriers to women’s sustained engagement in HIV care in southern California. AIDS Behav. 2020;24:2966–74.

Marhefka SL, et al. Social determinants of potential eHealth engagement among people living with HIV receiving Ryan white case management: health equity implications from project TECH. AIDS Behav. 2020;24:1463–75.

Curran GM, et al. Effectiveness-implementation hybrid designs: combining elements of clinical effectiveness and implementation research to enhance public health impact. Med Care. 2012;50(3):217.

Noar SM. Computer technology-based interventions in HIV prevention: state of the evidence and future directions for research. AIDS Care. 2011;23(5):525–33.

Fauci AS, et al. Ending the HIV epidemic: a plan for the United States. JAMA. 2019;321(9):844–5.

Download references

Acknowledgements

This trial was supported by a grant from the National Institute of Mental Health (R01MH124632; Moskowitz & Bouris). This project also was supported by a grant from the Third Coast Center for AIDS Research (CFAR), an NIH-funded program (P30 AI117943) supported by the following NIH co-funding and participating Institutes and Centers: NIAID, NCI, NICHD, NHLBI, NIDA, NIA, NIDDK, NIGMS, NIMH, NIMHD, NINR, NIDCR. Dr. Xavier Hall’s time was supported by a grant from the National Heart, Lung, and Blood Institute (1L60HL170367-01; PI: Xavier Hall). The content is solely the responsibility of the authors and does not necessarily reflect the official views of the funders.

Author information

Authors and affiliations.

Center of Population Science for Health Equity, College of Nursing, Florida State University, Tallahassee, FL, USA

Casey D. Xavier Hall

School of Social Work, Florida State University, Tallahassee, FL, USA

Department of Medical Social Sciences, Northwestern University Feinberg School of Medicine, Chicago, IL, USA

Casey D. Xavier Hall, Peter Cummings, Angela Freeman, Katrin Bovbjerg, Jacqueline Bannon, Lisa R. Hirschhorn & Judith T. Moskowitz

School of Social Work, Simmons University, Boston, MA, USA

Kristen Ethier

AIDS Foundation Chicago, Chicago, IL, USA

Angela Freeman, Andrea Dakin, Fay Abujado, Nora Bouacha, Devan Derricotte & Lakethia Patterson

Crown Family School of Social Work, Policy, and Practice, University of Chicago, Chicago, IL, USA

Alida Bouris

Chicago Center for HIV Elimination, University of Chicago, Chicago, IL, USA

You can also search for this author in PubMed   Google Scholar

Contributions

Casey D. Xavier Hall: conceptualization, coordination, drafting, editing. Kristen Ethier: conceptualization, drafting, editing. Peter Cummings: conceptualization, drafting, editing. Angela Freeman: conceptualization, drafting, editing. Katrin Bovbjerg: conceptualization, drafting, editing. Jacqueline Bannon: conceptualization, editing. Andrea Dakin: conceptualization, editing. Fay Abujado: conceptualization, editing. Nora Bouacha: conceptualization, editing. Devan Derricotte: conceptualization, editing. Lakethia Patterson: conceptualization, editing. Lisa R Hirschhorn: conceptualization, drafting, editing. Alida Bouris: conceptualization, drafting, editing, principal investigator. Judith T. Moskowitz: conceptualization, drafting, editing, principal investigator.

Corresponding author

Correspondence to Judith T. Moskowitz .

Ethics declarations

Ethics approval and consent to participate.

This study was approved by the Northwestern University Institutional Review Board (STU00209131).

Consent to publication

All participants consented to deidentified and aggregated data being used for publication.

Competing interests

The authors declare that they have no competing interests.

Additional information

Publisher’s note.

Springer Nature remains neutral with regard to jurisdictional claims in published maps and institutional affiliations.

Supplementary Information

Supplementary material 1., rights and permissions.

Open Access This article is licensed under a Creative Commons Attribution-NonCommercial-NoDerivatives 4.0 International License, which permits any non-commercial use, sharing, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if you modified the licensed material. You do not have permission under this licence to share adapted material derived from this article or parts of it. The images or other third party material in this article are included in the article’s Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article’s Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by-nc-nd/4.0/ .

Reprints and permissions

About this article

Cite this article.

Xavier Hall, C.D., Ethier, K., Cummings, P. et al. A hybrid type II effectiveness-implementation trial of a positive emotion regulation intervention among people living with HIV engaged in Ryan White Medical Case Management: protocol and design for the ORCHID study. Trials 25 , 631 (2024). https://doi.org/10.1186/s13063-024-08475-1

Download citation

Received : 31 March 2024

Accepted : 17 September 2024

Published : 27 September 2024

DOI : https://doi.org/10.1186/s13063-024-08475-1

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

ISSN: 1745-6215

• Submission enquiries: Access here and click Contact Us
• General enquiries: [email protected]

Information

• Author Services

Initiatives

You are accessing a machine-readable page. In order to be human-readable, please install an RSS reader.

All articles published by MDPI are made immediately available worldwide under an open access license. No special permission is required to reuse all or part of the article published by MDPI, including figures and tables. For articles published under an open access Creative Common CC BY license, any part of the article may be reused without permission provided that the original article is clearly cited. For more information, please refer to https://www.mdpi.com/openaccess .

Feature papers represent the most advanced research with significant potential for high impact in the field. A Feature Paper should be a substantial original Article that involves several techniques or approaches, provides an outlook for future research directions and describes possible research applications.

Feature papers are submitted upon individual invitation or recommendation by the scientific editors and must receive positive feedback from the reviewers.

Editor’s Choice articles are based on recommendations by the scientific editors of MDPI journals from around the world. Editors select a small number of articles recently published in the journal that they believe will be particularly interesting to readers, or important in the respective research area. The aim is to provide a snapshot of some of the most exciting work published in the various research areas of the journal.

Original Submission Date Received: .

• Active Journals
• Find a Journal
• Journal Proposal
• Proceedings Series
• For Authors
• For Reviewers
• For Editors
• For Librarians
• For Publishers
• For Societies
• For Conference Organizers
• Open Access Policy
• Institutional Open Access Program
• Special Issues Guidelines
• Editorial Process
• Research and Publication Ethics
• Article Processing Charges
• Testimonials
• Preprints.org
• SciProfiles
• Encyclopedia

Article Menu

• Subscribe SciFeed
• Recommended Articles
• Google Scholar
• on Google Scholar
• Table of Contents

Find support for a specific problem in the support section of our website.

Please let us know what you think of our products and services.

Visit our dedicated information section to learn more about MDPI.

JSmol Viewer

A novel framework for spatiotemporal susceptibility prediction of rainfall-induced landslides: a case study in western pennsylvania.

1. Introduction

2. study area and landslide causative factors, 2.1. landslide inventories, 2.2. landslide causative factors, 2.2.1. static factors, 2.2.2. time-varying factors, 3. ml algorithms and evaluation methods, 4. ml for spatial lsm, 4.1. spatial landslide sampling method, 4.2. results of spatial ml, 5. ml for spatiotemporal lsm, 5.1. spatiotemporal landslide sampling method, 5.2. results of spatiotemporal ml, 5.2.1. ml results, 5.2.2. spatiotemporal lsm, 5.3. computational efficiency of spatiotemporal lsm application, 6. conclusions, author contributions, data availability statement, conflicts of interest.

• Wei, X.; Zhang, L.; Luo, J.; Liu, D. A hybrid framework integrating physical model and convolutional neural network for regional landslide susceptibility mapping. Nat. Hazards 2021 , 109 , 471–497. [ Google Scholar ] [ CrossRef ]
• Xing, Y.; Yue, J.; Guo, Z.; Chen, Y.; Hu, J.; Travé, A. Large-scale landslide susceptibility mapping using an integrated machine learning model: A case study in the Lvliang Mountains of China. Front. Earth Sci. 2021 , 9 , 622. [ Google Scholar ] [ CrossRef ]
• Pei, T.; Qiu, T. Landslide susceptibility mapping using physics-guided machine learning: A case study of a debris flow event in Colorado Front Range. Acta Geotech. 2024; in press . [ Google Scholar ] [ CrossRef ]
• Pei, T.; Qiu, T. Landslide Susceptibility Mapping Using Machine Learning Methods: A Case Study in Colorado Front Range, USA. Geo-Congress 2023 , 2023 , 521–530. [ Google Scholar ] [ CrossRef ]
• Pei, T.; Qiu, T. Debris flow susceptibility mapping in Colorado Front Range, USA: A comparison of physics-based and data-driven approaches. In Proceedings of the 8th International Conference on Debris Flow Hazard Mitigation (DFHM8), Torino, Italy, 26–29 June 2023. E3S Web of Conferences. [ Google Scholar ] [ CrossRef ]
• Yesilnacar, E.; Topal, T. Landslide susceptibility mapping: A comparison of logistic regression and neural networks methods in a medium scale study, Hendek region (Turkey). Eng. Geol. 2005 , 79 , 251–266. [ Google Scholar ] [ CrossRef ]
• Chacon, J.; Irigaray, C.; Fernandez, T.; El-Hamdouni, R. Engineering geology maps: Landslides and geographical information systems. Bull. Eng. Geol. Environ. 2006 , 65 , 341–411. [ Google Scholar ] [ CrossRef ]
• Lee, S.; Pradhan, B. Landslide hazard mapping at Selangor, Malaysia using frequency ratio and logistic regression models. Landslides 2007 , 4 , 33–41. [ Google Scholar ] [ CrossRef ]
• Yilmaz, I. Comparison of landslide susceptibility mapping methodologies for Koyulhisar, Turkey: Conditional probability, logistic regression, artificial neural networks, and support vector machine. Environ. Earth Sci. 2010 , 61 , 821–836. [ Google Scholar ] [ CrossRef ]
• Akgun, A. A comparison of landslide susceptibility maps produced by logistic regression, multi-criteria decision, and likelihood ratio methods: A case study at İzmir, Turkey. Landslides 2012 , 9 , 93–106. [ Google Scholar ] [ CrossRef ]
• Youssef, A.M. Landslide susceptibility delineation in the Ar-Rayth area, Jizan, Kingdom of Saudi Arabia, using analytical hierarchy process, frequency ratio, and logistic regression models. Environ. Earth Sci. 2015 , 73 , 8499–8518. [ Google Scholar ] [ CrossRef ]
• Wang, Y.; Song, C.; Lin, Q.; Li, J. Occurrence probability assessment of earthquake-triggered landslides with Newmark displacement values and logistic regression: The Wenchuan earthquake, China. Geomorphology 2016 , 258 , 108–119. [ Google Scholar ] [ CrossRef ]
• Corominas, J.; Van Westen, C.; Frattini, P.; Cascini, L.; Malet, J.P.; Fotopoulou, S.; Catani, F.; Van Den Eeckhaut, M.; Mavrouli, O.; Agliardi, F.; et al. Recommendations for the quantitative analysis of landslide risk. Bull. Eng. Geol. Environ. 2014 , 73 , 209–263. [ Google Scholar ] [ CrossRef ]
• Xiong, J.; Pei, T.; Qiu, T. Spatiotemporal Prediction of Rainfall-induced Landslides Using Machine Learning Techniques. In IOP Conference Series: Earth and Environmental Science ; IOP Publishing: Bristol, UK, 2024; Volume 1337. [ Google Scholar ]
• Reichenbach, P.; Rossi, M.; Malamud, B.D.; Mihir, M.; Guzzetti, F. A review of statistically-based landslide susceptibility models. Earth Sci. Rev. 2018 , 180 , 60–91. [ Google Scholar ] [ CrossRef ]
• Huang, Y.; Zhao, L. Review on landslide susceptibility mapping using support vector machines. Catena 2018 , 165 , 520–529. [ Google Scholar ] [ CrossRef ]
• Merghadi, A.; Yunus, A.P.; Dou, J.; Whiteley, J.; ThaiPham, B.; Bui, D.T.; Avtar, R.; Abderrahmane, B. Machine learning methods for landslide susceptibility studies: A comparative overview of algorithm performance. Earth-Sci. Rev. 2020 , 207 , 103225. [ Google Scholar ] [ CrossRef ]
• Moziihrii, A.; Khwairakpam, A.; Arnab, K.M.; Elzbieta, J.; Radomir, G.; Zbigniew, L.; Michał, J. Landslide Susceptibility Mapping Using Machine Learning: A Literature Survey. Remote Sens. 2022 , 14 , 3029. [ Google Scholar ] [ CrossRef ]
• Rosi, A.; Peternel, T.; Jemec-Auflič, M.; Komac, M.; Segoni, S.; Casagli, N. Rainfall thresholds for rainfall-induced landslides in Slovenia. Landslides 2016 , 13 , 1571–1577. [ Google Scholar ] [ CrossRef ]
• Peruccacci, S.; Brunetti, M.T.; Gariano, S.L.; Melillo, M.; Rossi, M.; Guzzetti, F. Rainfall thresholds for possible landslide occurrence in Italy. Geomorphology 2017 , 290 , 39–57. [ Google Scholar ] [ CrossRef ]
• Huang, F.; Chen, J.; Liu, W.; Huang, J.; Hong, H.; Chen, W. Regional rainfall-induced landslide hazard warning based on landslide susceptibility mapping and a critical rainfall threshold. Geomorphology 2022 , 408 , 108236. [ Google Scholar ] [ CrossRef ]
• Khalili, M.A.; Guerriero, L.; Pouralizadeh, M.; Calcaterra, D.; Martire, D.D. Monitoring and prediction of landslide-related deformation based on the GCN-LSTM algorithm and SAR imagery. Nat. Hazards 2023 , 119 , 39–68. [ Google Scholar ] [ CrossRef ]
• Nava, L.; Carraro, E.; Reyes-Carmona, C.; Puliero, S.; Bhuyan, K.; Rosi, A.; Monserrat, O.; Floris, M.; Meena, S.R.; Galve, J.P.; et al. Landslide displacement forecasting using deep learning and monitoring data across selected sites. Landslides 2023 , 20 , 2111–2129. [ Google Scholar ] [ CrossRef ]
• Delano, H.L.; Wilshusen, J.P. Landslides in Pennsylvania (2nd ed.): Pennsylvania Geological Survey, 4th ser., Educational Series 9, 2001 , 34p. Available online: https://maps.dcnr.pa.gov/publications/Default.aspx?id=272 (accessed on 2 September 2024).
• Pomeroy, J.S.; William, E.D. Landslides and Related Features, Pennsylvania-Pittsburgh 1° × 2° Sheet ; US Geological Survey: Reston, VA, USA, 1979. [ Google Scholar ] [ CrossRef ]
• Kirschbaum, D.B.; Adler, R.; Hong, Y.; Hill, S.; Lerner-Lam, A. A global landslide catalog for hazard applications: Method, results, and limitations. Nat. Hazards 2010 , 52 , 561–575. [ Google Scholar ] [ CrossRef ]
• Kirschbaum, D.B.; Stanley, T.; Zhou, Y. Spatial and Temporal Analysis of a Global Landslide Catalog. Geomorphology 2015 , 249 , 4–15. [ Google Scholar ] [ CrossRef ]
• Kavzoglu, T.; Colkesen, I.; Sahin, E.K. Machine learning techniques in landslide susceptibility mapping: A survey and a case study. In Landslides: Theory, Practice and Modelling ; Springer: Berlin/Heidelberg, Germany, 2019; pp. 283–301. [ Google Scholar ]
• Beyabanaki, S.A.R.; Bagtzoglou, A.C.; Anagnostou, E.N. Effects of groundwater table position, soil strength properties and rainfall on instability of earthquake-triggered landslides. Environ. Earth Sci. 2016 , 75 , 358. [ Google Scholar ] [ CrossRef ]
• Zhang, M.; Singh, H.V.; Migliaccio, K.W.; Kisekka, I. Evaluating water table response to rainfall events in a shallow aquifer and canal system. Hydrol. Process. 2017 , 31 , 3907–3919. [ Google Scholar ] [ CrossRef ]
• Crozier, M.J. Landslides: Causes, Consequences and Environment ; Croom Helm: Beckenham, UK, 1986; pp. 171–192. [ Google Scholar ]
• Patton, A.I.; Luna, L.V.; Roering, J.J.; Jacobs, A.; Korup, O.; Mirus, B.B. Landslide initiation thresholds in data-sparse regions: Application to landslide early warning criteria in Sitka, Alaska, USA. Nat. Hazards Earth Syst. Sci. 2023 , 23 , 3261–3284. [ Google Scholar ] [ CrossRef ]
• Nolasco-Javier, D.; Kumar, L. Deriving the rainfall threshold for shallow landslide early warning during tropical cyclones: A case study in northern Philippines. Nat. Hazards 2018 , 90 , 921–941. [ Google Scholar ] [ CrossRef ]
• Kim, S.W.; Chun, K.W.; Kim, M.; Catani, F.; Choi, B.; Seo, J. Effect of antecedent rainfall conditions and their variations on shallow landslide-triggering rainfall thresholds in South Korea. Landslides 2021 , 18 , 569–582. [ Google Scholar ] [ CrossRef ]
• Guzzetti, F.; Peruccacci, S.; Rossi, M.; Stark, C.P. Rainfall thresholds for the initiation of landslides in central and southern Europe. Meteorol. Atmos. Phys 2007 , 98 , 239–267. [ Google Scholar ] [ CrossRef ]
• Vapnik, V.N. The Nature of Statistical Learning Theory ; Springer: New York, NY, USA, 1995. [ Google Scholar ]
• Ho, T.K. Random decision forests. In Proceedings of the 3rd International Conference on Document Analysis and Recognition, Montreal, QC, Canada, 14–16 August 1995; Volume 1, pp. 278–282. [ Google Scholar ]
• Natekin, A.; Knoll, A. Gradient boosting machines, a tutorial. Front. Neurorobot. 2013 , 7 , 21. [ Google Scholar ] [ CrossRef ]
• Ayalew, L.; Yamagishi, H. The application of GIS-based logistic regression for landslide susceptibility mapping in the Kakuda-Yahiko Mountains, Central Japan. Geomorphology 2005 , 65 , 15–31. [ Google Scholar ] [ CrossRef ]
• Ballabio, C.; Sterlacchini, S. Support Vector Machines for Landslide Susceptibility Mapping: The Staffora River Basin Case Study, Italy. Math Geosci. 2012 , 44 , 47–70. [ Google Scholar ] [ CrossRef ]
• Zhang, W.; He, Y.; Wang, L.; Liu, S.; Meng, X. Landslide Susceptibility mapping using random forest and extreme gradient boosting: A case study of Fengjie, Chongqing. Geol. J. 2023 , 58 , 2372–2387. [ Google Scholar ] [ CrossRef ]
• Akosah, S.; Gratchev, I.; Kim, D.-H.; Ohn, S.-Y. Application of Artificial Intelligence and Remote Sensing for Landslide Detection and Prediction: Systematic Review. Remote Sens. 2024 , 16 , 2947. [ Google Scholar ] [ CrossRef ]
• Huang, F.; Cao, Y.; Li, W.; Catani, F.; Song, G.; Huang, J.; Yu, C. Uncertainties of landslide susceptibility prediction: Influences of different study area scales and mapping unit scales. Int. J. Coal. Sci. Technol. 2024 , 11 , 26. [ Google Scholar ] [ CrossRef ]
• Woodard, J.B.; Mirus, B.B.; Crawford, M.M.; Or, D.; Leshchinsky, B.A.; Allstadt, K.E.; Wood, N.J. Mapping landslide susceptibility over large regions with limited data. J. Geophys. Res. Earth Surf. 2023 , 128 , e2022JF006810. [ Google Scholar ] [ CrossRef ]
• Luna, L.V.; Korup, O. Seasonal Landslide Activity Lags Annual Precipitation Pattern in the Pacific Northwest. Geophys. Res. Lett. 2022 , 49 , e2022GL098506. [ Google Scholar ] [ CrossRef ]
• Rohan, T.J.; Wondolowski, N.; Shelef, E. Landslide susceptibility analysis based on citizen reports. Earth Surf. Process. Landf. 2021 , 46 , 791–803. [ Google Scholar ] [ CrossRef ]
• Zhao, Q.; Wang, H.; Zhou, H.; Gan, F.; Yao, L.; Zhou, Q.; An, Y. An interpretable and high-precision method for predicting landslide displacement using evolutionary attention mechanism. Nat. Hazards , 2024; in press . [ Google Scholar ] [ CrossRef ]
• Violos, J.; Psomakelis, E.; Danopoulos, D.; Tsanakas, S.; Varvarigou, T. Using LSTM Neural Networks as Resource Utilization Predictors: The Case of Training Deep Learning Models on the Edge. In Economics of Grids, Clouds, Systems, and Services ; Springer: Cham, Switzerland, 2020; pp. 67–74. [ Google Scholar ] [ CrossRef ]
• Rahimzad, M.; Moghaddam Nia, A.; Zolfonoon, H.; Soltani, J.; Danandeh Mehr, A.; Kwon, H.H. Performance Comparison of an LSTM-based Deep Learning Model versus Conventional Machine Learning Algorithms for Streamflow Forecasting. Water Resour. Manag. 2021 , 35 , 4167–4187. [ Google Scholar ] [ CrossRef ]
• Segoni, S.; Piciullo, L.; Gariano, S.L. A review of the recent literature on rainfall thresholds for landslide occurrence. Landslides 2018 , 15 , 1483–1501. [ Google Scholar ] [ CrossRef ]

Click here to enlarge figure

Share and Cite

Xiong, J.; Pei, T.; Qiu, T. A Novel Framework for Spatiotemporal Susceptibility Prediction of Rainfall-Induced Landslides: A Case Study in Western Pennsylvania. Remote Sens. 2024 , 16 , 3526. https://doi.org/10.3390/rs16183526

Xiong J, Pei T, Qiu T. A Novel Framework for Spatiotemporal Susceptibility Prediction of Rainfall-Induced Landslides: A Case Study in Western Pennsylvania. Remote Sensing . 2024; 16(18):3526. https://doi.org/10.3390/rs16183526

Xiong, Jun, Te Pei, and Tong Qiu. 2024. "A Novel Framework for Spatiotemporal Susceptibility Prediction of Rainfall-Induced Landslides: A Case Study in Western Pennsylvania" Remote Sensing 16, no. 18: 3526. https://doi.org/10.3390/rs16183526

Article Metrics

Article access statistics, further information, mdpi initiatives, follow mdpi.

Subscribe to receive issue release notifications and newsletters from MDPI journals

• DOI: 10.21009/stairs.5.1.7
• Corpus ID: 271991452

Vocational High School Teachers’ Perception of Project-based Learning Method in English Language Teaching: A Case Study

• Melvira Tanila , Sri Sulastini , Imas Wahyu Agustina
• Published in Starting AI Researchers… 16 August 2024

Related Papers

Showing 1 through 3 of 0 Related Papers

Advertisement

Understanding Circular and Nature-Inclusive Agricultural Business Models

• Original Paper
• Open access
• Published: 23 September 2024

Cite this article

You have full access to this open access article

• Carolien de Lauwere   ORCID: orcid.org/0000-0002-7946-4822 1 ,
• Marie-Jose Smits   ORCID: orcid.org/0009-0002-9457-8083 1 ,
• Marijke Dijkshoorn-Dekker   ORCID: orcid.org/0000-0002-7098-6712 1 ,
• Amber Kuipers-ten Brummelhuis   ORCID: orcid.org/0000-0002-2697-7480 1 &
• Nico Polman   ORCID: orcid.org/0000-0001-6412-5345 1  

93 Accesses

Explore all metrics

Sustainable approaches in the agricultural sector are important to addressing problems relating to food security and nutrition around the globe. To obviate these problems, it has become crucial to administer methods of farming that are ecologically compatible, holistic and organic in nature. Dutch farmers are moving towards more sustainable and circular production methods to respond to the various challenges, including biodiversity loss and climate change, whilst maintaining a viable business model. To generate further insight into circular and nature-inclusive or nature-positive agricultural business models (CNABM), we describe a conceptual framework that could help farmers, their advisers and, possibly, funding organisations to identify critical success factors for the implementation of circular and nature-inclusive or nature-positive business models in a qualitative way. The framework was built on a synthesis of existing literature and seven empirical case studies drawing on in-depth interviews. Prior to the case studies, the framework was tested through a desk study focused on sugar-beet cultivation. Based on existing literature and the pilot case on sugar-beet cultivation, we found that three conditions are needed in order to identify these critical success factors. (1) It is important to consider the barriers and drivers in the social and physical contexts within which entrepreneurs involved in such business models operate (‘adoption factors’). (2) Sustainable business models should go beyond delivering economic value and include other forms of value for a broader range of stakeholders. Moreover, attention should be paid to strengths and weaknesses of the business model. (3) Traditional business models (e.g. the business model canvas, or BMC) should be extended to include sustainability-related elements (sustainability impact). The framework proved useful for identifying the business models, along with their vulnerabilities and potential opportunities. Although the framework is meant for use with circular and nature-inclusive or nature-positive agricultural business models, it can be applied to other sustainable agricultural business models as well.

Similar content being viewed by others

Agriculture Scientist’s Many Burdens: A Glimpse of Efforts in Land Use Planning, Waste Recycling, Food Storage Design, Managing Farmer Psychology and Other Eclectic Pursuits

Barriers and drivers for sustainable business model innovation based on a radical farmland change scenario

Agroecological Approaches for Climatic Change Mitigation and Adaptation: Experiences from the South to Encourage Direct Producer-Consumer Relationships

Explore related subjects.

• Artificial Intelligence

Avoid common mistakes on your manuscript.

Introduction

In the past decade, the importance of sustainable food systems has been receiving increasing emphasis. Sustainable approaches in the agricultural sector are of the utmost importance to addressing problems relating to food security and nutrition around the globe. To obviate these problems, it has become crucial to administer methods of farming that are ecologically compatible, holistic and organic in nature [ 1 ]. For farmers, this entails being confronted with increasing pressures on land and concerns about the emission of greenhouse gasses, ammonia and minerals in relation to climate goals, as well as water quality and animal welfare in relation to human health [ 1 , 2 ]. If current production systems continue as they are, pressure on the environment is expected to increase as the global population grows [ 3 , 4 ].

In the Netherlands, a focus on increasing productivity and reducing costs has resulted in monocultures, which have a negative impact on the environment, especially in terms of biodiversity, water quality and the attractiveness of the landscape. According to the vision of the Netherlands Ministry of Agriculture, Nature and Food Quality, “[T]he way in which we produce our food is shifting ever more out of balance. We are taking more than the planet can give, and this is not sustainable” [ 5 , p. 5]. The Dutch government advocates a transition to circular agriculture, with nature-inclusive agriculture as one important perspective [ 6 ]. Nature-inclusive farming aims to promote more sustainable agricultural practices that will minimise negative ecological impacts and maximise positive ones, whilst generating benefits from natural processes [ 7 ]. At the international level, this aligns with the search for nature-positive business models, as advocated by the World Wide Fund for Nature (WWF) [ 8 ], the World Economic Forum (WEF) in 2023 across a variety of sectors [ 9 ], and the European Business & Nature Summit in Milan in 2023 [ 10 ]. The initiatives have encouraged further business actions towards the development of nature-positive business models.

Such transitions involve complex processes, and they require radical changes in both social and technological systems [ 7 , 11 ]. For Dutch farmers, the transition will require moving towards more sustainable production methods in response to challenges (e.g. biodiversity loss and climate change), whilst also maintaining a viable business model.

As demonstrated by the Netherlands national taskforce on earning capacity for circular agriculture, the development of new revenue/business models poses a number of major challenges. Stressing the urgent need for a suitable revenue model, this taskforce argues that such models are crucial to the success of the transition towards more sustainable agriculture [ 12 ]. Within the European context, the same argument has been applied to the development of business models for a circular and sustainable bioeconomy [ 13 , 14 , 15 ].

To help identify critical success factors for the successful implementation of circular and nature-inclusive or nature-positive agricultural business models (CNABM), we build on a framework developed by Antikainen and Valkokari [ 16 ] and adapted it according to a synthesis of literature. A preliminary examination of the framework was conducted through a desk study on sugar-beet cultivation, which resulted in minor adaptations to the framework. In a subsequent step, we qualitatively tested the framework based on seven empirical case studies. The aim of our study was to identify and test a framework for critical success factors for circular and nature-inclusive or nature-positive agricultural business models (CNABM) within the context of stakeholders preparing their farms for the transition to the future. In our study, CNABMs describe the ways in which farmers work and make money whilst also carefully handling natural resources, managing the soil in a sustainable manner and minimising emissions.

The section “ Research methods ” introduces the materials and methods which form the basis of this paper. The section “ Results ” then introduces the literature review which provides the foundation for our approach by the identification of key elements of CNABMs (Section “Literature Review on Business Model Strategies and Elements of Circular and Nature Inclusive Business Models”). This is followed by a brief analysis of a desk study concerning Dutch sugar beet cultivation (Section “Analysis of the Sugar Beet Case”) and a more detailed analysis of seven empirical case studies that illustrate the practical applications of our approach (Section “Analysis of Seven Empirical Case Studies”). The  results concludes with the presentation of the framework for CNABMs (Section “Towards a Conceptual Framework for Analyzing CNABMs”). Finally, the discussion offers a discussion of the key findings, while the section “ Conclusions ” presents the conclusions. In this paper we will from here on refer to nature-inclusive agriculture when we mean nature-inclusive or nature-positive agriculture.

Research Methods

The study consisted of three parts (see Fig.  1 ):

An exploratory literature review to find out whether circular or sustainable business models that have been developed primarily for industrial applications can be applied in circular and nature-inclusive agricultural business models (CNABMs), as well as to identify key elements of CNABMs that enable the qualitative assessment of critical success factors of CNABMs.

A desk study on sugar-beet cultivation to develop an impression of how the identified key elements of CNABMS can be used in an agricultural application.

Analysis of in-depth interviews with initiators of seven empirical case studies to further test and refine the framework for the evaluation of CNABMs.

Structure of the study on circular and nature-inclusive agricultural business models (CNABMs)

Exploratory Literature Review

In an exploratory literature review, we followed an integrative literature approach [ 17 ] to examine scientific and other publications. The review was intended to generate insight into whether circular or sustainable business models that have been developed primarily for industrial applications can be applied in circular and nature-inclusive agricultural business models (CNABMs). We also identified key elements of CNABMs to develop an initial draft of a framework for assessing critical success factors for CNABMs. An integrative literature review is not intended as a systematic survey of all articles ever published on a certain topic or within a certain field of research. Rather, it aims to combine and integrate perspectives and insights from different scientific domains or research traditions [ 17 ].

Relevant literature was identified through a search in scientific databases (mainly Google Scholar) as well as through the recommendations of colleagues and peers. Instead of relying on fixed sets of keywords, we explored many different topics and research domains. Based on this initial collection of literature, we applied a snowball method to gather additional information through references cited in the articles from the initial collection. The explorative literature review was not meant to be exhaustive.

Testing the Initial Draft of the CNABM Framework in a Specific Agricultural Application

The applicability of the initial draft of the conceptual framework to assess critical success factors for CNABMs was first tested according to a desk study on the cultivation of sugar beets in the Netherlands and the by-products that remain after the sugar has been extracted from the beets. The by-products can be used for the production of green energy (bioethanol), bio-based elements or fibres, the maintenance of organic matter in the soil and/or the production of feed for dairy cows (beet pulp) [ 18 , 19 ]. This exercise clearly demonstrated that the key elements of the CNABMs found in the literature can be recognised in each business strategy for sugar-beet cultivation.

Further Testing and Refining the CNABM Framework Based on Seven Empirical Case Studies

The next step in our research consisted of qualitatively analysing seven case studies involving livestock and arable farming as a further test of our conceptual framework for CNABMs based on empirical data.

To enhance understanding concerning the business models of circular or nature-inclusive farmers, we performed seven semi-structured in-depth interviews with livestock and arable farmers who were producing according to circular and/ or nature-inclusive methods. This type of interviewing is useful for answering more complicated research questions, including ‘why’ questions [ 20 ]. To this end, we developed an interview guide that would allow us to gather similar types of data from each participant [ 21 ] by providing the interviewers with guidance on which topics to discuss [ 22 ]. Based on the key elements of CNABMs as identified in the exploratory literature review and the desk study on sugar-beet cultivation (see Section “ Exploratory Literature Review ”), the interview guide included the following topics: 

With regard to the social and physical context within which farmers operate:

Characteristics of the farm and the farmer

Barriers to and drivers of the realisation of CNABMs (adoption factors)

At the business level:

Questions related to the building blocks of CNABMs (value proposition, customer relations and segments, channels, activities, key resources, partners, cost structure, revenue streams and take-back infrastructure)

Strengths and weaknesses of the CNABMs

Sustainability impact

Questions related to positive and negative environmental, social and financial consequences

Each interview lasted 60–90 min. To ensure that every topic was discussed during the conversations, they were conducted by two interviewers. All interviews were recorded, with the permission of the farmers, and were transcribed verbatim. Each farmer signed a consent form granting permission to use the interviews for analysis.

For this research, we used a non-probability sampling technique known as purposive sampling. This method is characterised by making a deliberate choice of participants based on specific qualities [ 23 ]. Purposive sampling is typically used to identify information-rich cases in an efficient manner [ 24 ]. One disadvantage of this method is that it is subjective, thereby introducing bias into the choice of participants [ 23 ].

The sample for this case consisted of farmers in the Netherlands who were producing circular and/or nature-inclusive products. Some of these farmers were identified from a long list previously used by Hoes et al. [ 25 ]. The others were found through the network of researchers involved in the project, as well as through the website of Caring Farmers ( https://caringfarmers.nl/ ), a community of farmers who produce or want to produce in a nature-inclusive and circular manner. Thirteen farmers were approached for an interview but only seven of them accepted the invitation. Six interviews were conducted online, and one interview was conducted live on the farm, at the farmer’s insistence. Each of the participating farmers received two €50 vouchers as an expression of gratitude for their time and effort answering the questions.

Each interview was analysed using the conceptual framework presented in the section “ Towards a Conceptual Framework for Analyzing CNABMs ”.

This section is divided into four main parts. Following the structure of the Methods section, we start by presenting the results of the exploratory literature review. We describe how industrial applications can be applied in circular and nature-inclusive agricultural business models (CNABMs) (Section “General Circular Business Strategies also are Applicable in Agriculture”) and which key elements of CNABMs can be distinguished (Section “Key Elements for Circular and Nature-Inclusive Business Models”). This reveals key elements that should be distinguished to assess and reveal critical success factors of CNABMs, which we test in the sugar beet case (Section “Analysis of the Sugar Beet Case”). We then focus on the analysis of the in-depth interviews with initiators of seven empirical case studies to further test and refine the framework for evaluation of CNABMs (Section “Analysis of Seven Empirical Case Studies”). The section concludes with a presentation of our final conceptual framework for the evaluation of CNABMs (Section “Towards a Conceptual Framework for Analyzing CNABMs”).

Literature Review on Business Model Strategies and Elements of Circular and Nature-Inclusive Business Models

General circular business strategies also are applicable in agriculture.

The transition towards circular and nature-inclusive agricultural systems is part of a larger transition towards a circular economy. In the literature, several attempts have been made to describe circular business models (CBMs) [ 26 , 27 , 28 ] or sustainable business models (SBM) [ 29 , 30 ]. Some studies on circular ‘industrial’ business models proceed from the notion of ‘R strategies’. As developed by the Netherlands Environmental Assessment Agency (PBL), the R-ladder is composed of the following circular strategies [ 31 ]: (1) Refuse and Rethink, referring to renouncing of products and making more intensive use of products; (2) Reduce, referring to reducing the need for inputs by a more efficient fabrication of products or making products more efficient to use; (3) Reuse, referring to using products again; (4) Repair and Refurbish, referring to reusing product parts; (5) Recycle, referring to processing and reusing materials; and (6) Recover, referring to regaining energy from materials. The R strategies are also used by Lüdeke-Freund et al. [ 28 ], who propose six major ‘patterns’ (strategies) of circular economy business models (CEBM), which have the potential to support the closing of resource flows: (1) repair and maintenance; (2) reuse and redistribution; (3) refurbishment and remanufacturing; (4) recycling; (5) cascading and repurposing; and (6) organic feedstock business model patterns. The fifth and sixth CEBM strategies appear to be applicable to agriculture. Cascading and repurposing refer to the iterative use of the energy and material contents of physical objects/biomass (e.g. trees) and the efficient use of biomass (e.g. animal feed by valorisation of residuals of soy, beets or potatoes). Organic feedstock refers to the processing of organic residuals through biomass conversion, composting or anaerobic digestion and the generation of co-products from waste.

According to Lacy et al. [ 32 ], in a circular economy, growth is decoupled from the use of scarce resources through disruptive technology and business models based on longevity, renewability, reuse, repair, upgrade, refurbishment, capacity sharing and dematerialisation. The authors describe five different circular business strategies, including: (1) circular supplies, referring to the provision of renewable energy and the use of bio-based or fully recyclable input material to replace single-lifecycle inputs, and (2) resource recovery, referring to the recovery of useful resources or energy out of disposed products or by-products. For circular agriculture, renewable energy and bio-based materials are particularly important. For example, farmers can contribute to the provision of renewable energy by installing solar panels on roofs and, possibly, on land, and by allowing wind turbines on their land. They also can contribute to the use of bio-based material in bio-fermenters. For nature-inclusive agriculture, the central strategy is regeneration (recovery of the biosphere, and especially the soil).

A mapping tool developed by Bocken et al. [ 29 ] distinguishes nine sustainable business strategies: (1) maximise material and energy efficiency; (2) create value from ‘waste’; (3) deliver functionality, rather than ownership; (4) encourage sufficiency; (5) adopt a stewardship role; (6) re-purpose business for society/the environment; (7) integrate business into the community; (8) develop scalable solutions; and (9) radical innovation. Some of these strategies appear to be applicable to agriculture as well. For example, maximising material efficiency is actually already being broadly applied by farmers, as most of them use the services of contractors (including their machinery) for cultivating their land. In a way, this can be understood as a sharing platform for machinery. Furthermore, the production of plant proteins to replace animal proteins for a more efficient use of inputs is an example of maximising material efficiency, the use of residuals from the food industry for animal feed is an example of creating value from ‘waste’, and community-supported agriculture (CSA) is an example of integrating business into the community. In CSA, farmers and citizens share responsibility, risks and, in some cases, even ownership. Many such initiatives are currently emerging [ 33 ].

Based on the literature mentioned above, we further elaborated how specific circular or sustainable business strategies can be applied in CNABMs (see Appendix I).

Key Elements for Circular and Nature-Inclusive Business Models

In the previous section, we discussed circular business strategies that are applicable to CNABMs. In this section, we identify key elements necessary for a conceptual framework for CNABMs.

Take-back System and Adoption Factors

In a literature review, Lewandowski [ 26 ] identifies and classifies the characteristics of the circular economy according to the structure of a business model. To this end, the Business Model Canvas (BMC) of Ostenwalder and Pigneur [ 34 ] is adapted into a circular business model canvas by adding two new components to the model: a take-back system and adoption factors. The take-back system has its own channels and customer relations, and it is added to the common building blocks of the Business Model Canvas (value proposition, customer segments, customer relations, partners, key activities, key resources, channels, cost structure and revenue streams). For agricultural practices, the take-back system — or at least a kind of take-back system or infrastructure — seems applicable as well (e.g. to enable the recycling of nutrients between livestock and arable farms; to realise the use of renewable energy; to enable the use of residual flows from the food industry for animal feed; to compost organic waste from consumers; or to regain phosphate from human excreta). Adoption factors are important, as the transition towards circular business models must be supported by a variety of organisational capabilities and external factors. With regard to adoption factors, Lewandowski [ 26 ] includes the ‘PEST factors’, which were first described by Aguilar [ 35 ]: Political, Economic, Social and Technological factors that could influence business development. The PEST framework was later expanded into the PESTLE framework by Nandonde et al. [ 36 ], with the addition of Legal and Environmental factors. The PESTLE framework can be used as a diagnostic tool to analyse and monitor external macro-environmental factors that have an impact on business models [ 37 ]. It facilitates thinking about which factors are most likely to change and which are likely to have the most positive or negative impact on the performance of the CNABM business cases. To “unlock the circular economy”, Tura et al. [ 27 ] describe another framework comprising seven areas that partly overlap the PESTLE factors: environmental, economic, social, political and institutional, technological and informational, supply chain and organisational factors. A PESTLE analysis is sometimes combined with a SWOT approach [e.g. 38, 39, 40]. The benefit of this combination is that it allows the identification of positive and negative factors, both internal (strengths and weaknesses) and external (opportunities and threats).

Sustainability Impact

The circular economy — or, in our case, circular and nature-inclusive agriculture — is not always or not only sustainable. On the contrary, it sometimes raises new challenges, even if it can solve issues relating to sustainability [ 41 ]. For this reason, it is important to extend traditional business models (e.g. the BMC) to include elements related to sustainability [ 42 , 43 ]. One example is the triple-layered BMC described by Joyce and Paquin [ 44 ]. These authors extend the BMC by adding an environmental layer, based on a lifecycle perspective, and a social layer, based on a stakeholder perspective. Taken together, the three layers of the business model make more explicit how an organisation generates multiple types of value: economic, environmental and social. They demonstrate other elements of the BMC, including social value, social impacts and social benefits, along with environmental impacts and benefits. Another extension to the BMC is presented by Antikainen and Valkokari [ 16 ], whose framework for evaluating the sustainability and circularity of business models distinguishes the business-ecosystem level (with trends, drivers and stakeholder involvement), the business level (with the building blocks of the BMC) and the sustainability-impact level (with environmental, social and business-related sustainability requirements and benefits).

Towards a Conceptual Framework for CNABMs

The literature presented in the previous section shows that three main elements are important to reveal critical success factors for CNABMs:

The social and physical context, which includes the adoption factors based on Lewandowksi [ 26 ] and Tura et al. [ 27 ]

The business level, which includes the building blocks of the BMC [ 28 , 34 ], the circular building blocks [ 26 ] and the strengths and weaknesses from the SWOT analysis [ 38 , 39 , 40 ].

The sustainability-impact level, which includes the positive and negative social, environmental and financial consequences of business models [ 44 ].

In the following sections we use these elements as a basis for a superficial analysis of the sugar-beet case and analyse the seven empirical case studies in more detail.

Analysis of the Sugar Beet Case

The analysis of the sugar-beet case was an initial test of our conceptual framework for the qualitative description of CNABMs. It is based on a desk study of the cultivation of sugar beets in the Netherlands and the by-products that remain after the sugar has been extracted from the beets. These by-products can be used for the production of green energy (bioethanol), bio-based elements or fibres, the maintenance of organic matter in the soil and/or the production of feed for dairy cows (beet pulp) [ 18 , 19 ]. These uses of by-products fit respectively within the business strategies of repurposing, radical innovation, recycling and organic feedstock. For each business strategy, we superficially analysed the environmental, economic, political, legal and technological adoption factors described by Nandonde et al. [ 36 ], the business level based on the building blocks of the BMC and the take-back infrastructure [ 26 , 35 ]; and the sustainability impact of the business models in terms of the positive and negative environmental and financial consequences of the business models’ sustainability [ 44 ]. This part of the study was intended to generate an initial impression of how the framework could work. We did not analyse the pilot-case study in much detail. Our findings regarding the adoption factors, the take-back system/infrastructure needed for the collection and processing of circular products (part of the business level), and the sustainability impact of the sugar-beet case are presented below. Further details regarding the building blocks of the BMC are presented in Appendix II. We did not include the SWOT analysis or the social adoption factors and sustainability impact, as doing so would have required a more detailed analysis.

Adoption Factors

Analysis of the PESTLE factors of sugar-beet cultivation indicates that important political issues include a possible sugar tax, green subsidies and political decisions concerning bio-based materials. The policy agenda for circular economy and nature-inclusive farming is relevant within this context as well. This is related to legal developments at the national and international level, including legislation on climate agreements and emissions. Adoption possibilities depend on technological progress. In particular, bio-based materials and the associated technology — including the infrastructure of materials and structural engineering — are still under development. This can lead to uncertainty, thereby delaying investments. Economic adoption factors concern the prices of fossil energy (which help to determine green energy profits), costs of producing bio-based materials compared to those of traditional materials, and the cost of energy in the production of animal feed based on beet pulp. Although leaving remnants of beet production on the land is cost-efficient (as it eliminates the need to remove it), the revenues become visible only in the long term. Environmental adoption factors concern the need for renewable energy, bio-based materials and reduction of biodiversity loss in the soil and on the land.

Take-back System/Infrastructure for the Production of Bio-Ethanol and Bio-Based Products

Given the essential importance of reusing residual flows to CNABMs, this section addresses the take-back system/infrastructure, which is apparently important to the production of bio-ethanol or bio-based materials or the production of beet pulp for animal feed. In addition to the harvesting of sugar beets, the production of bio-ethanol, bio-based materials and animal feed entail the processing of beets into bio-ethanol, bio-based materials and beet pulp. It also includes making the products available to the energy, chemical and feed industries. A take-back system does not play an important role in business strategies based on leaving the beet remnants on the land.

The four circular and/or nature-inclusive strategies for the sugar-beet sector include a variety of benefits and, in some cases, deficiencies. Sugar beets can be used for the production of ethanol as an alternative to fossil energy, as well as for bio-based materials as an alternative to non-renewable resources. These strategies are suitable to a circular economy. Furthermore, crop remnants can be either left on the soil to improve organic matter or used as feed stock as an alternative to feed imports. These uses are consistent with nature-inclusive agriculture. The environmental advantages of the four strategies include the use of renewable resources instead of fossil resources, the improvement of soil structure due to greater soil biodiversity, and a decrease in feed imports and a corresponding decrease in the loss of biodiversity elsewhere in the world. The strategies are subject to shortcomings as well, however, including the CO 2 emissions generated by renewable energy from bio-based resources and energy consumption from both the production of bio-based materials and the drying of beet pulp for feed production.

The results are also diverse from an economic perspective. The profitability of ethanol, bio-based materials and beet-residue feed depends solely on energy prices, whereas the profitability of bio-based materials also depends on the price of traditional materials, and the profitability of beet-residue feed also depends on the price of imported feed.

The impacts of the strategies result in increased sustainability within a wide range of sectors, both outside agriculture (e.g. the energy and chemical sectors) and within agriculture (the arable and livestock sectors).

Lessons from the Sugar-Beet Case

As demonstrated by our approach, CNABMs (in this case, relating to the cultivation of sugar beets in the Netherlands) can be unravelled in several business strategies. A variety of circular elements can be recognised in these strategies, including the recycling, upgrading or remanufacturing of products, components, materials or waste. Additional values for new stakeholders can be created (e.g. through strategies for the production of bioethanol and bio-based elements or fibres), and values for existing stakeholders are utilised as much as possible (e.g. in strategies for the maintenance of organic matter in the soil and/or the production of beet-pulp-based feed for dairy cows). The choice of one business strategy does not necessarily exclude the others. If beet remnants are left on the land or if beet pulp is used for animal feed, the beets can still be used in the production of bio-ethanol or bio-based materials. In contrast, if beets are used for the production of bio-ethanol or bio-based material (or sugar), they can no longer be used for other purposes. The adoption factors are the most important part of our conceptual framework, as they provide insight into the barriers and drivers associated with specific business strategies. In our analysis (which is admittedly superficial), leaving the beet remnants on the land seems the most beneficial, as it seems to have only positive effects (on the quality and biodiversity of the soil). Moreover, it involves only beet waste, such that the beets still can be used for the production of bio-ethanol or bio-based materials (or sugar). Within this context, nature-inclusive solutions (leaving the beet remnants on the land to improve soil quality) are accompanied by circular solutions (upgrading beets for the production of green energy or bio-based materials).

Analysis of Seven Empirical Case Studies

The farmers and their farms, farm activities and features.

All farmers we interviewed had farms with nature-inclusive and circular elements. Five of the farms were organic. Of the non-organic farmers, one fed the animals with residuals that are difficult to obtain from non-organic sources, let alone from organic sources. All but one of the farmers kept beef cattle (2 farms), dairy cattle (2 farms), pigs (1 farm) or broiler chickens (1 farm). The farm with the broiler chickens also had arable land. The farmer without livestock had a regenerative arable farm. Examples of side activities undertaken at the farms included farm shops, hospitality activities, education, free-range laying hens, self-made dairy products, grain production for local mills, and excursions. The farms were dispersed throughout the country. Most of the farmers interviewed had between 50 and 100 ha of utilized agricultural area (UAA), except for one farm that was very small, in order to maintain the ‘hobby farmer’ status Footnote 1 .

CNABM Strategies

The CNABM strategies are summarised in Table  1 . In all cases, the farmers were reducing inputs and integrating business into the community in various ways. The most frequently mentioned practices were short supply chains through the exploitation of farm shops, collaboration between farmers, and education and excursions. One farmer was reducing food waste by collecting it at local bakeries and retailers and feeding it to the animals, which were living under high animal welfare standards. In all but one of the cases (a conventional farm), the farmers had rejected common practices, and five of the farmers had organic, nature-inclusive or regenerative farms, and they thus did not use any chemical pesticides or artificial fertilisers. They were also contributing to the repair and maintenance of the natural environment. Four of these farmers were also applying nature conservation. In four cases, sustainable energy was produced by means of solar panels and wind turbines (and two other farmers had plans to implement after the realising a new stall or replacing an old roof containing asbestos). All of the farmers interviewed were applying multiple CNABM strategies.

Social and Physical Context – Adoption Factors

The barriers and drivers mentioned during the interviews with the farmers are listed in Table  2 . One barrier mentioned by several interviewees was that farmers tend to feel that they are too far ahead of their time and that they are often not eligible for sustainability subsidies, because their approach deviates too much from the norm:

Actually, I often feel that I’m too far ahead of my time. In addition, policies and such are not yet applicable to what I do. Subsidies aren’t suitable. (ID-05)

This is especially discouraging because, in many cases, the revenue models are hardly sufficient, due to the small scale of the business combined with the high investments needed to realise the transition. For example, as according to one farmer:

It’s very difficult. It also costs a lot of money. And yes, I have to pay for it all myself, based on a revenue model that’s actually insufficient. (ID-01)

Barriers at the social level included negative social pressure from other farmers in the surroundings and complaints from citizens:

Well, there was an open day, and farmers and everyone could just drop by. I thought I’d go have a look, and I signed up for it. But the farmer was so suspicious that he Googled everyone, and then he came to me. And then he called me on the phone to say that I couldn’t come, because they’re too different. … He can of course think whatever he wants about that, but I think it’s a shame that someone is already avoiding the discussion. (ID-04). My wife has had a lot of trouble because of that. On the other hand, it also hurts me that colleagues can just leave you out in the cold and judge you — not directly to your face, but you hear about it anyway. I think that’s the most important obstacle in the entire transition. The finance and the regulations, that can be adjusted. We’ve got a long way to go, but it can be done. But the social side is very difficult. (ID-03)

With regard to technological innovations, the investments that early adopters must make in learning are not reimbursed:

So, actually, I’ve had very little subsidy. A few tens of thousands of euros for a prospect involving millions, of course. … I’ve paid quite a bit of learning and development costs. … In general, I get good prices, good agreements with my customers. I’ve just done a really good job arranging things. But the costs of learning and development —that part has yet to be covered. (ID-05).

In many cases, special initiatives do not correspond to legislation developed for conventional farms. To avoid an excessive and overly complicated administrative burden, one farmer purposely kept the number of animals low, thereby remaining a ‘hobby farmer’. Most of the farmers interviewed were also concerned by the policy uncertainty surrounding the current nitrogen crisis in the Netherlands. This is making it unclear to farmers whether they will be able to remain on their farms, especially if they are located near areas with vulnerable nature (‘Natura 2000 areas’). Footnote 2

One environmental barrier mentioned is soil, which must recover from intensive use by previous farmers:

The soil here has been spoiled. Hey, we all did that. Yeah, so why do I have to pay for that, to fix what went wrong? Was there a conventional farmer here in the past? Yes, with fertilisers, pesticides and corn farming. (ID-01).

One important condition for circular farming is the supply of residual flows (e.g. for animal feed), which are often limited. Moreover, few take-back systems have been developed to date.

In addition to these barriers, the farmers mentioned drivers of the adoption of circular and nature-inclusive business models. All interviewees had taken initiatives that fit within the vision of the Netherlands Ministry of Agriculture, Nature and Food Safety concerning circular, nature-inclusive and/or regenerative agriculture. Most of them were also making use of innovative business models, different revenue streams and increased interest in local products. One important stimulus is the common awareness of the climate crisis and the need for sustainability, as well as of the need for agricultural practices to be more embedded within society. As described by one farmer:

We’re close to an urban area. Hundreds of thousands of people live here, 1.5 million or so. The connection between the city and the countryside should soon be improved. And then I’ll have a very nice spot here. We have to try to feed the city directly. So, my responsibility is to produce as much food as possible. The main difference, however, is that you have to build very clear boundaries into your system. (ID-05).

Social media and websites are often used for purposes of both information and sales. Whereas the lack of financial (or other) incentives was mentioned as a barrier, the availability of supportive funds and subsidies was mentioned as a driver. Environmental drivers are essential: soil-life recovery, increased biodiversity, discontinuing the use of pesticides and artificial fertilisers, minimising the use of other inputs and working to close nutrient cycles. One advantage these pioneers had was that there was sufficient demand for organic manure and organic feed. Many of these farmers had wide networks involving other entrepreneurs, citizens, nature organisations or other entities.

Business Level

Building blocks.

Examination of the building blocks (Table  3 ) reveals that, in most cases, added value was realised by the production of high-quality arable products and meat (from animals kept under high animal-welfare standards), renewable energy and nature conservation. Other ways to create added value included educational or recreational activities and the production of bio-based building materials. Most agricultural products were sold in the farmers’ own farm shops or local farm shops nearby. This is illustrated by the following quotations:

So, I always say, they shouldn’t come here for cheap products, but more to know where it comes from and for the taste. And yes, it’s direct [from farmer to consumer, Ed.]. This is often also the experience of people who like to come here, to hear something about how things go on a farm. And yes, actually — those are a few reasons why it adds value for consumers. (ID-02) We don’t want supermarkets; we don’t want big stores. I do indeed prefer to stick to farm shops, and to have a point of sale here at home. … What my customers like is seeing it with their own eyes, hearing the story first-hand … That makes it worthwhile for everyone. (ID-04)

In most cases, the target customers were local and critical consumers. Partners and stakeholders included other — usually organic — farmers (for the provision of calves or the exchange of grains and manure), local bakeries and retailers (for food-waste streams) and nature organisations and landowners for purposes of nature conservation. Value-creation processes included agricultural processes, as well as processes for manufacturing bio-based materials and for producing renewable energy from solar panels or wind turbines and making it available to the electricity network. The most important resources in the cases came from crowd funding and farm funding; pasture and arable land; the availability of nature reserves and forest area; and sun and wind. Most additional costs were for additional inputs. Products and services were usually delivered through existing channels. In some cases, however, farmers delivered products to local farm shops themselves or — in one case — personally collected food waste from bakeries and supermarkets. No additional take-back system or infrastructure was necessary in any of our seven cases.

Strengths and Weaknesses

A SWOT analysis is a framework for evaluating a company’s strengths, weaknesses, opportunities and threats in order to uncover possible blind spots and improve its position within the market. Given the considerable overlap between opportunities and threats in a SWOT analysis and the drivers and barriers (as mentioned in Table  2 ), we focus only on strengths and weaknesses, which are used to evaluate internal factors within a firm that contribute to its success or vulnerability. All interviewees mentioned that they were working with new, innovative business models, often with several revenue streams and selling at local markets, thereby exploiting the benefits of short supply chains and limiting the costs as much as possible:

What I also think is very important is that the farm should just produce locally, including in terms of feed and, thus, in terms of feed and straw, I'm just completely self-sufficient. All my own stuff. And I like it when it’s also, but also kind of important that it’s marketed in the region. ... It's also a strong marketing story, but, for myself, I also believe it’s just a nice model. (ID-01) All calves that are born from those dairy cows, they stay on the farm for 2½ years, so, in fact, we’re eliminating veal-calf farming. And we feed them [the calves, ed.] with our own feed that was produced on the land we take care of. And we don’t use manure from outside our farm or artificial fertilisers [...]’ (ID-07).

The revenue models are often vulnerable, however, due to small scale, which also makes it difficult to take risks and try out new things. Furthermore, the financing of innovations is a challenge, given that traditional banks are reluctant to finance unfamiliar prospects:

Financing the transition is an issue, but it’s manageable. For the extensification of land, for the stables, for barn adjustments, however, then I’m talking about large amounts. A farmer just doesn’t get approval from the bank for that, because there’s not a sufficient revenue model behind it. Those banks don’t have an Excel sheet for organic farms yet. (ID-03)

Another vulnerability we observed in one case was the farmer’s dependency on residual streams from the food industry. In addition to requiring a large amount of effort from the farmer to collect these residuals, it also caused uncertainty in terms of the availability of the residual streams.

Sustainability impact focuses on consequences for society, instead of at the business level. The consequences can be either positive or negative, and they can be felt at the social, environmental or financial level (Table 5). Positive social effects mentioned included farms becoming more embedded within society and activities in various areas of society (e.g. consultation bodies and education projects). As remarked by one farmer:

I can envision a very nice image of a broadened agriculture. The core task is thus to produce as much food as possible. But every company is responsible for making that connection with citizens, with society. And we want to realise this in a very concrete way. And the more engaged you become in what I’m doing, the more you’ll find that, the more important it will be to you. The ordinary, average farmers … think that having citizens living in the countryside is a real problem. … But it’s precisely this connection that we’re constantly seeking with those citizens. (ID-05)

Negative social impacts mentioned by the interviewees included complaints from citizens and citizens who are overprotective. New approaches raise questions, especially when those approaches involve animals:

Look, we’ve got cows walking around running in the city practically right up to the city centre. We went there three times last week, because people were constantly calling the nature organisation saying that this cow is sick and that calf is drinking. And that cow has such a huge udder and it’s not going to be okay. And that cow isn’t getting back up, and it’s really not going to be okay. You go there three times for nothing. Because, once you come, the cow walks away and the calf is at the front of the herd. That means that the cow is producing enough, and so it means that some of it is getting into the calf. (ID-06).

One positive impact of nature-inclusive agriculture is that it often contributes to an attractive landscape. In environmental terms, these strategies have a positive impact on soil and biodiversity in general, in part because few or no pesticides and artificial fertilisers are used. This helps to close nutrient cycles. In the interviews, farmers noted:

The importance of those resting crops, the importance of that grain, that field bean and the other crops — it’s thus not just for feeding the people and producing cattle feed. It’s also for preserving the soil, for the quality of the soil and for the quality of the products that come from it. (ID-02) I think we’re serving society, because if we weren’t doing this, they’d have to go into the nature reserves with machines, and that would disrupt everything. You can’t let everything grow and take over. That doesn’t work. And because our animals graze, the effects are scaled up. Flowers are coming back that haven’t grown there for years. If you walk through the nature reserve nearby, you can really smell all kinds of things. So, all kinds of things are growing here, ground ivy, water mint. (ID-06)

One negative environmental impact mentioned by some farmers concerned the transport needed when customers visit the farm shop or if farmers have to deliver local products to customers or collect food-industry residuals to feed their animals. As observed by one farmer:

People are indeed always coming to pick it up. I’ve tried to arrange it with a parcel service, but they have absolutely no clue about sending meat. … But, you could obviously pick it up yourself at an appointed time, and yes, we do drive all over the place with the van. … Yes, so, in terms of diesel consumption, I would like to do better. (ID-04).

Moreover, environmentally conscious farmers continue to use polluting products, even if they would prefer not to:

Because that’s also an issue here on the farm. We have those round bales with plastic, and we have silage with plastic. Well, I’d prefer to have as little plastic as possible, because — apart from the fact that it costs oil and energy, it also creates a huge mess, doesn’t it? (ID-07)

Positive financial consequences include lower costs for inputs:

We obviously still have to deal with a bank, which we’d like to get rid of, but that takes some time. But otherwise … a lot of input from regular companies — I actually have nothing to do with that. I don’t buy artificial fertilizer, no chemicals and no concentrates either. [...] And this system of animal husbandry with this breed of cows that we have, it actually ensures extremely low veterinary costs. (ID-07)

Negative financial consequences are related to vulnerabilities in the business models, and the difficulties that farmers face in acquiring funding for their initiatives and for the transition in general. This is despite the many benefits that these farmers perceive from these developments.

Yes, financing really is the biggest challenge. It should really be at the top of the list. It costs a fortune to make the change. How are we going to ensure that a whole group of farmers can start making that transition? ... from a few farmers doing it at their own cost or their own initiative or their own risk. Yes, to making it attractive, making it challenging to develop very seriously in that direction. And we’re still so far away from it that I don’t even know myself. But that’s something for the province and so on. And there are huge opportunities there. If you can make that happen, I’m still convinced that it could be very inexpensive for society as a whole to have healthy food from a healthy food system, with a healthy revenue model for the farmer and a beautiful landscape, with much less negative impact on the entire environment. (ID-05).

One important factor is that farmers have low costs, given the reluctance of traditional banks to finance their initiatives:

Mainstream farmers who are all up to their ears in debt with all kinds of constructions with feed suppliers and banks. And we just started doing this with our own money. We don’t have a bank breathing down our necks. What’s more, we wanted to make everything more sustainable this year with solar panels, and the bank just wouldn’t give us a red cent. (ID-06).

Towards a conceptual framework for analyzing CNABMs

The exploratory literature review (Section “Literature Review on Business Model Strategies 188 and Elements of Circular and Nature Inclusive Business Models”), the findings from the sugar-beet case (Section “Analysis of the Sugar Beet Case”) and the seven empirical cases (Section “Analysis of Seven Empirical Case Studies”) together led to the conceptual framework for analysing CNABMs, as shown in Fig.  2 . The framework has been adapted from Antikainen and Valkokari [ 16 ]. We distinguish three key elements:

The social and physical context, which includes the adoption factors (based on Lewandowksi [ 26 ] and Tura et al. [ 27 ]).

The business level, which includes the building blocks of the BMC [ 28 , 34 ], the circular building blocks [ 19 ] and the strengths and weaknesses from the SWOT analysis [ 38 , 39 , 40 ]. (The opportunities and threats identified in the SWOT analysis are not discussed at this point, as they overlap with the adoption factors in the first part of the framework.)

The sustainability-impact context, which includes the positive and negative social, environmental and financial consequences of business models [ 44 ].

(Adapted from Antikainen and Valkokari [ 16 ])

Conceptual framework for Circular and Nature-inclusive or Nature-positive Agricultural Business Models (CNABMs)

It is important to note that this framework can also be applied to other types of sustainable agriculture.

In this paper, we describe and test a conceptual framework for assisting farmers in developing their future businesses towards agricultural business models that are more circular and nature-inclusive. Proceeding from existing literature and the framework developed by Antikainen and Valkokari [ 16 ], we argue that, when identifying critical success factors for the implementation of nature-inclusive and circular agricultural business models (CNABMs) (or more sustainable business models in general), (1) it is important to consider the barriers and drivers in the social and physical contexts within which entrepreneurs involved in such business models must operate (‘adoption factors’); (2) sustainable business models should go beyond delivering economic value and include a consideration of other forms of value for a broader range of stakeholders. Moreover, attention should be paid to strengths and weaknesses of the business model; and (3) traditional business model tools (e.g. the BMC) should be extended to include elements relating to sustainability (sustainability impact).

We performed an initial test of the framework within the context of sugar-beet cultivation in the Netherlands. The results show that several business models are used simultaneously for processing sugar beets and their by-products, each with its own social and physical contexts, building blocks, strengths and weaknesses, and sustainability impact.

In the next step of the research, the conceptual framework was further tested in seven empirical case studies in arable and livestock farming. This provided additional insight in the applicability of the framework. In the following sections, we elaborate on this for the three key elements of the framework. The discussion includes a description of the most striking results.

Barriers and Drivers of CNABMs – Adoption Factors

Farmers seeking to realise circular or nature-inclusive farms — or, more generally, farmers seeking to shift to more sustainable farming methods — perceive a variety of barriers (negative adoption factors) to doing this, as well as drivers (positive adoption factors) of the process. This observation emerged from our interviews, but it has also been reported in the literature. Examples of barriers mentioned by our interviewees include restrictive legislation, dependence on short-term land-lease contracts, a lack of critical consumers who are willing to pay for sustainable products, negative social pressure from citizens and other farmers in the surroundings, uncertainty about the government’s plans concerning the nitrogen crisis and climate change, and a lack of knowledge about new sustainable farming methods. Other examples include a wide range of financial factors, like revenue models that are hardly sufficient due to small scale, the excessive investments required to realise the transition, ‘traditional’ banks that prefer not to invest in special initiatives, and restricted market access (e.g. fulfilling demands for organic farming but not being able to access the market for organic products). In the Dutch context, other authors also have identified complex and overlapping regulations and a lack of governmental support as barriers to circular farming, as well as a lack of knowledge, a lack of social support and various economic factors [ 45 , 46 , 47 , 48 , 49 , 50 ]. Uncertainty about the government’s plans concerning the nitrogen crisis and climate change is a continuing point of concern for Dutch farmers, regardless of their production methods [ 50 ]. Policy in this regard is shifting, and the accompanying uncertainty has far-reaching effects on the financial performance and business development of farms [ 49 ]. In the international context, a lack of social support, a lack of knowledge, economic factors and complex rules and regulations are also mentioned as barriers to the transition towards more sustainable farming systems, [ 51 , 52 , 53 , 54 , 55 , 56 ]

In addition to barriers, adoption factors include various drivers. Examples mentioned by the farmers in our study are: awareness of the need for sustainability, the availability of supportive funds and subsidies (albeit that some of the interviewed farmers mentioned that their initiatives were too far ahead for obtaining these subsidies), possibilities for knowledge development in the area of nature-based and circular solutions and consumer concerns about climate change and the corresponding increase of interest in local products. These kinds of drivers have also been mentioned in several other studies [ 57 , 58 , 59 ].

As also noted by many authors, the context within which farmers have to operate is important when seeking to understand their decision-making [ 45 , 58 , 60 , 61 , 62 , 63 , 64 ].

New Values and Strengths and Weaknesses of CNABMs

Circular and nature-inclusive agricultural business models (CNABMs) — or, more generally, sustainable business models — concern more than the delivery of economic value. They should also consider other forms of value for a broader range of stakeholders [ 16 , 29 , 41 , 42 , 43 , 44 ].

New values delivered by the farms addressed in this study include experiencing nature and farm life, embeddedness in the local community, cascading (the sequential use of resources that would otherwise be destroyed) and the reduction of plant-based food waste used to feed animals. These kinds of value do not receive much attention in ‘normal’ or traditional business models. They have also been mentioned in other studies about circular agriculture [ 25 , 42 , 43 , 46 , 65 ].

In the part of our conceptual framework that addresses the business level, we distinguish two elements in addition to the building blocks of the BMC: the take-back system described by Lewandowski [ 26 ] and the strengths and weaknesses identified in the SWOT analysis, as also described by Loizia [ 38 ], Srdjevic et al. [ 39 ] and Fernandes [ 40 ]. In most of the cases we examined, a take-back system was not necessary, except in one case that involved the collection of residual streams from the food industry to feed animals, which required considerable effort from the farmer involved. In the sugar-beet case, a take-back system is needed to collect and process the beet and their residuals, as well as to convert them into bio-based energy or sugar (beet), into fibres for cloth or building materials (residuals) or into beet pulp for the feed industry. According to Nygaard Uhrenholt et al. [ 66 ], product take-back systems are fundamental to the circular economy, as they focus on recovering value by taking back products to be recycled, re-manufactured or refurbished. The authors state that, in practice, such take-back systems are often included only in small/pilot-scale projects or have difficulty becoming financially viable, thereby posing an obstacle to the widespread adoption of circular economy.

The addition of strengths and weaknesses to the CNABM framework appeared to be useful because it can provide insight into the strong points of farms (e.g. proximity to villages or location in a tourist area, which makes it easier to attract consumers to the farm), as well as into their vulnerabilities (e.g. dependence on risky farm-funding methods or dependence on the availability of residuals from the food industry). These insights could help farmers and their advisors improve their ability to assess the likelihood that new farm initiatives will or will not succeed. As noted by Netshipale et al. [ 67 ], acknowledging the diversity in the strengths and weaknesses of farms is essential if land reform is to play a critical role in rural development. Moreover, insight into such strengths and weaknesses could facilitate the identification of developmental pathways for various types of farms. Within certain contexts, it could also contribute to the success of farms. This possibility is also illustrated by Radadya et al. [ 68 ] regarding access to agricultural markets. In addition, Liu et al. [ 69 ] identify the availability of land, the adaptability of energy crops and the development of the rural economy as strengths of producing bio-energy on marginal land. Weaknesses include economic viability and environmental impact, along with concerns relating to equity and gender [ 69 ].

Especially in circular business models, greater interdependence between stakeholders can play a role [ 45 , 54 , 70 ]. For example, this could be the case if more social cohesion were to emerge between farmers and consumers (strength) or if a farmer were to become dependent on residuals from the food industry (weakness).

Sustainability Impact of CNABMs

One important aspect of assessing CNABMs or sustainable business models is the need to consider their sustainability impact [ 44 , 71 , 72 , 73 ]. This is also important within the context of the circular economy [ 74 ]. For this reason, our conceptual framework for CNABMs distinguishes positive and negative social, environmental and financial consequences. These consequences can be linked to the ‘classic’ triple bottom line (TBL) sustainability concept of ‘People, Planet and Profit’. This concept was first introduced by Elkington [ 75 , 71

Examples of positive consequences of the CNABMs we studied include embeddedness in society (social impact) due to short supply chains and direct contacts between farmers and consumers; contribution to healthier soil, nature and biodiversity (environmental impact); and the realisation of a greater share from consumer prices (economic impact). Our cases also revealed negative impacts. Examples include complaints from consumers who do not understand why farm animals are kept under more natural circumstances and consumers who are concerned about farm animals being kept to close to their homes (social impact), the use of diesel, petrol and plastics and, in some cases, greater transport distances for farmers who must travel throughout the country to deliver their products or for consumers who must drive further to reach the farm shops (environmental impact) and, possibly, riskier funding for farm initiatives (financial impact).

Comparable positive and negative impacts of short supply chains based on circular economy have also been mentioned by Kiss et al. [ 74 ]. According to these authors, the positive sustainability attributes (whether actual or supposed) of short supply chains are based primarily on extensive production methods and short transport distances. From other perspectives, however, the economic and environmental sustainability of the short chains is questionable, due to their possible de-concentration, leading to smaller freights and greater distances travelled by customers. For this reason, Kiss et al. [ 74 ] state that, despite the many potential benefits short supply chains may have for sustainability, it remains important to consider that local systems cannot be automatically identified as ‘good practices’. Comparable results are mentioned by Malak-Rawlikowska et al. [ 76 ], who state that participation in short supply chains is beneficial to producers from an economic perspective, as it allows them to capture a large proportion of margin that would otherwise be absorbed by different intermediaries. On the other hand, however,’longer’ supply channels generate lower environmental impact per unit of production when measured in terms of ‘food miles’ and ‘carbon footprint’ [ 76 ]. Moreover, consumers must be willing to accept higher purchase prices for convenience and specific product attributes, and the aggregate transportation effort that is characteristic of short chains is not efficient from the perspective of environmental sustainability, especially considering that such items usually constitute only a small proportion of a customer’s overall diet.

Limitations of the Study

Despite its contributions to unravelling CNABMs (or other sustainable business models), our study is subject to a number of limitations. The conceptual framework is based on an exploratory literature review and not on a systematic literature review, as that would have exceeded the scope of this exploratory conceptual article. Moreover, our test of the framework was based on a desk study on sugar-beet cultivation and by-products, along with seven in-depth empirical case studies. While this offers an overview of the potential application of such a framework, further research is required to test and refine the framework. For example, future studies could be based on multiple workshops with farmers, farmer advisers and other stakeholders who are working together to enhance the sustainability of the agricultural sector whilst ensuring a profitable revenue model for the farmers involved.

As evidenced by the literature [ 16 , 29 , 41 , 44 ], a general conceptual framework for more sustainable business models is not unique. To the best of our knowledge, however, no conceptual framework has been described to date that can reveal critical success factors for circular and nature-inclusive agricultural business models. This paper therefore constitutes a valuable contribution to the existing literature on business models.

Conclusions

This paper presents a conceptual framework that could assist farmers, their advisers and, potentially funding organisations in identifying critical success factors for the implementation of circular and nature-inclusive business models (CNABMs). The framework was based on a synthesis of existing literature, a desk-study on sugar-beet cultivation and seven empirical case studies based on in-depth interviews with livestock and/ or arable farmers who produced in a circular and/ or nature-inclusive way.

As demonstrated by the results of our study, the conceptual framework is useful for identifying critical success factors for the implementation of combined circular and nature-inclusive or other sustainable business models in a qualitative way. The framework enables the identification of barriers to and drivers of CNABMs (adoption factors), as well as the building blocks required to cover the financial side of the business model. Furthermore, it allows for the identification of the strengths and — especially — weaknesses of the models, thereby revealing their vulnerabilities. The framework also makes it possible to highlight the possible positive and negative financial, environmental, and social consequences of specific business models (sustainability impact). The approach is likely to be beneficial to policymakers and business advisers by providing insight into the capabilities of companies in a clear and structured manner.

The paper illustrates that the identification of critical success factors for the implementation of circular, nature-inclusive and other sustainable agricultural business models requires considering both the positive and negative impacts of these models.

Data availability

A data availability statement is not applicable for this paper. We cannot share the data.

For reasons of anonymity, we cannot specify these farms any further.

Natura 2000 is a European network of protected natural areas. In these Natura 2000 areas, certain animals, plants and their natural habitats are protected to preserve biodiversity (species diversity).

Arora NK (2018) Agricultural and food security. Environ Sustain 1:217–219. https://doi.org/10.1007/s42398-018-00032-2

Article   Google Scholar  

Fresco LO, Geerling-Eiff F, Hoes AC, Van Wassenaer L, Poppe KJ, Van der Vorst JGAJ (2021) Sustainable food systems: do agricultural economists have a role? Eur Rev Agric Econ jbab026. https://doi.org/10.1093/erae/jbab026

Ritchie H, Roser M (2020). Environmental impacts of food production. Published online at OurWorldInData.org. Retrieved September 2023 from  https://ourworldindata.org/environmental-impacts-of-food

Hollander A, Temme EHM, Zijp M (2016). The environmental sustainability of the Dutch diet. Background report to ‘What is on our plate? Safe, healthy and sustainable diets in the Netherlands. RIVM Report 2016–0198. https://doi.org/10.13140/RG.2.2.23632.92162

LNV (2018) Agriculture, nature and food: valuable and connected. Dutch ministry of Agriculture, Nature and Food Quality, Den Haag. Retrieved March 2019 from  https://www.government.nl/ministries/ministry-of-agriculture-nature-and-food-quality/documents/policy-notes/2018/11/19/vision-ministry-of-agriculture-nature-and-food-quality---english

Transitie-agenda Circulaire Economie (2018) Biomassa & Voedsel - Food for Thought. Ministerie van infrastructuur en waterstaat. pdf (overheid.nl). Retrieved September 2022

Runhaar H (2017) Governing the transition towards ‘nature-inclusive’ agriculture: insights from the Netherlands. Int J Agric Sustain 15(4):340–349. https://doi.org/10.1080/14735903.2017.1312096

Church R, Walsh M, Engel K, Vaupel M (2022). A biodiversity guide for business. Umweltstiftung WWF-Deutschland. wwf___a_biodiversity_guide_for_business___final_for_distribution_23052022.pdf (panda.org). Retrieved August 2024

World Economic Forum (2023) Nature Positive: Role of the cement and concrete sector, insight report. In collaboration with Oliver Wyman. WEF_Nature_Positive_Role_of_the_Cement_and_Concrete_Sector_2023.pdf (weforum.org). Retrieved August 2024

European Commission (2023) European business & nature summit 2023. Biodiversity: Businesses pledge to protect nature at Milan summit - European Commission (europa.eu). Retrieved August 2024

Termeer K (2019) Het bewerkstelligen van een transitie naar kringlooplandbouw. Briefing transitie naar kringlooplandbouw. Notitie opgesteld op verzoek van de Tweede Kamer Commissie LNV. Wageningen University & Research, Wageningen. Retrieved March 2020 from  https://www.wur.nl/en/show/Termeer-C.J.A.M.-2019-Expertpaper-over-het-bewerkstelligen-van-een-transitie-naar-kringlooplandbouw.htm

Taskforce “Verdienvermogen Kringlooplandbouw” chair Maij H (2019) Goed boeren kunnen boeren niet alleen. Opdrachtgever: ministerie van LNV. Goed+boeren+kunnen+boeren+niet+alleen.pdf. Retrieved September 2022

European Commission (2018) Directorate-General for Research and Innovation, A sustainable bioeconomy for Europe: Strengthening the connection between economy, society and the environment: Updated bioeconomy strategy. European Commission. https://data.europa.eu/doi/10.2777/792130

Bröring S, Vanacker A (2022) Designing Business Models for the Bioeconomy: What are the major challenges? EFB Bioeconomy Journal 2:100032. https://doi.org/10.1016/j.bioeco.2022.100032

Donner M, De Vries H (2021) How to innovate business models for a circular bio-economy? Bus Strateg Environ 30(4):1932–1947. https://doi.org/10.1002/bse.2725

Antikainen M, Valkokari K (2016) A framework for sustainable circular business model innovation. Technol Innovation Manag Rev 6(7):5–12. http://timreview.ca/article/1000

Snyder H (2019) Literature review as a research methodology: An overview and guidelines. J Bus Res 104:333–339. https://doi.org/10.1016/j.jbusres.2019.07.039

Smit AB, Janssens SRM (2016) Reststromen suikerketen (Residual flows sugar supply chain). Factsheet, LEI Wageningen UR, Wageningen. Retrieved September 2022 from  https://edepot.wur.nl/368098

Gielen P (2021) Suiker als ideale biogrondstof voor chemie. Agro&Chemie, 8 april 2021. https://www.agro-chemie.nl/artikelen/suiker-als-ideale-biogrondstof-voor-chemie/ . assessed 21 December 2021. https://edepot.wur.nl/357823

Fylan F (2005) Semi-structured interviewing. A handbook of research methods for clinical and health psychology 5(2):65–78

Google Scholar  

Holloway I, Wheeler S (2010) Qualitative Research in Nursing and Health Care, 3rd edn. Wiley-Blackwell, Chichester, Ames, Iowa

Gill P, Stewart K, Treasure E, Chadwick B (2008) Methods of data collection in qualitative research: interviews and focus groups. Br Dent J 204(6):291–295. https://doi.org/10.1038/bdj.2008.192

Article   CAS   Google Scholar  

Etikan I, Musa SA, Alkassim RS (2016) Comparison of convenience sampling and purposive sampling. Am J Theor Appl Stat 5(1):1–4

Patton MQ (2002) Qualitative research and evaluation methods, 3rd edn. Sage, Thousand Oaks, CA

Hoes AC, Slegers M, Savelkouls C, Beldman A, Lakner D, Puister-Jansen L (2020) Toekomstige Voedselproductie: Een Portret van Pionierende Boeren die Bijdragen aan Kringlooplandbouw in Nederland (Future Food Production: A Portrait of Pioneering Farmers who Contribute to Circular Agriculture in the Netherlands); Wageningen Economic Research: Wageningen, The Netherlands, 2020. Retrieved September 2020 from  https://edepot.wur.nl/519070

Lewandowski M (2016) Designing the business models for circular economy – towards the conceptual framework. Sustainability 8:43. https://doi.org/10.3390/su8010043

Tura N, Hanski J, Ahola T, SthåS M, Piiparinen S, Valkokari P (2019) Unlocking circular business: a framework of barriers and drivers. J Clean Prod 212(1):90–98. https://doi.org/10.1016/j.jclepro.2018.11.202

Lüdeke-Freund F, Gold S, Bocken NMP (2019) A review and typology of circular economy business model patterns. J Ind Ecol 23(1):36–61. https://doi.org/10.1111/jiec.12763

Bocken NMP, Short S, Rana P, Evans S (2013) A value mapping tool for sustainable modelling. Corp Gov 13(5):482–497. https://doi.org/10.1108/CG-06-2013-0078

Lüdeke-Freund F, Carroux S, Joyce A, Massa L, Breuer H (2018) The sustainable business model pattern taxonomy – 45 patterns to support sustainability-oriented business model innovation. Sustainable production and consumption 15:145–162. https://doi.org/10.1016/j.spc.2018.06.004

Kishna M, Rood T, Prins AG (2019) Achtergrondrapport bij circulaire economie in kaart. Planbureau voor de Leefomgeving, Den Haag (PBL), publicatienummer 3403, Den Haag. Retrieved September 2022 from  https://www.pbl.nl/sites/default/files/downloads/pbl-2019-achtergrondrapport-bij-circulaire-economie-in-kaart-3403_1.pdf

Lacy P, Keeble J, McNamara R (2014) Circular advantage. Innovative business models and technologies to create value in a world without limits to growth. Accenture Strategy. https://www.accenture.com/t20150523t053139__w__/us-en/_acnmedia/accenture/conversion-assets/dotcom/documents/global/pdf/strategy_6/accenture-circular-advantage-innovative-business-models-technologies-value-growth.pdf

Jonker J, Faber N (2021) Business model archetypes. Organizing for sustainability. Palgrave Macmillan, Cham, pp 75–90. https://doi.org/10.1007/978-3-030-78157-6_6

Osterwalder A, Pigneur Y (2010) Business Model Generation: A Handbook for Visionaries, Game Changers, and Challengers. Wiley, New Jersey

Aguilar FJ (1967) Scanning the business environment. Macmillan, New York

Nandonde FA (2019) A PESTLE analysis of international retailing in the East African Community. Glob Bus Organ Excell 38(4):54–61. https://doi.org/10.1002/JOE.21935.ISSN1932-2054.WikidataQ98854703

Gillespie A (2016) Foundations of Economics.  OUP Catalogue . (I used Gilsing R, Turetken O, Grefen P, Ozkan B, Adali, O E (2022) Business Model Evaluation: A Systematic Review of Methods. Pacific Asia Journal of the Association for Information Systems, 14(4), 2. Retrieved September 2022 from  http://www.castore.ca/Information/Attachments/PESTEL%20analysis%20-%20Gillespie.pdf )

Loizia P, Voukkali I, Zorpas AA, Pedreno JN, Chatziparaskeva G, Inglezakis VJ, Vardopoulos I, Doula M (2021) Measuring the level of environmental performance in insular areas, through key performed indicators, in the framework of waste strategy development. Sci Total Environ 753:141974. https://doi.org/10.1016/j.scitotenv.2020.141974

Srdjevic Z, Bajcetic R, Srdjevic B (2012) Identifying the criteria set for multicriteria decision making based on SWOT/PESTLE analysis: a case study of reconstructing a water intake structure. Water Resour Manage 26(12):3379–3393. https://doi.org/10.1007/s11269-012-0077-2

Fernandes JP (2019) Developing viable, adjustable strategies for planning and management—A methodological approach. Land Use Policy 82:563–572. https://doi.org/10.1016/j.landusepol.2018.12.044

Hatvani N, van den Oever MJA, Mateffy K, Koos A (2022) Bio-based Business Models: specific and general learnings from recent good practice cases in different business sectors. Bio-based and Applied Economics. https://doi.org/10.36253/bae-10820

Barth H, Ulvenblad PO, Ulvenblad P (2017) Towards a conceptual framework of sustainable business model innovation in the agri-food sector: a systematic literature review. Sustainability 9(9):1620. https://doi.org/10.3390/su9091620

Bocken N (2019) Sustainable Business Models. In: Leal Filho W, Azeiteiro U, Azul AM, Brandli L, Özuyar P, Wall T (eds) Decent Work and Economic Growth. Encyclopedia of the UN Sustainable Development Goals. Springer, Cham Book accessible at: Retrieved August 2024 from  https://www.springer.com/us/book/9783319958668#aboutBook

Joyce A, Paquin RL (2016) The triple layered business model canvas: a tool to design more sustainable business models. J Clean Prod 135:1474–1486. https://doi.org/10.1016/j.jclepro.2016.06.067

De Lauwere C, Slegers M, Meeusen M (2022) The influence of behavioural factors and external conditions on Dutch farmers’ decision making in the transition towards circular agriculture. Land Use Policy 120:106253. https://doi.org/10.1016/j.landusepol.2022.106253

Dagevos H, De Lauwere C (2021) Circular business models and circular agriculture: perceptions and practices of Dutch farmers. Sustainability 13:1282. https://doi.org/10.3390/su13031282

Vermunt DA, Wojtynia N, Hekkert MP, Van Dijk J, Verburg R, Verweij PA, Wassen M (January 2022) Runhaar H (2022) Five mechanisms blocking the transition towards ‘nature inclusive’ agriculture: A systematic analysis of Dutch dairy farming. Agric Syst 195:103280

Yanore L, Sok J, Oude Lansink A (2024) Farmers’ perceptions of obstacles to business development. EuroChoices 23(1):56–62. https://doi.org/10.1111/1746-692X.12420

Yanore L (2023) Exploring the Decision Making of Dutch Dairy Farmers Under Policy Uncertainty. PhD thesis Wageningen University. 31 October 2023 https://doi.org/10.18174/637537

Stokstad E (2019) Nitrogen crisis threatens Dutch environment and – economy. Science 366:1180–1181. https://doi.org/10.1126/science.366.6470.1180

Läpple D, Kelley H (2013) Understanding the uptake of organic farming: accounting for heterogeneities among Irish farmers. Ecol Econ 88:11–19. https://doi.org/10.1016/j.ecolecon.2012.12.025

Siebrecht N (2020) Sustainable agriculture and its implementation gap – overcoming obstacles to implementation. Sustainability 12(9):3853. https://doi.org/10.3390/su12093853

Rodriguez JM, Molnar JJ, Fazio RA, Sydnor E, Lowe MJ (2009) Barriers to the adoption of sustainable agriculture practices: Change agent perspectives. Renewable Agric Food Syst 24(1):60–71. https://doi.org/10.1017/S1742170508002421

Laurett R, Paco A, Mainardes EW (2021) Barriers to sustainable development in agriculture. In: Leal Filho w, AzeiteiroUM, Setti AFF (eds) Sustainability in Natural Resources Management and Land Planning. World Sustainability Series. Springer, Cham Book accessible at: https://doi.org/10.1007/978-3-030-76624-5_9

Barbosa Junior M, Pinheiro E, Sokulski CC, De Francisco HDAR, AC (2022) How to identify barriers to the adoption of sustainable agriculture? A study based on a multi-criteria model. Sustainability 14:13277. https://doi.org/10.3390/su142013277

Hansson AM, Pedersen E, Karlsson PE, Weisner SEB (2023) Barriers and drivers for sustainable business model innovation based on radical farmland change scenario. Environ Dev Sustain 25:8083–8106. https://doi.org/10.1007/s10668-022-02389-1

De Boer IJM, De Olde EM (2020) Re-rooting the Dutch food system: From more to better. Geraadpleegd januari 2023, van. Retrieved January 2023 from  https://www.wur.nl/en/show-longread/re-rooting-the-dutch-food-system-from-more-to-better.htm

Donner M, Verniquet A, Broeze J, Kayser K, De Vries H (2021) Critical success and risk factors for circular business models valorising agricultural waste and by-products. Resour Conserv Recycl 165:105236. https://doi.org/10.1016/j.resconrec.2020.105236

Mohseni S, Baghizadeh K, Pahl J (2022) Evaluating barriers and drivers to sustainable food supply chains. Mathematical problems in Engineering, Article ID 4486132. https://doi.org/10.1155/2022/4486132

Wilson C, Dowlatabadi H (2007) Models of Decision Making and Residential Energy Use. Annu Rev Environ Resour 32:169–203. https://doi.org/10.1146/annurev.energy.32.053006.141137

Ellis-Iversen J, Cook AJC, Watson E, Nielen M, Larkin L, Wooldridge M, Hogeveen H (2010) Perceptions, circumstances and motivators that influence implementation of zoonotic control programs on cattle farms. Prev Vet Med 93:276–285. https://doi.org/10.1016/j.prevetmed.2009.11.005

Niedderer K, Cain R, Clune S, Lockton D, Ludden G, Mackrill J, Morris A (2014) Creating Sustainable Innovation through Design for Behaviour Change. Full Project Report. Retrieved September 2020 from  https://www.researchgate.net/profile/Kristina_Niedderer/publication/271702914_Creating_Sustainable_Innovation_through_Design_for_Behaviour_Change_Full_Report/links/54cf98700cf298d656646e6c/Creating-Sustainable-Innovation-through-Design-for-Behaviour-Change-Full-Report.pdf?origin=publication_detail

Meijer SS, Catacutan D, Ajayi OC, Sileshi GW, Nieuwenhuis M (2015) The role of knowledge, attitudes and perceptions in the uptake of agricultural and agroforestry innovations among smallholder farmers in sub-Saharan Africa. Int J Agric Sustain 13(1):40–54. https://doi.org/10.1080/14735903.2014.912493

Hansson H, Sok J (2021) Perceived obstacles for business development: Construct development and the impact of farmers’ personal values and personality profile in the Swedish agricultural context. J Rural Stud 91(2021):17–26. https://doi.org/10.1016/j.jrurstud.2020.12.004

Kremen C, Merenlender AM (2018) Landscapes that work for biodiversity and people. In: Science, 19 Oct 2018. Vol 362, Issue 6412. https://doi.org/10.1126/science.aau6020

Nygaard Uhrenholt J, Kristensen J, Rincon C, Vejrum Waehrens B (2022) Circular economy: factors affecting the financial performance of product take-back systems. J Clean Prod 335(2):130319. https://doi.org/10.1016/j.jclepro.2021.130319

Netshipale AJ, Mashiliane ML, Raidimi EN, De Boer IJM (2023) Oosting SJ (2023) Analysis of strength en weaknesses of land reform of diverse farmers and uses in the Waterberg District, South Africa. Social Sciences & Humanities open 7(1):100482. https://doi.org/10.1016/j.ssaho.2023.100482

Radadiya BL, Shukla P (2019) Strength, Weakness, Opportunity and Challenges in Agriculture Markets. Asian J Agric Ext Econ Sociol 33(2), 1–7, Article no.AJAEES.49460. https://doi.org/10.9734/ajaees/2019/v33i230172

Liu TT, McConkey BG, Ma ZY, Liu ZG, Li X, Cheng LL (2011) Strengths, Weaknessness, Opportunities and Threats Analysis of Bioenergy Production on Marginal Land, 2011. Energy Procedia 5:2378–2386. https://doi.org/10.1016/j.egypro.2011.03.409

Van Eijk F (2015) Barriers and drivers towards a circular economy. Literature review A-140315-R-Final. Acceleratio. Microsoft Word - Barriers & drivers towards a circular economy final report A-140315-R-Final.docx (europa.eu). Retrieved September 2022

Salome Correia M (2019) Sustainability: An overview of the Triple Bottom Line and Sustainability Implementation. Int J Strateg Eng (IJoSE) 2(1). https://doi.org/10.4018/IJoSE.2019010103

Ndambi A, Pishgar Komleh H, Van der Lee J (2020) An overview and analysis of integral tools to monitor people, planet and profit sustainability dimensions of dairy development in East Africa. Wageningen Livestock Research. Report number: 1277. https://doi.org/10.18174/533370

Martins Pereira TH, Cordeiro Martins H (2021) People, Planet, and profit: A Bibliometric Analysis of Triple Bottom Line Theory. J Manag Sustain 11(1):64. https://doi.org/10.5539/jms.v11n1p64

Kiss K, Ruszkai C, Takács-György L (2019) Examination of Short Supply Chains Based on Circular Economy and Sustainability Aspects. Resources 8(4):161. https://doi.org/10.3390/resources8040161

Elkington J (1998) Accounting for the Triple Bottom Line. Meas Bus Excell 2(3):18–22. https://doi.org/10.1108/eb025539

Malak Rawlikowska A, Majewski E, Was A, Borgen SO (2019) Measuring the Economic, Environmental, and Social Sustainability of Short Food Supply Chains. Sustainability 11(15):4004. https://doi.org/10.3390/su11154004

Short SW, Bocken NMP, Rana P (2012) Business model innovation for embedding sustainability: a practice-based approach introducing business model archetypes. Proceedings of the 10th global conference on sustainable manufacturing (GCSM): Towards implementing sustainable manufacturing, October 31st – November 2nd, Istanbul, Turkey. 10th Global Conference on Sustainable Manufacturing.

Download references

Acknowledgements

We would like to thank all the farmers who participated in this research by giving an interview. We would also like to thank our colleague Marieke Meeusen for her useful comments on earlier drafts of this paper.

This research is part of the KB programme ‘Towards a circular and climate neutral society’ funded by the Dutch Ministry of Agriculture, Nature and Food Quality and carried out by Wageningen University and Research.

Author information

Authors and affiliations.

Wageningen Economic Research, Wageningen University & Research, Wageningen, Netherlands

Carolien de Lauwere, Marie-Jose Smits, Marijke Dijkshoorn-Dekker, Amber Kuipers-ten Brummelhuis & Nico Polman

You can also search for this author in PubMed   Google Scholar

Contributions

Conceptualisation, methodology: Carolien de Lauwere, Marijke Dijkshoorn-Dekker, Nico Polman; Analysis: Carolien de Lauwere, Marie-Jose Smits, Amber Kuipers-ten Brummelhuis; Interviews: Carolien de Lauwere, Marie-Jose Smits, Amber Kuipers-ten Brummelhuis, Marijke Dijkshoorn-Dekker; Writing – original draft preparation: Carolien de Lauwere, Marie-Jose Smits, Amber Kuipers-ten Brummelhuis; Writing – review and editing, revised paper: Carolien de Lauwere, Nico Polman, Marie-Jose Smits.

Corresponding author

Correspondence to Carolien de Lauwere .

Ethics declarations

Ethics approval.

Not applicable.

Consent for Publication

Informed consent was obtained from all individual participants included in the study.

Competing Interests

The authors declare no competing interests.

Appendix I: Types of circular business strategies and how they can be applied in circular and nature-inclusive agricultural business models

Appendix II. Business strategies and building blocks for sugar-beet cultivation in the Netherlands

Rights and permissions

Open Access This article is licensed under a Creative Commons Attribution 4.0 International License, which permits use, sharing, adaptation, distribution and reproduction in any medium or format, as long as you give appropriate credit to the original author(s) and the source, provide a link to the Creative Commons licence, and indicate if changes were made. The images or other third party material in this article are included in the article's Creative Commons licence, unless indicated otherwise in a credit line to the material. If material is not included in the article's Creative Commons licence and your intended use is not permitted by statutory regulation or exceeds the permitted use, you will need to obtain permission directly from the copyright holder. To view a copy of this licence, visit http://creativecommons.org/licenses/by/4.0/ .

Reprints and permissions

About this article

de Lauwere, C., Smits, MJ., Dijkshoorn-Dekker, M. et al. Understanding Circular and Nature-Inclusive Agricultural Business Models. Circ.Econ.Sust. (2024). https://doi.org/10.1007/s43615-024-00433-y

Download citation

Received : 23 February 2024

Accepted : 30 August 2024

Published : 23 September 2024

DOI : https://doi.org/10.1007/s43615-024-00433-y

Share this article

Anyone you share the following link with will be able to read this content:

Sorry, a shareable link is not currently available for this article.

Provided by the Springer Nature SharedIt content-sharing initiative

• Sustainable business models
• Nature-inclusive or nature-positive and circular agriculture
• Conceptual framework
• Critical success factors
• Find a journal
• Publish with us
• Track your research