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

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

Research question

• Conceptual framework
• Conceptual vs. theoretical framework

Data collection

• Qualitative research methods
• Focus groups
• Observational research

What is a case study?

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

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

Case studies

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

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

Definition of a case study

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

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

Characteristics of case studies

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

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

The role of case studies in research

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

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

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

What is the purpose of a case study?

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

Why use case studies in qualitative research?

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

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

The explanatory, exploratory, and descriptive roles of case studies

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

The impact of case studies on knowledge development

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

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

Types of case studies

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

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

Exploratory case studies

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

Descriptive case studies

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

Explanatory case studies

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

Intrinsic, instrumental, and collective case studies

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

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

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

Critical information systems research

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

Health research

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

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

Asthma research studies

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

Other fields

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

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

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

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

Propositions

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

Units of analysis

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

Argumentation

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

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

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

Defining the research question

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

Selecting and defining the case

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

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

Developing a detailed case study protocol

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

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

Collecting data

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

Analyzing and interpreting data

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

Writing the case study report

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

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

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

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

Observations

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

Documents and artifacts

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

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

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

Ensuring the quality of data collection

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

Data analysis

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

Organizing the data

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

Categorizing and coding the data

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

Identifying patterns and themes

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

Interpreting the data

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

Verification of the data

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

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

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

Benefits include the following:

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

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

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

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

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

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

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

Research bias

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

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Research Methodologies for the Creative Arts & Humanities: Case studies

Case studies.

Definitions:

“A research method that engages in the close, detailed examination of a single example or phenomenon.  ...Case studies are often published by ethnographers, participant observers and historical researchers. The study of ‘classic’ cases plays a central role in  training in some fields, especially anthropology, law and psychoanalysis.” See Calhoun, C. J. (2002). Dictionary of the social sciences. New York: Oxford University Press

“A detailed analysis of a person or group from a social psychological, or  medical point of view" See Bali, R. K. (Ed.). (2005). Clinical knowledge management: opportunities and challenges . IGI Global

• Peace, M. A case study of the 2007 Kangaroo Island bushfires (2012)
• Singh, G. Ethnic conflict in India (2000)
• Werthmann, C. Green roof (2007)

ECU Library Resources - Case Studies

• The art & craft of case writing
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• Case study research: theory, methods, practice
• Case study research : design and methods
• Fast fundamentals: case study research methods
• Qualitative research through case studies

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Home » Case Study – Methods, Examples and Guide

Case Study – Methods, Examples and Guide

Table of Contents

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

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

Types of Case Study

Types and Methods of Case Study are as follows:

Single-Case Study

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

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

Multiple-Case Study

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

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

Exploratory Case Study

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

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

Descriptive Case Study

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

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

Instrumental Case Study

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

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

Case Study Data Collection Methods

Here are some common data collection methods for case studies:

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

Observations

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

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

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

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

How to conduct Case Study Research

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

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

Examples of Case Study

Here are some examples of case study research:

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

Application of Case Study

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

Business and Management

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

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

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

Social Sciences

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

Law and Ethics

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

Purpose of Case Study

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

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

Case studies can also serve other purposes, including:

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

Advantages of Case Study Research

There are several advantages of case study research, including:

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

Limitations of Case Study Research

There are several limitations of case study research, including:

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

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Lombardy Sculpture in the 12th Century

Introduction.

To better understand a work of art, a researcher needs information not only about the work of art and the artist, but also the context in which the work of art was created. You may need information on the culture, religion, the place, the political situation, history, etc.

• He already has the information he needs on the artist and the sculpture itself.
• He needs to obtain background information about Lombardy in the 12th century, such as its culture, religion, political situation, and sculpture at that time.

The Reference Department researched this question and compiled a bibliography of journal articles, books, and encyclopedia articles for this student. Highlighted below are key resources we used to gather this information.

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• It pulls together the key resources to find journal articles, books and background information on art topics.
• You will find that tracking down information on this particular topic involves trying out a variety of databases. In some you will find many useful sources; in others just one or two.
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Background Information

• Oxford Art Online This link opens in a new window Oxford Art Online, an online art encyclopedia, is a great place to find information on artists, art movements, individual art works and places. Many articles include illustrations and Oxford Art Online also provides access to separate image collections. more... less... 5 concurrent users at a time
• Dictionary of the Middle Ages Call Number: REF D114 .D5 1982 Volume 7 has articles on Lombard Art, Lombard League, Lombards, and Kingdom of Lombards

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ITER: Gateway to the Middle Ages and the Renaissance

• The  ITER  bibliography covers scholarship pertaining to the Middle Ages and Renaissance (400AD to 1700AD). It provides citations to articles in 1,026 journals, published from 1842 to the present, and to books and conference proceedings.
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The examples above were chosen because of the particular research topic, Lombardy, Italy in the twelfth century. However should the original request been even slightly different, for example Lombardy in the 16th century, a different mix of resources may have proven to be helpful in finding information to place a particular art work in its historical and cultural context.

• Academic OneFile This link opens in a new window Contains scholarly journals, popular interest magazines and reference sources. Multidisciplinary coverage, including arts, humanities, sciences and technology. Provides full text coverage to the New York Times from 1985 to the present.
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Case Study | Definition, Examples & Methods

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

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

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

Table of contents

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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

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This chapter reviews the strengths and limitations of case study as a research method in social sciences. It provides an account of an evidence base to justify why a case study is best suitable for some research questions and why not for some other research questions. Case study designing around the research context, defining the structure and modality, conducting the study, collecting the data through triangulation mode, analysing the data, and interpreting the data and theory building at the end give a holistic view of it. In addition, the chapter also focuses on the types of case study and when and where to use case study as a research method in social science research.

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Channaveer, R.M., Baikady, R. (2022). Case Study. In: Islam, M.R., Khan, N.A., Baikady, R. (eds) Principles of Social Research Methodology. Springer, Singapore. https://doi.org/10.1007/978-981-19-5441-2_21

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AB - Unique in his approach and style, Robert E. Stake draws from naturalistic, holistic, ethnographic, phenomenological, and biographic methods to present a disciplined, qualitative exploration of case study methods. In his exploration, Stake uses and annotates an actual case, at Harper School, to demonstrate to readers how to resolve some of the major issues of case study research; for example, how to select the case (or cases) that will maximize learning, how to generalize what is learned from one case to another, and how to interpret what is learned from a case. Uniquely, this book legitimizes direct interpretation as a case research method. It covers such topics as the differences between quantitative and qualitative approaches to case study; data gathering, including document review; coding, sorting, and pattern analysis; the roles of the researcher, triangulation; and reporting a case study.

UR - http://www.worldcat.org/oclc/31865831

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The case study creation process

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case study , detailed description and assessment of a specific situation in the real world created for the purpose of deriving generalizations and other insights from it. A case study can be about an individual, a group of people, an organization, or an event, among other subjects.

By focusing on a specific subject in its natural setting, a case study can help improve understanding of the broader features and processes at work. Case studies are a research method used in multiple fields, including business, criminology , education , medicine and other forms of health care, anthropology , political science , psychology , and social work . Data in case studies can be both qualitative and quantitative. Unlike experiments, where researchers control and manipulate situations, case studies are considered to be “naturalistic” because subjects are studied in their natural context . ( See also natural experiment .)

The creation of a case study typically involves the following steps:

• The research question to be studied is defined, informed by existing literature and previous research. Researchers should clearly define the scope of the case, and they should compile a list of evidence to be collected as well as identify the nature of insights that they expect to gain from the case study.
• Once the case is identified, the research team is given access to the individual, organization, or situation being studied. Individuals are informed of risks associated with participation and must provide their consent , which may involve signing confidentiality or anonymity agreements.
• Researchers then collect evidence using multiple methods, which may include qualitative techniques, such as interviews, focus groups , and direct observations, as well as quantitative methods, such as surveys, questionnaires, and data audits. The collection procedures need to be well defined to ensure the relevance and accuracy of the evidence.
• The collected evidence is analyzed to come up with insights. Each data source must be reviewed carefully by itself and in the larger context of the case study so as to ensure continued relevance. At the same time, care must be taken not to force the analysis to fit (potentially preconceived) conclusions. While the eventual case study may serve as the basis for generalizations, these generalizations must be made cautiously to ensure that specific nuances are not lost in the averages.
• Finally, the case study is packaged for larger groups and publication. At this stage some information may be withheld, as in business case studies, to allow readers to draw their own conclusions. In scientific fields, the completed case study needs to be a coherent whole, with all findings and statistical relationships clearly documented.

Case studies have been used as a research method across multiple fields. They are particularly popular in the fields of law, business, and employee training; they typically focus on a problem that an individual or organization is facing. The situation is presented in considerable detail, often with supporting data, to discussion participants, who are asked to make recommendations that will solve the stated problem. The business case study as a method of instruction was made popular in the 1920s by instructors at Harvard Business School who adapted an approach used at Harvard Law School in which real-world cases were used in classroom discussions. Other business and law schools started compiling case studies as teaching aids for students. In a business school case study, students are not provided with the complete list of facts pertaining to the topic and are thus forced to discuss and compare their perspectives with those of their peers to recommend solutions.

In criminology , case studies typically focus on the lives of an individual or a group of individuals. These studies can provide particularly valuable insight into the personalities and motives of individual criminals, but they may suffer from a lack of objectivity on the part of the researchers (typically because of the researchers’ biases when working with people with a criminal history), and their findings may be difficult to generalize.

In sociology , the case-study method was developed by Frédéric Le Play in France during the 19th century. This approach involves a field worker staying with a family for a period of time, gathering data on the family members’ attitudes and interactions and on their income, expenditures, and physical possessions. Similar approaches have been used in anthropology . Such studies can sometimes continue for many years.

Case studies provide insight into situations that involve a specific entity or set of circumstances. They can be beneficial in helping to explain the causal relationships between quantitative indicators in a field of study, such as what drives a company’s market share. By introducing real-world examples, they also plunge the reader into an actual, concrete situation and make the concepts real rather than theoretical. They also help people study rare situations that they might not otherwise experience.

Because case studies are in a “naturalistic” environment , they are limited in terms of research design: researchers lack control over what they are studying, which means that the results often cannot be reproduced. Also, care must be taken to stay within the bounds of the research question on which the case study is focusing. Other limitations to case studies revolve around the data collected. It may be difficult, for instance, for researchers to organize the large volume of data that can emerge from the study, and their analysis of the data must be carefully thought through to produce scientifically valid insights. The research methodology used to generate these insights is as important as the insights themselves, for the latter need to be seen in the proper context. Taken out of context, they may lead to erroneous conclusions. Like all scientific studies, case studies need to be approached objectively; personal bias or opinion may skew the research methods as well as the results. ( See also confirmation bias .)

Business case studies in particular have been criticized for approaching a problem or situation from a narrow perspective. Students are expected to come up with solutions for a problem based on the data provided. However, in real life, the situation is typically reversed: business managers face a problem and must then look for data to help them solve it.

Controversial Art Criticisms: In-Depth Case Studies

Like a bee to the flower, art draws you in. But not all art is created equally, and it’s often a battlefield between critics and artists.

This article will delve into case studies of controversial art criticisms throughout history. You’ll discover how pieces once rejected or dismissed, like Donatello’s ‘David’ or Vermeer’s ‘Girl with a Pearl Earring’, later became celebrated masterpieces.

We’ll also explore the scandalous side of artworks that pushed societal norms and caused outrage, such as Duchamp’s ‘Fountain,’ Picasso’s ‘Les Demoiselles d’Avignon,’ and Manet’s ‘Olympia.’

Despite their initial reception, these controversial pieces have shaped the world of art as we know it today. So buckle up; we’re about to embark on an eye-opening journey through some of history’s most fiercely debated artworks!

Above image: Marcel Duchamp – Fontaine, exemplary 2 – Tate Modern / Romainbehar / via Wikimedia Commons / Public Domain

Significance of Controversial Art

Have you ever thought about how some of the most impactful works in art history, like Donatello’s ‘David’ or Vermeer’s ‘Girl with a Pearl Earring,’ were once considered scandalous, creating a whirlwind of controversy? It’s true! Now seen as masterpieces, these pieces were initially met with harsh criticisms.

Consider Monet’s ‘Impression: Sunrise.’ It was laughed at and rejected by the Paris Salon. Its title even sparked mockery from critics who coined the term ‘impressionist’ as an insult! Yet today, it’s one of the greatest masterpieces of the century.

Art controversies are not just historical footnotes; they’re integral to understanding how these works challenged societal norms and pushed boundaries, leading to new artistic movements and changing our perception of what art could be.

Reaction to Rejected Art

It’s fascinating to delve into the world of art that was initially rejected yet later hailed as revolutionary and groundbreaking. Imagine the shock when Vermeer’s ‘Girl with a Pearl Earring’ was first dismissed as mundane! Now, it’s celebrated as a masterpiece.

Picture the scoffs at Monet’s ‘Impression: Sunrise,’ only for it to inspire an entire artistic movement. And who could forget Duchamp’s ‘Fountain’? A urinal labeled as art certainly caused outrage, but today, we recognize its significance in challenging our definitions of art.

These controversial pieces remind us that art isn’t just about aesthetics or pleasing patrons; it’s about pushing boundaries, evoking strong reactions, and often, causing a stir. So next time you stumble upon controversial artwork, remember – today’s scorn can become tomorrow’s praise!

Controversial Art Categories

You’ll find that controversial art can be grouped into several distinct categories, each with its unique ways of sparking debate and challenging societal norms.

For instance, did you know that 73% of people reported feeling angry or offended by at least one piece of modern art in their lifetime? This goes to show the profound emotional impact such works can have!

Some art pieces are controversial because they lack artistic merit or challenge viewers’ expectations. Others make bold political statements that stir up controversy. The definition of ‘good’ art is subjective and often leads to intense debates.

Remember that the value of an artwork isn’t just about its price tag; it’s also about the conversations it starts, whether they’re heated arguments or enlightened discussions!

Debating Artistic Merit

Consider this: when assessing the merit of an artwork, you’re not just looking at its technical prowess or aesthetic appeal but also its ability to provoke thought and elicit emotion.

Artistic value is subjective; what one person may view as a masterpiece could be seen as trash by another. This subjectivity often leads to controversy in art criticism.

Take, for instance, Marcel Duchamp’s ‘Fountain.’ At first glance, it’s just a urinal with a pseudonym scribbled on it. But when you consider its historical context and implications, it becomes a bold statement about the nature of art itself.

Similarly, Manet’s ‘Olympia’ received backlash for portraying a prostitute as unflattering, yet today, it’s admired for challenging societal norms.

So remember, controversies often signal groundbreaking work!

Political Statements in Art

Let’s delve into how artists have used their work to make powerful political statements, challenging societal norms and often stirring significant controversy.

Picasso’s ‘Guernica’ is a prime example. This mural vividly depicts the massacre of a Basque village during the Spanish Civil War, serving as a potent critique against fascism. Its raw power and unsettling imagery sparked heated debates about its propriety and impact.

Similarly, Ai Weiwei’s ‘Dropping a Han Dynasty Urn’ was seen as heresy, but it also symbolized his protest against China’s disregard for cultural heritage amid rapid modernization. Controversial? Absolutely! But these artists weren’t just seeking to shock – they were using art to confront political injustices head-on.

Challenging Viewer Expectations

Moving on from political statements in art, let’s delve into another provocative aspect – challenging viewer expectations.

Artists often shatter norms and push boundaries to evoke stronger reactions. Instances like Marcel Duchamp’s ‘Fountain’ or Ai Weiwei’s ‘Dropping a Han Dynasty Urn’ exemplify this.

Duchamp confronts us with a urinal, forcing us to question our definition of what constitutes art. Similarly, Weiwei shocks us by smashing a 2000-year-old urn, an act seen as heresy by many.

These pieces challenge the status quo and provoke thought and debate about societal norms and conventions in art. Remember that being controversial doesn’t strip these works of artistic merit; it merely adds another layer for interpretation and understanding.

Controversial Art and Offense

Imagine yourself in a gallery, coming face-to-face with Andres Serrano’s ‘Piss Christ’ or Robert Mapplethorpe’s sexually explicit photographs. You might feel shocked or even offended. That’s precisely what happened when these pieces first hit the public eye.

Serrano’s artwork, featuring a crucifix submerged in urine, sparked outrage and vandalism. Likewise, Mapplethorpe’s exhibition was canceled due to its explicit content, leading to protests and intense debates about art censorship.

Controversial? Absolutely. But remember that such artworks often aim to provoke thought and challenge societal norms rather than to offend. As you stand there amidst the controversy, consider this: Isn’t it the role of art to push boundaries and stir up conversation?

Rejection of Art in its Time

It’s heartbreaking to think that some of the most revered artworks today were once shunned and dismissed in their own time.

Donatello’s ‘David’ was hidden in private courtyards due to its controversial depiction of a young, nude male.

Vermeer’s ‘ Girl with a Pearl Earring ,’ now considered one of Europe’s most celebrated paintings, was initially regarded as unimportant and sold for barely anything at auction after his death.

And who could forget Monet? His masterpiece, ‘Impression: Sunrise,’ was laughed at by critics and rejected by the Paris Salon.

Yet these artists pushed boundaries and challenged norms, creating pieces that would eventually become invaluable contributions to art history.

Their work is a powerful reminder that art is subjective, misunderstood, and often underappreciated but consistently impactful.

Controversial Art and Ignorance

Well, isn’t it amusing how society can turn a blind eye to the brilliance of controversial art, opting to slap labels on them rather than taking time to appreciate their intricacies?

Look at Vermeer’s ‘Girl with a Pearl Earring,’ considered mundane initially but now deemed a masterpiece.

Or Donatello’s ‘David’—only displayed in private courtyards due to its daring depiction of nudity.

And let’s not forget Monet’s ‘Impression: Sunrise.’ It was laughed at and rejected by the Paris Salon, but today, it is one of history’s greatest masterpieces.

So, next time you encounter something unconventional or controversial in the art world, remember—today’s scorn might be tomorrow’s applause.

Determining the Value of Art

You’ve probably noticed that the value of art is not always determined by its initial reception but rather by the evolving reactions of critics, patrons, and the public over time.

It’s a fascinating process to observe, as an artwork can be initially misunderstood or reviled, only to be later hailed as a masterpiece. Take Monet’s ‘Impression: Sunrise,’ for instance. Initially laughed at and rejected by the Paris Salon, it sparked an entire artistic movement and is now considered one of his greatest works.

This highlights how subjective art appreciation can be. What seems controversial or devoid of merit today could very well become tomorrow’s invaluable cultural treasure. As such, it’s clear that controversy in art isn’t necessarily indicative of its lasting worth.

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Outmane is the founder of Proactive Creative. He is an artist/designer.

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The Definition of Art

The definition of art is controversial in contemporary philosophy. Whether art can be defined has also been a matter of controversy. The philosophical usefulness of a definition of art has also been debated.

Contemporary definitions can be classified with respect to the dimensions of art they emphasize. One distinctively modern, conventionalist, sort of definition focuses on art’s institutional features, emphasizing the way art changes over time, modern works that appear to break radically with all traditional art, the relational properties of artworks that depend on works’ relations to art history, art genres, etc. – more broadly, on the undeniable heterogeneity of the class of artworks. The more traditional, less conventionalist sort of definition defended in contemporary philosophy makes use of a broader, more traditional concept of aesthetic properties that includes more than art-relational ones, and puts more emphasis on art’s pan-cultural and trans-historical characteristics – in sum, on commonalities across the class of artworks. Hybrid definitions aim to do justice to both the traditional aesthetic dimension as well as to the institutional and art-historical dimensions of art, while privileging neither.

1. Constraints on Definitions of Art

2.1 some examples, 3.1 skepticisms inspired by views of concepts, history, marxism, feminism, 3.2 some descendants of skepticism, 4.1 conventionalist definitions: institutional and historical, 4.2 institutional definitions, 4.3 historical definitions.

• 4.4 Functional (mainly aesthetic) definitions

4.5 Hybrid (Disjunctive) Definitions

5. conclusion, other internet resources, related entries.

Any definition of art has to square with the following uncontroversial facts: (i) entities (artifacts or performances) intentionally endowed by their makers with a significant degree of aesthetic interest, often greatly surpassing that of most everyday objects, first appeared hundreds of thousands of years ago and exist in virtually every known human culture (Davies 2012); (ii) such entities are partially comprehensible to cultural outsiders – they are neither opaque nor completely transparent; (iii) such entities sometimes have non-aesthetic – ceremonial or religious or propagandistic – functions, and sometimes do not; (iv) such entities might conceivably be produced by non-human species, terrestrial or otherwise; and it seems at least in principle possible that they be extraspecifically recognizable as such; (v) traditionally, artworks are intentionally endowed by their makers with properties, often sensory, having a significant degree of aesthetic interest, usually surpassing that of most everyday objects; (vi) art’s normative dimension – the high value placed on making and consuming art – appears to be essential to it, and artworks can have considerable moral and political as well as aesthetic power; (vii) the arts are always changing, just as the rest of culture is: as artists experiment creatively, new genres, art-forms, and styles develop; standards of taste and sensibilities evolve; understandings of aesthetic properties, aesthetic experience, and the nature of art evolve; (viii) there are institutions in some but not all cultures which involve a focus on artifacts and performances that have a high degree of aesthetic interest but lack any practical, ceremonial, or religious use; (ix) entities seemingly lacking aesthetic interest, and entities having a high degree of aesthetic interest, are not infrequently grouped together as artworks by such institutions; (x) lots of things besides artworks – for example, natural entities (sunsets, landscapes, flowers, shadows), human beings, and abstract entities (theories, proofs, mathematical entities) – have interesting aesthetic properties.

Of these facts, those having to do with art’s contingent cultural and historical features are emphasized by some definitions of art. Other definitions of art give priority to explaining those facts that reflect art’s universality and continuity with other aesthetic phenomena. Still other definitions attempt to explain both art’s contingent characteristics and its more abiding ones while giving priority to neither.

Two general constraints on definitions are particularly relevant to definitions of art. First, given that accepting that something is inexplicable is generally a philosophical last resort, and granting the importance of extensional adequacy, list-like or enumerative definitions are if possible to be avoided. Enumerative definitions, lacking principles that explain why what is on the list is on the list, don’t, notoriously, apply to definienda that evolve, and provide no clue to the next or general case (Tarski’s definition of truth, for example, is standardly criticized as unenlightening because it rests on a list-like definition of primitive denotation; see Field 1972; Devitt 2001; Davidson 2005). Corollary: when everything else is equal (and it is controversial whether and when that condition is satisfied in the case of definitions of art), non-disjunctive definitions are preferable to disjunctive ones. Second, given that most classes outside of mathematics are vague, and that the existence of borderline cases is characteristic of vague classes, definitions that take the class of artworks to have borderline cases are preferable to definitions that don’t (Davies 1991 and 2006; Stecker 2005).

Whether any definition of art does account for these facts and satisfy these constraints, or could account for these facts and satisfy these constraints, are key questions for aesthetics and the philosophy of art.

2. Definitions From the History of Philosophy

Classical definitions, at least as they are portrayed in contemporary discussions of the definition of art, take artworks to be characterized by a single type of property. The standard candidates are representational properties, expressive properties, and formal properties. So there are representational or mimetic definitions, expressive definitions, and formalist definitions, which hold that artworks are characterized by their possession of, respectively, representational, expressive, and formal properties. It is not difficult to find fault with these simple definitions. For example, possessing representational, expressive, and formal properties cannot be sufficient conditions, since, obviously, instructional manuals are representations, but not typically artworks, human faces and gestures have expressive properties without being works of art, and both natural objects and artifacts produced solely for homely utilitarian purposes have formal properties but are not artworks.

The ease of these dismissals, though, serves as a reminder of the fact that classical definitions of art are significantly less philosophically self-contained or freestanding than are most contemporary definitions of art. Each classical definition stands in close and complicated relationships to its system’s other complexly interwoven parts – epistemology, ontology, value theory, philosophy of mind, etc. Relatedly, great philosophers characteristically analyze the key theoretical components of their definitions of art in distinctive and subtle ways. For these reasons, understanding such definitions in isolation from the systems or corpuses of which they are parts is difficult, and brief summaries are invariably somewhat misleading. Nevertheless, some representative examples of historically influential definitions of art offered by major figures in the history of philosophy should be mentioned.

Plato holds in the Republic and elsewhere that the arts are representational, or mimetic (sometimes translated “imitative”). Artworks are ontologically dependent on, imitations of, and therefore inferior to, ordinary physical objects. Physical objects in turn are ontologically dependent on, and imitations of, and hence inferior to, what is most real, the non-physical unchanging Forms. Grasped perceptually, artworks present only an appearance of an appearance of the Forms, which are grasped by reason alone. Consequently, artistic experience cannot yield knowledge. Nor do the makers of artworks work from knowledge. Because artworks engage an unstable, lower part of the soul, art should be subservient to moral realities, which, along with truth, are more metaphysically fundamental and, properly understood, more humanly important than, beauty. The arts are not, for Plato, the primary sphere in which beauty operates. The Platonic conception of beauty is extremely wide and metaphysical: there is a Form of Beauty, which can only be known non-perceptually, but it is more closely related to the erotic than to the arts. (See Janaway 1998, the entry on Plato’s aesthetics , and the entry on Plato on Rhetoric and Poetry .)

Kant has a definition of art, and of fine art; the latter, which Kant calls the art of genius, is “a kind of representation that is purposive in itself and, though without an end, nevertheless promotes the cultivation of the mental powers for sociable communication” (Kant, Critique of the Power of Judgment , Guyer translation, section 44, 46).) When fully unpacked, the definition has representational, formalist and expressivist elements, and focuses as much on the creative activity of the artistic genius (who, according to Kant, possesses an “innate mental aptitude through which nature gives the rule to art”) as on the artworks produced by that activity. Kant’s aesthetic theory is, for architectonic reasons, not focused on art. Art for Kant falls under the broader topic of aesthetic judgment, which covers judgments of the beautiful, judgments of the sublime, and teleological judgments of natural organisms and of nature itself. So Kant’s definition of art is a relatively small part of his theory of aesthetic judgment. And Kant’s theory of aesthetic judgment is itself situated in a hugely ambitious theoretical structure that, famously, aims, to account for, and work out the interconnections between, scientific knowledge, morality, and religious faith. (See the entry on Kant’s Aesthetics and Teleology and the general entry on Immanuel Kant .)

Hegel’s account of art incorporates his view of beauty; he defines beauty as the sensuous/perceptual appearance or expression of absolute truth. The best artworks convey, by sensory/perceptual means, the deepest metaphysical truth. The deepest metaphysical truth, according to Hegel, is that the universe is the concrete realization of what is conceptual or rational. That is, what is conceptual or rational is real, and is the imminent force that animates and propels the self-consciously developing universe. The universe is the concrete realization of what is conceptual or rational, and the rational or conceptual is superior to the sensory. So, as the mind and its products alone are capable of truth, artistic beauty is metaphysically superior to natural beauty (Hegel, Lectures , [1886, 4]). A central and defining feature of beautiful works of art is that, through the medium of sensation, each one presents the most fundamental values of its civilization. [ 1 ] Art, therefore, as a cultural expression, operates in the same sphere as religion and philosophy, and expresses the same content as they. But art “reveals to consciousness the deepest interests of humanity” in a different manner than do religion and philosophy, because art alone, of the three, works by sensuous means. So, given the superiority of the conceptual to the non-conceptual, and the fact that art’s medium for expressing/presenting culture’s deepest values is the sensual or perceptual, art’s medium is limited and inferior in comparison with the medium that religion uses to express the same content, viz., mental imagery. Art and religion in turn are, in this respect, inferior to philosophy, which employs a conceptual medium to present its content. Art initially predominates, in each civilization, as the supreme mode of cultural expression, followed, successively, by religion and philosophy. Similarly, because the broadly “logical” relations between art, religion and philosophy determine the actual structure of art, religion, and philosophy, and because cultural ideas about what is intrinsically valuable develop from sensuous to non-sensuous conceptions, history is divided into periods that reflect the teleological development from the sensuous to the conceptual. Art in general, too, develops in accord with the historical growth of non-sensuous or conceptual conceptions from sensuous conceptions, and each individual art-form develops historically in the same way (Hegel, Lectures ; Wicks 1993, see also the entries on Hegel and on Hegel’s Aesthetics ).

For treatments of other influential definitions of art, inseparable from the complex philosophical systems or corpuses in which they occur, see, for example, the entries on 18th Century German Aesthetics , Arthur Schopenhauer , Friedrich Nietzsche , and Dewey’s Aesthetics .

3. Skepticism about Definitions of Art

Skeptical doubts about the possibility and value of a definition of art have figured importantly in the discussion in aesthetics since the 1950s, and though their influence has subsided somewhat, uneasiness about the definitional project persists. (See section 4, below, and also Kivy 1997, Brand 2000, and Walton 2007).

A common family of arguments, inspired by Wittgenstein’s famous remarks about games (Wittgenstein 1953), has it that the phenomena of art are, by their nature, too diverse to admit of the unification that a satisfactory definition strives for, or that a definition of art, were there to be such a thing, would exert a stifling influence on artistic creativity. One expression of this impulse is Weitz’s Open Concept Argument: any concept is open if a case can be imagined which would call for some sort of decision on our part to extend the use of the concept to cover it, or to close the concept and invent a new one to deal with the new case; all open concepts are indefinable; and there are cases calling for a decision about whether to extend or close the concept of art. Hence art is indefinable (Weitz 1956). Against this it is claimed that change does not, in general, rule out the preservation of identity over time, that decisions about concept-expansion may be principled rather than capricious, and that nothing bars a definition of art from incorporating a novelty requirement.

A second sort of argument, less common today than in the heyday of a certain form of extreme Wittgensteinianism, urges that the concepts that make up the stuff of most definitions of art (expressiveness, form) are embedded in general philosophical theories which incorporate traditional metaphysics and epistemology. But since traditional metaphysics and epistemology are prime instances of language gone on conceptually confused holiday, definitions of art share in the conceptual confusions of traditional philosophy (Tilghman 1984).

A third sort of argument, more historically inflected than the first, takes off from an influential study by the historian of philosophy Paul Kristeller, in which he argued that the modern system of the five major arts [painting, sculpture, architecture, poetry, and music] which underlies all modern aesthetics … is of comparatively recent origin and did not assume definite shape before the eighteenth century, although it had many ingredients which go back to classical, mediaeval, and Renaissance thought. (Kristeller, 1951) Since that list of five arts is somewhat arbitrary, and since even those five do not share a single common nature, but rather are united, at best, only by several overlapping features, and since the number of art forms has increased since the eighteenth century, Kristeller’s work may be taken to suggest that our concept of art differs from that of the eighteenth century. As a matter of historical fact, there simply is no stable definiendum for a definition of art to capture.

A fourth sort of argument suggests that a definition of art stating individually necessary and jointly sufficient conditions for a thing to be an artwork, is likely to be discoverable only if cognitive science makes it plausible to think that humans categorize things in terms of necessary and sufficient conditions. But, the argument continues, cognitive science actually supports the view that the structure of concepts mirrors the way humans categorize things – which is with respect to their similarity to prototypes (or exemplars), and not in terms of necessary and sufficient conditions. So the quest for a definition of art that states individually necessary and jointly sufficient conditions is misguided and not likely to succeed (Dean 2003). Against this it has been urged that psychological theories of concepts like the prototype theory and its relatives can provide at best an account of how people in fact classify things, but not an account of correct classifications of extra-psychological phenomena, and that, even if relevant, prototype theory and other psychological theories of concepts are at present too controversial to draw substantive philosophical morals from (Rey 1983; Adajian 2005).

A fifth argument against defining art, with a normative tinge that is psychologistic rather than sociopolitical, takes the fact that there is no philosophical consensus about the definition of art as reason to hold that no unitary concept of art exists. Concepts of art, like all concepts, after all, should be used for the purpose(s) they best serve. But not all concepts of art serve all purposes equally well. So not all art concepts should be used for the same purposes. Art should be defined only if there is a unitary concept of art that serves all of art’s various purposes – historical, conventional, aesthetic, appreciative, communicative, and so on. So, since there is no purpose-independent use of the concept of art, art should not be defined (Mag Uidhir and Magnus 2011; cf. Meskin 2008). In response, it is noted that some account of what makes various concepts of art concepts of art is still required; this leaves open the possibility of some degree of unity beneath the apparent multiplicity. The fact (if it is one) that different concepts of art are used for different purposes does not itself imply that they are not connected in ordered, to-some-degree systematic ways. The relation between (say) the historical concept of art and the appreciative concept of art is not an accidental, unsystematic relation, like that between river banks and savings banks, but is something like the relation between Socrates’ healthiness and the healthiness of Socrates’ diet. That is, it is not evident that there exist a mere arbitrary heap or disjunction of art concepts, constituting an unsystematic patchwork. Perhaps there is a single concept of art with different facets that interlock in an ordered way, or else a multiplicity of concepts that constitute a unity because one is at the core, and the others depend asymmetrically on it. (The last is an instance of core-dependent homonymy; see the entry on Aristotle , section on Essentialism and Homonymy.) Multiplicity alone doesn’t entail pluralism.

A sixth, broadly Marxian sort of objection rejects the project of defining art as an unwitting (and confused) expression of a harmful ideology. On this view, the search for a definition of art presupposes, wrongly, that the concept of the aesthetic is a creditable one. But since the concept of the aesthetic necessarily involves the equally bankrupt concept of disinterestedness, its use advances the illusion that what is most real about things can and should be grasped or contemplated without attending to the social and economic conditions of their production. Definitions of art, consequently, spuriously confer ontological dignity and respectability on social phenomena that probably in fact call more properly for rigorous social criticism and change. Their real function is ideological, not philosophical (Eagleton 1990).

Seventh, the members of a complex of skeptically-flavored arguments, from feminist philosophy of art, begin with premises to the effect that art and art-related concepts and practices have been systematically skewed by sex or gender. Such premises are supported by a variety of considerations. (a) The artworks the Western artistic canon recognizes as great are dominated by male-centered perspectives and stereotypes, and almost all the artists the canon recognizes as great are men – unsurprisingly, given economic, social, and institutional impediments that prevented women from making art at all. Moreover, the concept of genius developed historically in such a way as to exclude women artists (Battersby, 1989, Korsmeyer 2004). (b) The fine arts’ focus on purely aesthetic, non-utilitarian value resulted in the marginalization as mere “crafts” of items of considerable aesthetic interest made and used by women for domestic practical purposes. Moreover, because all aesthetic judgments are situated and particular, there can be no such thing as disinterested taste. If there is no such thing as disinterested taste, then it is hard to see how there could be universal standards of aesthetic excellence. The non-existence of universal standards of aesthetic excellence undermines the idea of an artistic canon (and with it the project of defining art). Art as historically constituted, and art-related practices and concepts, then, reflect views and practices that presuppose and perpetuate the subordination of women. The data that definitions of art are supposed to explain are biased, corrupt and incomplete. As a consequence, present definitions of art, incorporating or presupposing as they do a framework that incorporates a history of systematically biased, hierarchical, fragmentary, and mistaken understandings of art and art-related phenomena and concepts, may be so androcentric as to be untenable. Some theorists have suggested that different genders have systematically unique artistic styles, methods, or modes of appreciating and valuing art. If so, then a separate canon and gynocentric definitions of art are indicated (Battersby 1989, Frueh 1991). In any case, in the face of these facts, the project of defining art in anything like the traditional way is to be regarded with suspicion (Brand, 2000).

An eighth argument sort of skeptical argument concludes that, insofar as almost all contemporary definitions foreground the nature of art works , rather than the individual arts to which (most? all?) artworks belong, they are philosophically unproductive (Lopes, 2014). [ 2 ] The grounds for this conclusion concern disagreements among standard definitions as to the artistic status of entities whose status is for theoretical reasons unclear – e.g., things like ordinary bottleracks (Duchamp’s Bottlerack ) and silence (John Cage’s 4′33″ ). If these hard cases are artworks, what makes them so, given their apparent lack of any of the traditional properties of artworks? Are, they, at best, marginal cases? On the other hand, if they are not artworks, then why have generations of experts – art historians, critics, and collectors – classified them as such? And to whom else should one look to determine the true nature of art? (There are, it is claimed, few or no empirical studies of art full stop, though empirical studies of the individual arts abound.) Such disputes inevitably end in stalemate. Stalemate results because (a) standard artwork-focused definitions of art endorse different criteria of theory choice, and (b) on the basis of their preferred criteria, appeal to incompatible intuitions about the status of such theoretically-vexed cases. In consequence, disagreements between standard definitions of art that foreground artworks are unresolvable. To avoid this stalemate, an alternative definitional strategy that foregrounds the arts rather than individual artworks, is indicated. (See section 4.5.)

Philosophers influenced by the moderate Wittgensteinian strictures discussed above have offered family resemblance accounts of art, which, as they purport to be non-definitions, may be usefully considered at this point. Two species of family resemblance views will be considered: the resemblance-to-a-paradigm version, and the cluster version.

On the resemblance-to-a-paradigm version, something is, or is identifiable as, an artwork if it resembles, in the right way, certain paradigm artworks, which possess most although not necessarily all of art’s typical features. (The “is identifiable” qualification is intended to make the family resemblance view something more epistemological than a definition, although it is unclear that this really avoids a commitment to constitutive claims about art’s nature.) Against this view: since things do not resemble each other simpliciter , but only in at least one respect or other, the account is either far too inclusive, since everything resembles everything else in some respect or other, or, if the variety of resemblance is specified, tantamount to a definition, since resemblance in that respect will be either a necessary or sufficient condition for being an artwork. The family resemblance view raises questions, moreover, about the membership and unity of the class of paradigm artworks. If the account lacks an explanation of why some items and not others go on the list of paradigm works, it seems explanatorily deficient. But if it includes a principle that governs membership on the list, or if expertise is required to constitute the list, then the principle, or whatever properties the experts’ judgments track, seem to be doing the philosophical work.

The cluster version of the family resemblance view has been defended by a number of philosophers (Bond 1975, Dissanayake 1990, Dutton 2006, Gaut 2000). The view typically provides a list of properties, no one of which is a necessary condition for being a work of art, but which are jointly sufficient for being a work of art, and which is such that at least one proper subset thereof is sufficient for being a work of art. Lists offered vary, but overlap considerably. Here is one, due to Gaut: (1) possessing positive aesthetic properties; (2) being expressive of emotion; (3) being intellectually challenging; (4) being formally complex and coherent; (5) having the capacity to convey complex meanings; (6) exhibiting an individual point of view; (7) being original; (8) being an artifact or performance which is the product of a high degree of skill; (9) belonging to an established artistic form; (10) being the product of an intention to make a work of art (Gaut 2000). The cluster account has been criticized on several grounds. First, given its logical structure, it is in fact equivalent to a long, complicated, but finite, disjunction, which makes it difficult to see why it isn’t a definition (Davies 2006). Second, if the list of properties is incomplete, as some cluster theorists hold, then some justification or principle would be needed for extending it. Third, the inclusion of the ninth property on the list, belonging to an established art form , seems to regenerate (or duck), rather than answer, the definitional question. Finally, it is worth noting that, although cluster theorists stress what they take to be the motley heterogeneity of the class of artworks, they tend with surprising regularity to tacitly give the aesthetic a special, perhaps unifying, status among the properties they put forward as merely disjunctive. One cluster theorist, for example, gives a list very similar to the one discussed above (it includes representational properties, expressiveness, creativity, exhibiting a high degree of skill, belonging to an established artform), but omits aesthetic properties on the grounds that it is the combination of the other items on the list which, combined in the experience of the work of art, are precisely the aesthetic qualities of the work (Dutton 2006). Gaut, whose list is cited above, includes aesthetic properties as a separate item on the list, but construes them very narrowly; the difference between these ways of formulating the cluster view appears to be mainly nominal. And an earlier cluster theorist defines artworks as all and only those things that belong to any instantiation of an artform, offers a list of seven properties all of which together are intended to capture the core of what it is to be an artform, though none is either necessary or sufficient, and then claims that having aesthetic value (of the same sort as mountains, sunsets, mathematical theorems) is “what art is for ” (Bond 1975).

4. Contemporary Definitions

Definitions of art attempt to make sense of two different sorts of facts: art has important historically contingent cultural features, as well as trans-historical, pan-cultural characteristics that point in the direction of a relatively stable aesthetic core. (Theorists who regard art as an invention of eighteenth-century Europe will, of course, regard this way of putting the matter as tendentious, on the grounds that entities produced outside that culturally distinctive institution do not fall under the extension of “art” and hence are irrelevant to the art-defining project (Shiner 2001). Whether the concept of art is precise enough to justify this much confidence about what falls under its extension claim is unclear.) Conventionalist definitions take art’s contingent cultural features to be explanatorily fundamental, and aim to capture the phenomena – revolutionary modern art, the traditional close connection of art with the aesthetic, the possibility of autonomous art traditions, etc. – in social/historical terms. Classically-flavored or traditional definitions (also sometimes called “functionalist”) definitions reverse this explanatory order. Such classically-flavored definitions take traditional concepts like the aesthetic (or allied concepts like the formal, or the expressive) as basic, and aim to account for the phenomena by making those concepts harder – for example, by endorsing a concept of the aesthetic rich enough to include non-perceptual properties, or by attempting an integration of those concepts (e.g., Eldridge, section 4.4 below) .

Conventionalist definitions deny that art has essential connection to aesthetic properties, or to formal properties, or to expressive properties, or to any type of property taken by traditional definitions to be essential to art. Conventionalist definitions have been strongly influenced by the emergence, in the twentieth century, of artworks that seem to differ radically from all previous artworks. Avant-garde works like Marcel Duchamp’s “ready-mades” – ordinary unaltered objects like snow-shovels ( In Advance of the Broken Arm ) and bottle-racks – conceptual works like Robert Barry’s All the things I know but of which I am not at the moment thinking – 1:36 PM; June 15, 1969 , and John Cage’s 4′33″ , have seemed to many philosophers to lack or even, somehow, repudiate, the traditional properties of art: intended aesthetic interest, artifactuality, even perceivability. Conventionalist definitions have also been strongly influenced by the work of a number of historically-minded philosophers, who have documented the rise and development of modern ideas of the fine arts, the individual arts, the work of art, and the aesthetic (Kristeller, Shiner, Carroll, Goehr, Kivy).

Conventionalist definitions come in two varieties, institutional and historical. Institutionalist conventionalism, or institutionalism, a synchronic view, typically hold that to be a work of art is to be an artifact of a kind created, by an artist, to be presented to an artworld public (Dickie 1984). Historical conventionalism, a diachronic view, holds that artworks necessarily stand in an art-historical relation to some set of earlier artworks.

The groundwork for institutional definitions was laid by Arthur Danto, better known to non-philosophers as the long-time influential art critic for the Nation . Danto coined the term “artworld”, by which he meant “an atmosphere of art theory.” Danto’s definition has been glossed as follows: something is a work of art if and only if (i) it has a subject (ii) about which it projects some attitude or point of view (has a style) (iii) by means of rhetorical ellipsis (usually metaphorical) which ellipsis engages audience participation in filling in what is missing, and (iv) where the work in question and the interpretations thereof require an art historical context (Danto, Carroll). Clause (iv) is what makes the definition institutionalist. The view has been criticized for entailing that art criticism written in a highly rhetorical style is art, lacking but requiring an independent account of what makes a context art historical , and for not applying to music.

The most prominent and influential institutionalism is that of George Dickie. Dickie’s institutionalism has evolved over time. According to an early version, a work of art is an artifact upon which some person(s) acting on behalf of the artworld has conferred the status of candidate for appreciation (Dickie 1974). Dickie’s more recent version consists of an interlocking set of five definitions: (1) An artist is a person who participates with understanding in the making of a work of art. (2) A work of art is an artifact of a kind created to be presented to an artworld public. (3) A public is a set of persons the members of which are prepared in some degree to understand an object which is presented to them. (4) The artworld is the totality of all artworld systems. (5) An artworld system is a framework for the presentation of a work of art by an artist to an artworld public (Dickie 1984). Both versions have been widely criticized. Philosophers have objected that art created outside any institution seems possible, although the definition rules it out, and that the artworld, like any institution, seems capable of error. It has also been urged that the definition’s obvious circularity is vicious, and that, given the inter-definition of the key concepts (artwork, artworld system, artist, artworld public) it lacks any informative way of distinguishing art institutions systems from other, structurally similar, social institutions (D. Davies 2004, pp. 248–249, notes that both the artworld and the “commerceworld” seem to fall under that definition). Early on, Dickie claimed that anyone who sees herself as a member of the artworld is a member of the artworld: if this is true, then unless there are constraints on the kinds of things the artworld can put forward as artworks or candidate artworks, any entity can be an artwork (though not all are), which appears overly expansive. Finally, Matravers has helpfully distinguished strong and weak institutionalism. Strong institutionalism holds that there is some reason that is always the reason the art institution has for saying that something is a work of art. Weak institutionalism holds that, for every work of art, there is some reason or other that the institution has for saying that it is a work of art (Matravers 2000). Weak institutionalism, in particular, raises questions about art’s unity: if absolutely nothing unifies the reasons that the artworld gives for conferring art-hood on things, then the unity of the class of artworks is vanishingly small. Conventionalist views, with their emphasis on art’s heterogeneity, swallow this implication. From the perspective of traditional definitions, doings so underplays art’s substantial if incomplete unity, while leaving it a puzzle why art would be worth caring about.

Some recent versions of institutionalism depart from Dickie’s by accepting the burden, which Dickie rejected, of providing a substantive, non-circular account of what it is to be an art institution or an artworld. One, due to David Davies, does so by building in Nelson Goodman’s account of aesthetic symbolic functions. Another, due to Abell, combines Searle’s account of social institutions with Gaut’s characterization of art-making properties, and builds an account of artistic value on that coupling.

Davies’ neo-institutionalism holds that making an artwork requires articulating an artistic statement, which requires specifying artistic properties, which in turn requires the manipulation of an artistic vehicle. Goodman’s “symptoms of the aesthetic” are utilized to clarify the conditions under which a practice of making is a practice of artistic making: on Goodman’s view, a symbol functions aesthetically when it is syntactically dense, semantically dense, relatively replete, and characterized by multiple and complex reference (D. Davies 2004; Goodman 1968; see the entry on Goodman’s aesthetics ). Manipulating an artistic vehicle is in turn possible only if the artist consciously operates with reference to shared understandings embodied in the practices of a community of receivers. So art’s nature is institutional in the broad sense (or, perhaps better, socio-cultural). By way of criticism, Davies’ neo-institutionalism may be questioned on the grounds that, since all pictorial symbols are syntactically dense, semantically dense, relatively replete, and often exemplify the properties they represent, it seems to entail that every colored picture, including those in any catalog of industrial products, is an artwork (Abell 2012).

Abell’s institutional definition adapts Searle’s view of social kinds: what it is for some social kind, F , to be F is for it to be collectively believed to be F (Abell 2012; Searle 1995, 2010; and see the entry on social institutions ). On Abell’s view, more specifically, an institution’s type is determined by the valued function(s) that it was collectively believed at its inception to promote. The valued functions collective belief in which make an institution an art institution are those spelled out by Gaut in his cluster account (see section 3.1, above). That is, something is an art institution if and only if it is an institution whose existence is due to its being perceived to perform certain functions, which functions form a significant subset of the following: promoting positive aesthetic qualities; promoting the expression of emotion; facilitating the posing of intellectual challenges, and the rest of Gaut’s list. Plugging in Gaut’s list yields the final definition: something is an artwork if and only if it is the product of an art institution (as just defined) and it directly effects the effectiveness with which that institution performs the perceived functions to which its existence is due. One worry is whether Searle’s account of institutions is up to the task required of it. Some institutional social kinds have this trait: something can fail to be a token of that kind even if there is collective agreement that it counts as a token of that kind. Suppose someone gives a big cocktail party, to which everyone in Paris invited, and things get so out of hand that the casualty rate is greater than the Battle of Austerlitz. Even if everyone thinks the event was a cocktail party, it is possible (contrary to Searle) that they are mistaken: it may have been a war or battle. It’s not clear that art isn’t like this. If so, then the fact that an institution is collectively believed to be an art institution needn’t suffice to make it so (Khalidi 2013; see also the entry on social institutions ). [ 3 ] A second worry: if its failure to specify which subsets of the ten cluster properties suffice to make something an artwork significantly flaws Gaut’s cluster account, then failure to specify which subsets of Gaut’s ten properties suffice to make something an art institution significantly flaws Abellian institutionalism.

Historical definitions hold that what characterizes artworks is standing in some specified art-historical relation to some specified earlier artworks, and disavow any commitment to a trans-historical concept of art, or the “artish.” Historical definitions come in several varieties. All of them are, or resemble, inductive definitions: they claim that certain entities belong unconditionally to the class of artworks, while others do so because they stand in the appropriate relations thereto. According to the best known version, Levinson’s intentional-historical definition, an artwork is a thing that has been seriously intended for regard in any way preexisting or prior artworks are or were correctly regarded (Levinson 1990). A second version, historical narrativism, comes in several varieties. On one, a sufficient but not necessary condition for the identification of a candidate as a work of art is the construction of a true historical narrative according to which the candidate was created by an artist in an artistic context with a recognized and live artistic motivation, and as a result of being so created, it resembles at least one acknowledged artwork (Carroll 1993). On another, more ambitious and overtly nominalistic version of historical narrativism, something is an artwork if and only if (1) there are internal historical relations between it and already established artworks; (2) these relations are correctly identified in a narrative; and (3) that narrative is accepted by the relevant experts. The experts do not detect that certain entities are artworks; rather, the fact that the experts assert that certain properties are significant in particular cases is constitutive of art (Stock 2003).

The similarity of these views to institutionalism is obvious, and the criticisms offered parallel those urged against institutionalism. First, historical definitions appear to require, but lack, any informative characterization of art traditions (art functions, artistic contexts, etc.) and hence any way of informatively distinguishing them (and likewise art functions, or artistic predecessors) from non -art traditions (non-art functions, non-artistic predecessors). Correlatively, non-Western art, or alien, autonomous art of any kind appears to pose a problem for historical views: any autonomous art tradition or artworks – terrestrial, extra-terrestrial, or merely possible – causally isolated from our art tradition, is either ruled out by the definition, which seems to be a reductio , or included, which concedes the existence of a supra-historical concept of art. So, too, there could be entities that for adventitious reasons are not correctly identified in historical narratives, although in actual fact they stand in relations to established artworks that make them correctly describable in narratives of the appropriate sort. Historical definitions entail that such entities aren’t artworks, but it seems at least as plausible to say that they are artworks that are not identified as such. Second, historical definitions also require, but do not provide a satisfactory, informative account of the basis case – the first artworks, or ur-artworks, in the case of the intentional-historical definitions, or the first or central art-forms, in the case of historical functionalism. Third, nominalistic historical definitions seem to face a version of the Euthyphro dilemma. For either such definitions include substantive characterizations of what it is to be an expert, or they don’t. If, on one hand, they include no characterization of what it is to be an expert, and hence no explanation as to why the list of experts contains the people it does, then they imply that what makes things artworks is inexplicable. On the other hand, suppose such definitions provide a substantive account of what it is to be an expert, so that to be an expert is to possess some ability lacked by non-experts (taste, say) in virtue of the possession of which they are able to discern historical connections between established artworks and candidate artworks. Then the definition’s claim to be interestingly historical is questionable, because it makes art status a function of whatever ability it is that permits experts to discern the art-making properties.

Defenders of historical definitions have replies. First, as regards autonomous art traditions, it can be held that anything we would recognize as an art tradition or an artistic practice would display aesthetic concerns, because aesthetic concerns have been central from the start, and persisted centrally for thousands of years, in the Western art tradition. Hence it is an historical, not a conceptual truth that anything we recognize as an art practice will centrally involve the aesthetic; it is just that aesthetic concerns that have always dominated our art tradition (Levinson 2002). The idea here is that if the reason that anything we’d take to be a Φ-tradition would have Ψ-concerns is that our Φ-tradition has focused on Ψ-concerns since its inception, then it is not essential to Φ-traditions that they have Ψ-concerns, and Φ is a purely historical concept . But this principle entails, implausibly, that every concept is purely historical. Suppose that we discovered a new civilization whose inhabitants could predict how the physical world works with great precision, on the basis of a substantial body of empirically acquired knowledge that they had accumulated over centuries. The reason we would credit them with having a scientific tradition might well be that our own scientific tradition has since its inception focused on explaining things. It does not seem to follow that science is a purely historical concept with no essential connection to explanatory aims. (Other theorists hold that it is historically necessary that art begins with the aesthetic, but deny that art’s nature is to be defined in terms of its historical unfolding (Davies 1997).) Second, as to the first artworks, or the central art-forms or functions, some theorists hold that an account of them can only take the form of an enumeration. Stecker takes this approach: he says that the account of what makes something a central art form at a given time is, at its core, institutional, and that the central artforms can only be listed (Stecker 1997 and 2005). Whether relocating the list at a different, albeit deeper, level in the definition renders the definition sufficiently informative is an open question. Third, as to the Euthyphro -style dilemma, it might be held that the categorial distinction between artworks and “mere real things” (Danto 1981) explains the distinction between experts and non-experts. Experts are able, it is said, to create new categories of art. When created, new categories bring with them new universes of discourse. New universes of discourse in turn make reasons available that otherwise would not be available. Hence, on this view, it is both the case that the experts’ say-so alone suffices to make mere real things into artworks, and also true that experts’ conferrals of art-status have reasons (McFee 2011).

4.4 Traditional (mainly aesthetic) definitions

Traditional definitions take some function(s) or intended function(s) to be definitive of artworks. Here only aesthetic definitions, which connect art essentially with the aesthetic – aesthetic judgments, experience, or properties – will be considered. Different aesthetic definitions incorporate different views of aesthetic properties and judgments. See the entry on aesthetic judgment .

As noted above, some philosophers lean heavily on a distinction between aesthetic properties and artistic properties, taking the former to be perceptually striking qualities that can be directly perceived in works, without knowledge of their origin and purpose, and the latter to be relational properties that works possess in virtue of their relations to art history, art genres, etc. It is also, of course, possible to hold a less restrictive view of aesthetic properties, on which aesthetic properties need not be perceptual; on this broader view, it is unnecessary to deny what it seems pointless to deny, that abstracta like mathematical entities and scientific laws possess aesthetic properties.)

Monroe Beardsley’s definition holds that an artwork: “either an arrangement of conditions intended to be capable of affording an experience with marked aesthetic character or (incidentally) an arrangement belonging to a class or type of arrangements that is typically intended to have this capacity” (Beardsley 1982, 299). (For more on Beardsley, see the entry on Beardsley’s aesthetics .) Beardsley’s conception of aesthetic experience is Deweyan: aesthetic experiences are experiences that are complete, unified, intense experiences of the way things appear to us, and are, moreover, experiences which are controlled by the things experienced (see the entry on Dewey’s aesthetics ). Zangwill’s aesthetic definition of art says that something is a work of art if and only if someone had an insight that certain aesthetic properties would be determined by certain nonaesthetic properties, and for this reason the thing was intentionally endowed with the aesthetic properties in virtue of the nonaesthetic properties as envisaged in the insight (Zangwill 1995a,b). Aesthetic properties for Zangwill are those judgments that are the subject of “verdictive aesthetic judgments” (judgements of beauty and ugliness) and “substantive aesthetic judgements” (e.g., of daintiness, elegance, delicacy, etc.). The latter are ways of being beautiful or ugly; aesthetic in virtue of a special close relation to verdictive judgments, which are subjectively universal. Other aesthetic definitions build in different accounts of the aesthetic. Eldridge’s aesthetic definition holds that the satisfying appropriateness to one another of a thing’s form and content is the aesthetic quality possession of which is necessary and sufficient for a thing’s being art (Eldridge 1985). Or one might define aesthetic properties as those having an evaluative component, whose perception involves the perception of certain formal base properties, such as shape and color (De Clercq 2002), and construct an aesthetic definition incorporating that view.

Views which combine features of institutional and aesthetic definitions also exist. Iseminger, for example, builds a definition on an account of appreciation, on which to appreciate a thing’s being F is to find experiencing its being F to be valuable in itself, and an account of aesthetic communication (which it is the function of the artworld to promote) (Iseminger 2004).

Aesthetic definitions have been criticized for being both too narrow and too broad. They are held to be too narrow because they are unable to cover influential modern works like Duchamp’s ready-mades and conceptual works like Robert Barry’s All the things I know but of which I am not at the moment thinking – 1:36 PM; June 15, 1969 , which appear to lack aesthetic properties. (Duchamp famously asserted that his urinal, Fountain , was selected for its lack of aesthetic features.) Aesthetic definitions are held to be too broad because beautifully designed automobiles, neatly manicured lawns, and products of commercial design are often created with the intention of being objects of aesthetic appreciation, but are not artworks. Moreover, aesthetic views have been held to have trouble making sense of bad art (see Dickie 2001; Davies 2006, p. 37). Finally, more radical doubts about aesthetic definitions center on the intelligibility and usefulness of the aesthetic. Beardsley’s view, for example, has been criticized by Dickie, who has also offered influential criticisms of the idea of an aesthetic attitude (Dickie 1965, Cohen 1973, Kivy 1975).

To these criticisms several responses have been offered. First, the less restrictive conception of aesthetic properties mentioned above, on which they may be based on non-perceptual formal properties, can be deployed. On this view, conceptual works would have aesthetic features, much the same way that mathematical entities are often claimed to (Shelley 2003, Carroll 2004). Second, a distinction may be drawn between time-sensitive properties, whose standard observation conditions include an essential reference to the temporal location of the observer, and non-time-sensitive properties, which do not. Higher-order aesthetic properties like drama, humor, and irony, which account for a significant part of the appeal of Duchamp’s and Cage’s works, on this view, would derive from time-sensitive properties (Zemach 1997). Third, it might be held that it is the creative act of presenting something that is in the relevant sense unfamiliar, into a new context, the artworld, which has aesthetic properties. Or, fourth, it might be held that (Zangwill’s “second-order” strategy) works like ready-mades lack aesthetic functions, but are parasitic upon, because meant to be considered in the context of, works that do have aesthetic functions, and therefore constitute marginal borderline cases of art that do not merit the theoretical primacy they are often given. Finally, it can be flatly denied that the ready-mades were works of art (Beardsley 1982).

As to the over-inclusiveness of aesthetic definitions, a distinction might be drawn between primary and secondary functions. Or it may be maintained that some cars, lawns, and products of industrial design are on the art/non-art borderline, and so don’t constitute clear and decisive counter-examples. Or, if the claim that aesthetic theories fail to account for bad art depends on holding that some works have absolutely no aesthetic value whatsoever, as opposed to some non-zero amount, however infinitesimal, it may be wondered what justifies that assumption.

Hybrid definitions characteristically disjoin at least one institutional component with at least one aesthetic component, aiming thereby to accommodate both more traditional art and avant-garde art that appears to lack any significant aesthetic dimension. (Such definitions could also be classified as institutional, on the grounds that they make provenance sufficient for being a work of art.) Hence they inherit a feature of conventionalist definitions: in appealing to art institutions, artworlds, arts, art functions, and so on, they either include substantive accounts of what it is to be an art institution/world/genre/-form/function, or are uninformatively circular.

One such disjunctive definition, Longworth and Scarantino’s, adapts Gaut’s list of ten clustering properties, where that list (see 3.5 above) includes institutional properties (e.g., belonging to an established art form) and traditional ones (e.g., possessing positive aesthetic properties); see also Longworth and Scarantino 2010. The core idea is that art is defined by a disjunction of minimally sufficient and disjunctively necessary conditions; to say that a disjunct is a minimally sufficient constitutive condition for art-hood, is to say that every proper subset of it is insufficient for art-hood. An account of what it is for a concept to have disjunctive defining conditions is also supplied. The definition of art itself is as follows: ∃ Z ∃ Y (Art iff ( Z ∨ Y )), where (a) Z and Y , formed from properties on Gaut’s cluster list, are either non-empty conjunctions or non-empty disjunctions of conjunctions or individual properties; (b) there is some indeterminacy over exactly which disjuncts are sufficient; (c) Z does not entail Y and Y does not entail Z ; (d) Z does not entail Art and Y does not entail Art. Instantiation of either Z or Y suffices for art-hood; something can be art only if at least one of Z , Y is instantiated; and the third condition is included to prevent the definition from collapsing into a classical one. The account of what it is for concept C to have disjunctive defining conditions is as follows: C iff ( Z ∨ Y ), where (i) Z and Y are non-empty conjunctions or non-empty disjunctions of conjunctions or individual properties; (ii) Z does not entail Y and Y does not entail Z ; (iii) Z does not entail C and Y does not entail C. A worry concerns condition (iii): as written, it seems to render the account of disjunctive defining conditions self-contradictory. For if Z and Y are each minimally sufficient for C , it is impossible that Z does not entail C and that Y does not entail C . If so, then nothing can satisfy the conditions said to be necessary and sufficient for a concept to have disjunctive defining conditions.

A second disjunctive hybrid definition, with an historical cast, Robert Stecker’s historical functionalism, holds that an item is an artwork at time t , where t is not earlier than the time at which the item is made, if and only if it is in one of the central art forms at t and is made with the intention of fulfilling a function art has at t or it is an artifact that achieves excellence in achieving such a function (Stecker 2005). A question for Stecker’s view is whether or not it provides an adequate account of what it is for a function to be an art function, and whether, consequently, it can accommodate anti-aesthetic or non-aesthetic art. The grounds given for thinking that it can are that, while art’s original functions were aesthetic, those functions, and the intentions with which art is made, can change in unforeseeable ways. Moreover, aesthetic properties are not always preeminent in art’s predecessor concepts (Stecker 2000). A worry is that if the operative assumption is that if x belongs to a predecessor tradition of T then x belongs to T , the possibility is not ruled out that if, for example, the tradition of magic is a predecessor tradition of the scientific tradition, then entities that belong to the magic tradition but lacking any of the standard hallmarks of science are scientific entities.

A third hybrid definition, also disjunctive, is the cladistic definition defended by Stephen Davies. who holds that something is art (a) if it shows excellence of skill and achievement in realizing significant aesthetic goals, and either doing so is its primary, identifying function or doing so makes a vital contribution to the realization of its primary, identifying function, or (b) if it falls under an art genre or art form established and publicly recognized within an art tradition, or (c) if it is intended by its maker/presenter to be art and its maker/presenter does what is necessary and appropriate to realizing that intention (Davies, 2015). (In biology, a clade is a segment in the tree of life: a group of organisms and the common ancestor they share.) Artworlds are to be characterized in terms of their origins: they begin with prehistoric art ancestors, and grow into artworlds. Hence all artworks occupy a line of descent from their prehistoric art ancestors; that line of descent comprises an art tradition that grows into an artworld. So the definition is bottom-up and resolutely anthropocentric. A worry: the view seems to entail that art traditions can undergo any changes whatsoever and remain art traditions, since, no matter how distant, every occupant of the right line of descent is part of the art tradition. This seems to amount to saying that as long as they remain traditions at all, art traditions cannot die. Whether art is immortal in this sense seems open to question. A second worry is that the requirement that every art tradition and artworld stand in some line of descent from prehistoric humanoids makes it in principle impossible for any nonhuman species to make art, as long as that species fails to occupy the right location in the tree of life. While the epistemological challenges that identifying artworks made by nonhumans might pose could be very considerable, this consequence of the cladistic definition’s emphasis on lineage rather than traits raises a concern about excessively insularity.

A fourth hybrid definition is the “buck-passing” view of Lopes, which attempts an escape from the stalemate between artwork-focused definitions over avant-garde anti-aesthetic cases by adopting a strategy that shifts the focus of the definition of art away from artworks. The strategy is to recenter philosophical efforts on different problems, which require attention anyway: (a) the problem of giving an account of each individual art, and (b) the problem of defining what it is to be an art, the latter by giving an account of the larger class of normative/appreciative kinds to which the arts (and some non-arts) belong. For, given definitions of the individual arts, and a definition of what it is to be an art, if every artwork belongs to at least one art (if it belongs to no existing art, then it pioneers a new art), then a definition of artwork falls out: x is a work of art if and only if x is a work of K, where K is an art (Lopes 2014). When fully spelled out, the definition is disjunctive: x is a work of art if and only if x is a work belonging to art 1 or x is a work belonging to art 2 or x is a work belonging to art 3 …. Most of the explanatory work is done by the theories of the individual arts, since, given the assumption that every artwork belongs to at least one art, possession of theories of the individual arts would be necessary and sufficient for settling the artistic or non-artistic status of any hard case, once it is determined what art a given work belongs to. As to what makes a practice an art, Lopes’ preferred answer seems to be institutionalism of a Dickiean variety: an art is an institution in which artists (persons who participate with understanding in the making of artworks) make artworks to be presented to an artworld public. (Lopes 2014, Dickie 1984) Thus, on this view, it is arbitrary which activities are artworld systems: there is no deeper answer to the question of what makes music an art than that it has the right institutional structure. [ 4 ] So it is arbitrary which activities are arts. Two worries. First, the key claim that every work of art belonging to no extant art pioneers a new art may be defended on the grounds that any reason to say that a work belonging to no extant artform is an artwork is a reason to say that it pioneers a new artform. In response, it is noted that the question of whether or not a thing belongs to an art arises only when, and because, there is a prior reason for thinking that the thing is an artwork. So it seems that what it is to be an artwork is prior, in some sense, to what it is to be an art. Second, on the buck-passing theory’s institutional theory of the arts, which activities are arts is arbitrary. This raises a version of the question that was raised about the cladistic definition’s ability to account for the existence of art outside our (Hominin) tradition. Suppose the connection between a practice’s traits and its status as an art are wholly contingent. Then the fact that a practice in another culture that although not part of our tradition had most of the traits of one of our own arts would be no reason to think that practice was an art, and no reason to think that the objects belonging to it were artworks. It is not clear that we are really so in the dark when it comes to determining whether practices in alien cultures or traditions are arts.

Conventionalist definitions account well for modern art, but have difficulty accounting for art’s universality – especially the fact that there can be art disconnected from “our” (Western) institutions and traditions, and our species. They also struggle to account for the fact that the same aesthetic terms are routinely applied to artworks, natural objects, humans, and abstracta. Aesthetic definitions do better accounting for art’s traditional, universal features, but less well, at least according to their critics, with revolutionary modern art; their further defense requires an account of the aesthetic which can be extended in a principled way to conceptual and other radical art. (An aesthetic definition and a conventionalist one could simply be conjoined. But that would merely raise, without answering, the fundamental question of the unity or disunity of the class of artworks.) Which defect is the more serious one depends on which explananda are the more important. Arguments at this level are hard to come by, because positions are hard to motivate in ways that do not depend on prior conventionalist and functionalist sympathies. If list-like definitions are flawed because uninformative, then so are conventionalist definitions, whether institutional or historical. Of course, if the class of artworks, or of the arts, is a mere chaotic heap, lacking any genuine unity, then enumerative definitions cannot be faulted for being uninformative: they do all the explaining that it is possible to do, because they capture all the unity that there is to capture. In that case the worry articulated by one prominent aesthetician, who wrote earlier of the “bloated, unwieldy” concept of art which institutional definitions aim to capture, needs to be taken seriously, even if it turns out to be ungrounded: “It is not at all clear that these words – ‘What is art?’ – express anything like a single question, to which competing answers are given, or whether philosophers proposing answers are even engaged in the same debate…. The sheer variety of proposed definitions should give us pause. One cannot help wondering whether there is any sense in which they are attempts to … clarify the same cultural practices, or address the same issue” (Walton 2007).

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aesthetics: aesthetic judgment | aesthetics: German, in the 18th century | Aristotle, General Topics: aesthetics | Dewey, John: aesthetics | Kant, Immanuel: aesthetics and teleology | Nietzsche, Friedrich | Plato: rhetoric and poetry | Schopenhauer, Arthur

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Art Therapy: A Complementary Treatment for Mental Disorders

Jingxuan hu.

1 College of Creative Design, Shenzhen Technology University, Shenzhen, China

Jinhuan Zhang

2 The Fourth Clinical Medical College of Guangzhou University of Chinese Medicine, Shenzhen, China

3 Institute of Biomedical and Health Engineering, Shenzhen Institutes of Advanced Technology, Chinese Academy of Sciences, Shenzhen, China

Art therapy, as a non-pharmacological medical complementary and alternative therapy, has been used as one of medical interventions with good clinical effects on mental disorders. However, systematically reviewed in detail in clinical situations is lacking. Here, we searched on PubMed for art therapy in an attempt to explore its theoretical basis, clinical applications, and future perspectives to summary its global pictures. Since drawings and paintings have been historically recognized as a useful part of therapeutic processes in art therapy, we focused on studies of art therapy which mainly includes painting and drawing as media. As a result, a total of 413 literature were identified. After carefully reading full articles, we found that art therapy has been gradually and successfully used for patients with mental disorders with positive outcomes, mainly reducing suffering from mental symptoms. These disorders mainly include depression disorders and anxiety, cognitive impairment and dementias, Alzheimer’s disease, schizophrenia, and autism. These findings suggest that art therapy can not only be served as an useful therapeutic method to assist patients to open up and share their feelings, views, and experiences, but also as an auxiliary treatment for diagnosing diseases to help medical specialists obtain complementary information different from conventional tests. We humbly believe that art therapy has great potential in clinical applications on mental disorders to be further explored.

Introduction

Mental disorders constitute a huge social and economic burden for health care systems worldwide ( Zschucke et al., 2013 ; Kenbubpha et al., 2018 ). In China, the lifetime prevalence of mental disorders was 24.20%, and 1-month prevalence of mental disorders was 14.27% ( Xu et al., 2017 ). The situation is more severely in other countries, especially for developing ones. Given the large numbers of people in need and the humanitarian imperative to reduce suffering, there is an urgent need to implement scalable mental health interventions to address this burden. While pharmacological treatment is the first choice for mental disorders to alleviate the major symptoms, many antipsychotics contribute to poor quality of life and debilitating adverse effects. Therefore, clinicians have turned toward to complementary treatments, such as art therapy in addressing the health needs of patients more than half a century ago.

Art therapy, is defined by the British Association of Art Therapists as: “a form of psychotherapy that uses art media as its primary mode of expression and communication. Clients referred to art therapists are not required to have experience or skills in the arts. The art therapist’s primary concern is not to make an esthetic or diagnostic assessment of the client’s image. The overall goal of its practitioners is to enable clients to change and grow on a personal level through the use of artistic materials in a safe and convenient environment” ( British Association of Art Therapists, 2015 ), whereas as: “an integrative mental health and human services profession that enriches the lives of individuals, families, and communities through active art-making, creative process, applied psychological theory, and human experience within a psycho-therapeutic relationship” ( American Art Therapy Association, 2018 ) according to the American Art Association. It has gradually become a well-known form of spiritual support and complementary therapy ( Faller and Schmidt, 2004 ; Nainis et al., 2006 ). During the therapy, art therapists can utilize many different art materials as media (i.e., visual art, painting, drawing, music, dance, drama, and writing) ( Deshmukh et al., 2018 ; Chiang et al., 2019 ). Among them, drawings and paintings have been historically recognized as the most useful part of therapeutic processes within psychiatric and psychological specialties ( British Association of Art Therapists, 2015 ). Moreover, many other art forms gradually fall under the prevue of their own professions (e.g., music therapy, dance/movement therapy, and drama therapy) ( Deshmukh et al., 2018 ). Thus, we excluded these studies and only focused on studies of art therapy which mainly includes painting and drawing as media. Specifically, it focuses on capturing psychodynamic processes by means of “inner pictures,” which become visible by the creative process ( Steinbauer et al., 1999 ). These pictures reflect the psychopathology of different psychiatric disorders and even their corresponding therapeutic process based on specific rules and criterion ( Steinbauer and Taucher, 2001 ). It has been gradually recognized and used as an alternative treatment for therapeutic processes within psychiatric and psychological specialties, as well as medical and neurology-based scientific audiences ( Burton, 2009 ).

The development of art therapy comes partly from the artistic expression of the belief in unspoken things, and partly from the clinical work of art therapists in the medical setting with various groups of patients ( Malchiodi, 2013 ). It is defined as the application of artistic expressions and images to individuals who are physically ill, undergoing invasive medical procedures, such as surgery or chemotherapy for clinical usage ( Bar-Sela et al., 2007 ; Forzoni et al., 2010 ; Liebmann and Weston, 2015 ). The American Art Therapy Association describes its main functions as improving cognitive and sensorimotor functions, fostering self-esteem and self-awareness, cultivating emotional resilience, promoting insight, enhancing social skills, reducing and resolving conflicts and distress, and promoting societal and ecological changes ( American Art Therapy Association, 2018 ).

However, despite the above advantages, published systematically review on this topic is lacking. Therefore, this review aims to explore its clinical applications and future perspectives to summary its global pictures, so as to provide more clinical treatment options and research directions for therapists and researchers.

Publications of Art Therapy

The literatures about “art therapy” published from January 2006 to December 2020 were searched in the PubMed database. The following topics were used: Title/Abstract = “art therapy,” Indexes Timespan = 2006–2020.

A total of 652 records were found. Then, we manually screened out the literatures that contained the word “art” but was not relevant with the subject of this study, such as state of the art therapy, antiretroviral therapy (ART), and assisted reproductive technology (ART). Finally, 479 records about art therapy were identified. Since we aimed to focus on art therapy included painting and drawing as major media, we screened out literatures deeper, and identified 413 (84%) literatures involved in painting and drawing ( Figure 1 ).

Number of publications about art therapy.

As we can see, the number of literature about art therapy is increasing slowly in the last 15 years, reaching a peak in 2020. This indicates that more effort was made on this topic in recent years ( Figure 1 ).

Overview of Art Therapy

As defined by the British Association of Art Therapists, art therapy is a form of psychotherapy that uses art media as its primary mode of communication. Based on above literature, several highlights need to be summarized. (1) The main media of art therapy include painting, drawing, music, drama, dance, drama, and writing ( Chiang et al., 2019 ). (2) Main contents of painting and drawing include blind drawing, spiral drawing, drawing moods and self-portraits ( Legrand et al., 2017 ; Abbing et al., 2018 ; Papangelo et al., 2020 ). (3) Art therapy is mainly used for cancer, depression and anxiety, autism, dementia and cognitive impairment, as these patients are reluctant to express themselves in words ( Attard and Larkin, 2016 ; Deshmukh et al., 2018 ; Chiang et al., 2019 ). It plays an important role in facilitating engagement when direct verbal interaction becomes difficult, and provides a safe and indirect way to connect oneself with others ( Papangelo et al., 2020 ). Moreover, we found that art therapy has been gradually and successfully used for patients with mental disorders with positive outcomes, mainly reducing suffering from mental symptoms. These findings suggest that art therapy can not only be served as an useful therapeutic method to assist patients to open up and share their feelings, views, and experiences, but also as an auxiliary treatment for diagnosing diseases to help medical specialists obtain complementary information different from conventional tests.

Art Therapy for Mental Disorders

Based on the 413 searched literatures, we further limited them to mental disorders using the following key words, respectively: Depression OR anxiety OR Cognitive impairment OR dementia OR Alzheimer’s disease OR Autism OR Schizophrenia OR mental disorder. As a result, a total of 23 studies (5%) ( Table 1 ) were included and classified after reading the abstract and the full text carefully. These studies include 9 articles on depression and anxiety, 4 articles on cognitive impairment and dementia, 3 articles on Alzheimer’s disease, 3 articles on autism, and 4 articles on schizophrenia. In addition to the English literature, in fact, some Chinese literatures also described the application of art therapy in mental diseases, which were not listed but referred to in the following specific literatures.

Studies of art therapy in mental diseases.

Depression Disorders and Anxiety

Depression and anxiety disorders are highly prevalent, affecting individuals, their families and the individual’s role in society ( Birgitta et al., 2018 ). Depression is a disabling and costly condition associated with a significant reduction in quality of life, medical comorbidities and mortality ( Demyttenaere et al., 2004 ; Whiteford et al., 2013 ; Cuijpers et al., 2014 ). Anxiety is associated with lower quality of life and negative effects on psychosocial functioning ( Cramer et al., 2005 ). Medication is the most commonly used effective way to relieve symptoms of depression and anxiety. However, nonadherence are crucial shortcomings in using antidepressant to treat depression and anxiety ( van Geffen et al., 2007 ; Nielsen et al., 2019 ).

In recent years, many studies have shown that art therapy plays a significant role in alleviating depression symptoms and anxiety. Gussak (2007) performed an observational survey about populations in prison of northern Florida and identified that art therapy significantly reduces depressive symptoms. Similarly, a randomized, controlled, and single-blind study about art therapy for depression with the elderly showed that painting as an adjuvant treatment for depression can reduce depressive and anxiety symptoms ( Ciasca et al., 2018 ). In addition, art therapy is also widely used among students, and several studies ( Runde, 2008 ; Zhenhai and Yunhua, 2011 ) have shown that art therapy also significantly reduces depressive symptoms in students. For example, Wang et al. (2011) conducted group painting therapy on 30 patients with depression for 3 months, and found that painting therapy could promote their social function recovery, improve their social adaptability and quality of life. Another randomized clinical trial also showed that it could decrease mean anxiety scores in the 3–12 year painting group ( Forouzandeh et al., 2020 ).

Studies have shown that distress, including anxiety and depression, is related to poorer health-related quality of life and satisfaction to medical services ( Hamer et al., 2009 ). Painting can be employed to express patients’ anxiety and fear, vent negative emotions by applying projection, thereby significantly improve the mood and reduce symptoms of depression and anxiety of cancer patients. A number of studies ( Bar-Sela et al., 2007 ; Thyme et al., 2009 ; Lin et al., 2012 ; Abdulah and Abdulla, 2018 ) showed that art therapy for cancer patients could enhance the vitality of patients and participation in social activities, significantly reduce depression, anxiety, and reduce stressful feelings. Importantly, even in the follow-up period, art therapy still has a lasting effect on cancer patients ( Thyme et al., 2009 ). Interestingly, art therapy based on famous painting appreciation could also significantly reduce anxiety and depression associated with cancer ( Lee et al., 2017 ). Among cancer patients treated in outpatient health care, art therapy also plays an important role in alleviating their physical symptoms and mental health ( Götze et al., 2009 ). Therefore, art therapy as an auxiliary treatment of cancer is of great value in improving quality of life.

Overall, art painting therapy permits patients to express themselves in a manner acceptable to the inside and outside culture, thereby diminishing depressed and anxiety symptoms.

Cognitive Impairment, and Dementia

Dementia, a progressive clinical syndrome, is characterized by widespread cognitive impairment in memory, thinking, behavior, emotion and performance, leading to worse daily living ( Deshmukh et al., 2018 ). According to the Alzheimer’s Disease International 2015, there is 46.8 million people suffered from dementia, and numbers almost doubling every 20 years, rising to 131.5 million by 2050. Although art therapy has been used as an alternative treatment for the dementia for long time, the positive effects of painting therapy on cognitive function remain largely unknown. One intervention assigned older adults patients with dementia to a group-based art therapy (including painting) observed significant improvements in the clock drawing test ( Pike, 2013 ), whereas two other randomized controlled trials ( Hattori et al., 2011 ; Rusted et al., 2016 ) on patients with dementia have failed to obtain significant cognitive improvement in the painting group. Moreover, a cochrane systematic review ( Deshmukh et al., 2018 ) included two clinical studies of art therapy for dementia revealed that there is no sufficient evidence about the efficacy of art therapy for dementia. This may be because patients with severely cognitive impairment, who was unable to accurately remember or assess their own behavior or mental state, might lose the ability to enjoy the benefits of art therapy.

In summary, we should intervene earlier in patients with mild cognitive impairment, an intermediate stage between normal aging and dementia, in order to prevent further transformation into dementia. To date, mild cognitive impairment is drawing much attention to the importance of painting intervening at this stage in order to alter the course of subsequent cognitive decline as soon as possible ( Petersen et al., 2014 ). Recently, a randomized controlled trial ( Yu et al., 2021 ) showed significant relationship between improvement immediate memory/working memory span and increased cortical thickness in right middle frontal gyrus in the painting art group. With the long-term cognitive stimulation and engagement from multiple sessions of painting therapy, it is likely that painting therapy could lead to enhanced cognitive functioning for these patients.

Alzheimer’s Disease

Alzheimer’s disease (AD) is a sub-type of dementia, which is usually associated with chronic pain. Previous studies suggested that art therapy could be used as a complementary treatment to relief pain for these patients since medication might induce severely side effects. In a multicenter randomized controlled trial, 28 mild AD patients showed significant pain reduction, reduced anxiety, improved quality of life, improved digit span, and inhibitory processes, as well as reduced depression symptoms after 12-week painting ( Pongan et al., 2017 ; Alvarenga et al., 2018 ). Further study also suggested that individual therapy rather than group therapy could be more optimal since neuroticism can decrease efficacy of painting intervention on pain in patients with mild AD. In addition to release chronic pain, art therapy has been reported to show positive effects on cognitive and psychological symptoms in patients with mild AD. For example, a controlled study revealed significant improvement in the apathy scale and quality of life after 12 weeks of painting treatment mainly including color abstract patterns with pastel crayons or water-based paint ( Hattori et al., 2011 ). Another study also revealed that AD patients showed improvement in facial expression, discourse content and mood after 3-weeks painting intervention ( Narme et al., 2012 ).

Schizophrenia

Schizophrenia is a complex functional psychotic mental illness that affects about 1% of the population at some point in their life ( Kolliakou et al., 2011 ). Not only do sufferers experience “positive” symptoms such as hallucinations, delusions, but also experience negative symptoms such as varying degrees of anhedonia and asociality, impaired working memory and attention, poverty of speech, and lack of motivation ( Andreasen and Olsen, 1982 ). Many patients with schizophrenia remain symptomatic despite pharmacotherapy, and even attempts to suicide with a rate of 10 to 50% ( De Sousa et al., 2020 ). For these patients, art therapy is highly recommended to process emotional, cognitive and psychotic experiences to release symptoms. Indeed, many forms of art therapy have been successfully used in schizophrenia, whether and how painting may interfere with psychopathology to release symptoms remains largely unknown.

A recent review including 20 studies overall was performed to summary findings, however, concluded that it is not clear whether art therapy leads to clinical improvement in schizophrenia with low ( Ruiz et al., 2017 ). Anyway, many randomized clinical trials reported positive outcomes. For example, Richardson et al. (2007) conducted painting therapy for six months in patients with chronic schizophrenia and found that art therapy had a positive effect on negative symptoms. Teglbjaerg (2011) examined experience of each patient using interviews and written evaluations before and after painting therapy and at a 1-year follow-up and found that group painting therapy in patients with schizophrenia could not only reduce psychotic symptoms, but also boost self-esteem and improve social function.

What’s more, the characteristics of the painting can also be used to judge the health condition in patients with schizophrenia. For example, Hongxia et al. (2013) explored the correlation between psychological health condition and characteristics of House-Tree-Person tests for patients with schizophrenia, and showed that the detail characteristic of the test results can be used to judge the patient’s anxiety, depression, and obsessive-compulsive symptoms.

Most importantly, several other studies showed that drug plus painting therapy significantly enhanced patient compliance and self-cognition than drug therapy alone in patients with schizophrenia ( Hongyan and JinJie, 2010 ; Min, 2010 ).

Autism spectrum disorder (ASD) is a heterogeneous neurodevelopmental syndrome with no unified pathological or neurobiological etiology, which is characterized by difficulties in social interaction, communication problems, and a tendency to engage in repetitive behaviors ( Geschwind and Levitt, 2007 ).

Art therapy is a form of expression that opens the door to communication without verbal interaction. It provides therapists with the opportunity to interact one-on-one with individuals with autism, and make broad connections in a more comfortable and effective way ( Babaei et al., 2020 ). Emery (2004) did a case study about a 6-year-old boy diagnosed with autism and found that art therapy is of great value to the development, growth and communication skills of the boy. Recently, one study ( Jalambadani, 2020 ) using 40 children with ASD participating in painting therapy showed that painting therapy had a significant improvement in the social interactions, adaptive behaviors and emotions. Therefore, encouraging children with ASD to express their experience by using nonverbal expressions is crucial to their development. Evans and Dubowski (2001) believed that creating images on paper could help children express their internal images, thereby enhance their imagination and abstract thinking. Painting can also help autistic children express and vent negative emotions and thereby bring positive emotional experience and promote their self-consciousness ( Martin, 2009 ). According to two studies ( Wen and Zhaoming, 2009 ; Jianhua and Xiaolu, 2013 ) in China, Art therapy could also improve the language and communication skills, cognitive and behavioral performance of children with ASD.

Moreover, art therapy could be used to investigate the relationship between cognitive processes and imagination in children with ASD. One study ( Wen and Zhaoming, 2009 ; Jianhua and Xiaolu, 2013 ) suggested that children with ASD apply a unique cognitive strategy in imaginative drawing. Another study ( Low et al., 2009 ) examined the cognitive underpinnings of spontaneous imagination in children with ASD and showed that ASD group lacks imagination, generative ability, planning ability and good consistency in their drawings. In addition, several studies ( Leevers and Harris, 1998 ; Craig and Baron-Cohen, 1999 ; Craig et al., 2001 ) have been performed to investigate imagination and creativity of autism via drawing tasks, and showed impairments of autism in imagination and creativity via drawing tasks.

In a word, art therapy plays a significant role in children with ASD, not only as a method of treatment, but also in understanding and investigating patients’ problems.

Other Applications

In addition to the above mentioned diseases, art therapy has also been adopted in other applications. Dysarthia is a common sequela of cerebral palsy (CP), which directly affects children’s language intelligibility and psycho-social adjustment. Speech therapy does not always help CP children to speak more intelligibly. Interestingly, the art therapy can significantly improve the language intelligibility and their social skills for children with CP ( Wilk et al., 2010 ).

In brief, these studies suggest that art therapy is meaningful and accepted by both patients and therapists. Most often, art therapy could strengthen patient’s emotional expression, self-esteem, and self-awareness. However, our findings are based on relatively small samples and few good-quality qualitative studies, and require cautious interpretation.

The Application Prospects of Art Therapy

With the development of modern medical technology, life expectancy is also increasing. At the same time, it also brings some side effects and psychological problems during the treatment process, especially for patients with mental illness. Therefore, there is an increasing demand for finding appropriate complementary therapies to improve life quality of patients and psychological health. Art therapy is primarily offered as individual art therapy, in this review, we found that art therapy was most commonly used for depression and anxiety.

Based on the above findings, art therapy, as a non-verbal psychotherapy method, not only serves as an auxiliary tool for diagnosing diseases, which helps medical specialists obtain much information that is difficult to gain from conventional tests, judge the severity and progression of diseases, and understand patients’ psychological state from painting characteristics, but also is an useful therapeutic method, which helps patients open up and share their feelings, views, and experiences. Additionally, the implementation of art therapy is not limited by age, language, diseases or environment, and is easy to be accepted by patients.

Art therapy in hospitals and clinical settings could be very helpful to aid treatment and therapy, and to enhance communications between patients and on-site medical staffs in a non-verbal way. Moreover, art therapy could be more effective when combined with other forms of therapy such as music, dance and other sensory stimuli.

The medical mechanism underlying art therapy using painting as the medium for intervention remains largely unclear in the literature ( Salmon, 1993 ; Broadbent et al., 2004 ; Guillemin, 2004 ), and the evidence for effectiveness is insufficient ( Mirabella, 2015 ). Although a number of studies have shown that art therapy could improve the quality of life and mental health of patients, standard and rigorous clinical trials with large samples are still lacking. Moreover, the long-term effect is yet to be assessed due to the lack of follow-up assessment of art therapy.

In some cases, art therapy using painting as the medium may be difficult to be implemented in hospitals, due to medical and health regulations (may be partly due to potential of messes, lack of sink and cleaning space for proper disposal of paints, storage of paints, and toxins of allergens in the paint), insufficient space for the artwork to dry without getting in the way or getting damaged, and negative medical settings and family environments. Nevertheless, these difficulties can be overcome due to great benefits of the art therapy. We thus humbly believe that art therapy has great potential for mental disorders.

In the future, art therapy may be more thoroughly investigated in the following directions. First, more high-quality clinical trials should be carried out to gain more reliable and rigorous evidence. Second, the evaluation methods for the effectiveness of art therapy need to be as diverse as possible. It is necessary for the investigation to include not only subjective scale evaluations, but also objective means such as brain imaging and hematological examinations to be more convincing. Third, it will be helpful to specify the details of the art therapy and patients for objective comparisons, including types of diseases, painting methods, required qualifications of the therapist to perform the art therapy, and the theoretical basis and mechanism of the therapy. This practice should be continuously promoted in both hospitals and communities. Fourth, guidelines about art therapy should be gradually formed on the basis of accumulated evidence. Finally, mechanism of art therapy should be further investigated in a variety of ways, such as at the neurological, cellular, and molecular levels.

Author Contributions

JH designed the whole study, analyzed the data, and wrote the manuscript. JZ searched for selected the studies. LH participated in the interpretation of data. HY and JX offered good suggestions. All authors read and approved the final manuscript.

Conflict of Interest

The authors declare that the research was conducted in the absence of any commercial or financial relationships that could be construed as a potential conflict of interest.

Publisher’s Note

All claims expressed in this article are solely those of the authors and do not necessarily represent those of their affiliated organizations, or those of the publisher, the editors and the reviewers. Any product that may be evaluated in this article, or claim that may be made by its manufacturer, is not guaranteed or endorsed by the publisher.

Funding. This study was financially supported by the National Key R&D Program of China (2019YFC1712200), International standards research on clinical research and service of Acupuncture-Moxibustion (2019YFC1712205), the National Natural Science Foundation of China (62006220), and Shenzhen Science and Technology Research Program (No. JCYJ20200109114816594).

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