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• October, 2016
• Stumbling Blocks in Empirical Legal Research: Case Study Research
• October 2016
• Artikel Stumbling Blocks in Empirical Legal Research: Case Study Research
• Artikel Statistical Analyses of Court Decisions: An Example of Multilevel Models of Sentencing
• Redactioneel Introduction Special Issue Stumbling Blocks in Empirical Legal Research

Citeerwijze van dit artikel: Lisa Webley, ‘Stumbling Blocks in Empirical Legal Research: Case Study Research’, 2016, oktober-december, DOI: 10.5553/REM/.000020

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• Introduction

Such legal research employs an empirical method to draw inferences from observations of phenomena extrinsic to the researcher. Putting it simply, legal researchers often collect and then analyse material (data) that they have read, heard or watched and subsequently make claims about how what they have learned may apply in similar situations that they have not observed (by inference). 1 x For insight into the extent to which legal researchers undertake empirical research and the lack of clarity around empirical methods in law see Epstein, L. and King, G. (2002) ‘The Rules of Inference’ Vol. 69 No. 1 The University of Chicago Law Review 1-133 at 3-6, Part I. One such form of empirical method is the case study, a methodological term which has been used by some researchers to describe studies that employ a combination of data sources to derive in-depth insight into a particular situation, by others to denote a particular ideological approach to research recognizing that the study is situated within its real-world context. 2 x Yin, R. K. (2014) Case Study Research Design and Methods (5th edn.) Sage Publications, 12-14. It is consequently a flexible definition encompassing approaches to the data and the stance of the researcher, 3 x See Hamel, J. with Dufour, S. and Fortin, D. (1993) Qualitative Research Methods Volume 2 , Sage Publications, ch 1. but its malleability has led some researchers incorrectly to stretch the term to encompass any study that focuses on one or a restricted number of situations. 4 x See Gerring, J. Case Study Research: Principles and Practices , Cambridge, Cambridge University Press, 2007 at 6. For a further discussion see Gerring, J. ‘What is a case study and what is it good for?’ (2004) Vol. 98 No 2 American Political Science Review 341-354. This looseness in definition in a legal context may perhaps be linked to confusion as between teaching and research case studies; some traditions in legal education employ a teaching method known also as ‘case study method’ which operates quite differently from its research counterpart. For a discussion of the differences between teaching and research case studies see Yin, 2014, 20 and for a discussion of teaching case studies see Ellet, W., (2007) The Case Study Handbook: How to Read, Discuss, and Write Persuasively About Cases , Boston MA, Harvard Business Review Press; Garvin, D. A. (2003) ‘Making the Case: Professional Education for the World of Practice.’ (Sept–Oct) Harvard Magazine 56-65. This has resulted in concerns that the definition has been co-opted as a means to explain any small n 5 x ‘n’ (number) is used to denote the number of observations in the study, N is used to describe the total number within the population when n denotes the sample observed. empirical study that has a focus on a particular subject, time-frame or location, and further that this has led to poor quality empirical research in law. 6 x For a discussion of the state of empirical research in law see Epstein and King, 2002. This is perhaps unsurprising, as law programmes tend to be very strong at teaching lawyers how to source, interrogate and then draw valid inferences from legal data sources such as cases and legislation, but less adept in the context of other types of data (for example survey data, interviews, non-legal documents and/or observation). 7 x See Webley, L. (2010) ‘Part III Doing Empirical Legal Studies Research Chapter 38 - Qualitative Approaches to ELS’ in Cane, P. and Kritzer, H. (eds.) Oxford Handbook of Empirical Legal Studies , Oxford, Oxford University Press. Case study method usually involves an array of research methods to generate a spectrum of numerical and non-numerical data that when triangulated provide a means through which to draw robust, reliable, valid inferences about law in the real world. 8 x For a discussion about the differences between numerical (quantitative) and non-numerical (qualitative) data see Webley, id; Epstein and King, 2002, at 2-3; King,G., Keohane, R. O., and Verba, S ., Designing Social Inquiry: Scientific Inference in Qualitative Research , Princeton NJ, Princeton University Press, 1994 at 6. It is relatively underused in empirical legal research. This article aims to make a contribution to those new to the case study method. It will examine the purpose of and why one may wish to undertake a case study, and work through the key elements of case study method including the main assumptions and theoretical underpinnings of this method. It will then turn to the importance of research design, including the crucial roles of the academic literature review, the research question and the use of rival theories to develop hypotheses in case study method. It will touch upon the relevance of identifying the observable implications of those hypotheses, and thus the selection of data sources and modes of analysis to allow for valid analytical inferences to be drawn in respect of them. In doing so it will consider, in brief, the importance of case study selection and variations like single or multi case approaches. Finally, it will conclude with some thoughts about the strengths and weaknesses associated with undertaking research via a case study method. It will address frequent stumbling blocks encountered by researchers, as well as ways so as to militate against common problems that researchers encounter. The discussion is necessarily cursory given the length of this article, but the footnotes provide much more detailed sources of guidance on each of the points raised here. This article is an introduction to a case study method rather than an analytical work on the method.

• 1. Case Study Method: Purpose of a Case Study, Why Undertake One?

Case study method falls within the social science discipline and as such has scientific underpinnings. The case study examines phenomena in context, where context and findings cannot be separated. Case study design is also sometimes used to investigate how actors consider, interpret and understand phenomena (e.g., law, procedure, policy) and therefore allows the researcher to study perceptions of processes and how they influence behaviour, for example to understand judges’ sentencing choices in a Dutch police court. 9 x Mascini, P., van Oorschot, I., Weenink, D. and Schippers, G., (2016) ‘Understanding judges’ choices of sentence types as interpretative work: An explorative study in a Dutch police court’, (37) (1) Recht der Werkelijkheid 32-49. This may help to understand how laws are understood, and how and why they are applied and misapplied, subverted, complied with or rejected. This can flow back into the legal and policy making processes, court procedure, sentencing, punishment, diversion of offenders etc., and may have a high impact as a result. The conditions precedent for case study method have been succinctly explained by Yin as follows:

‘doing a case study would be the preferred method, compared to the others, in situations when (1) the main research questions are “how” or “why” questions; (2) a researcher has little or no control over behavioural events; and (3) the focus of study is a contemporary (as opposed to entirely historical) phenomenon.’ 10 x Yin, 2014: xxxi and further 16-17.

The key points to note here are that a case study is a real-world in-depth investigation of a current complex phenomenon. The research will take place in situ (rather than in the library or moot court room) where the researcher cannot control the behaviour of research participants.

The purpose of the study is to learn how or why something happens or is the way it is, and this is achieved by collecting and triangulating a range of data sources to test or explore hypotheses. 11 x Triangulation is the term used to explain that a research question is considered from as many different standpoints as possible, using as many different data types as possible to permit a holistic examination of the question to see which explanations, if any, remain consistent across all data sources. It caters for a wide range of modes of enquiry: the investigation may be exploratory (explore why or how something is the way it is), descriptive (describe why or how something is the way it is) or explanatory (determine which of a range of rival hypotheses, theories etc. explain why or how X is the way it is). 12 x Yin, 2014: 5-6. Some categorise case studies as those designed to be theory orientated, and those designed to be practice orientated. 13 x See Dul, J. and Hak, T. (2008) Case Study Methodology in Business Research , Oxford: Elsevier 8-11, 30-59. Thereafter the design scope is very broad; the data collected may be qualitative and/or quantitative, collected via a variety of methods, and the case study may be a single case or be made up of a small number of cases. The breadth of data collected may be illustrated by Latour’s ethnography of the Conseil d’Etat in France, which studied the connections between human and non-human actors to explore their relationship with ‘the legal’ and ‘the Law’ is assembled in that court context. 14 x Latour, B. (2010) The Making of Law: An Ethnography of the Conseil D’Etat , Cambridge: Polity Press. Case study method is a way of thinking about research and a process through which one seeks to produce reliable, fair findings. It can provide deep insight into a particular situation, whether particular in time, in location or in subject-matter. 15 x For a discussion of ethnomethodological aims to study practical life as experienced in context as an end in itself, as experience is subjective and situational, see Small, M.L. ‘‘How many cases do I need?’ On science and the logic of case selection in field-based research’ (2009) Vol. 10 (1) Ethnography 5, 18. It may allow for transferable findings in respect of the theoretical propositions/hypotheses being examined if not to a population as would often be the situation in much quantitative research. 16 x For greater insight on this point see Lipset, S. M., Trow, M. and Coleman, J.S. (1956) Union Democracy: The Internal Politics of the International Typographical Union , New York: New York Free Press at 419-420; Yin, 2014, 21. For a discussion of the problems inherent in aping quantitative terminology in qualitative work see, Small, 2009, 10, and at 19 for further reading on the logic of case study selection and further reading on extended case method. It aims to examine rival hypotheses, propositions, potential explanations previously advanced (exploratory study), or to test findings from a previous case study examining similar phenomena in a new instance (a replication or confirmation study). 17 x Gerring, 2007, 346.

As described so far it is a research method that appears to have a lot in common with experiments and tests of statistical significance. But case study method differs markedly from a big data survey or double-blind experiment in that it seeks explicitly a phenomenon in its natural environment and (in most instances) without means to control for variables, including the behaviour of any participants. 18 x Although note that there are some scholars who believe that case study method can include elements of experimental testing, for example, Gerring, J. and McDermott, R. (2007) ‘An Experimental Template for Case Study Research’ Vol. 51 No. 3 American Journal of Political Science 688-701. One such study in law that has been described by some, if not by the researchers themselves, as a case study did include an experimental design within the battery of methods employed see: Moorhead, R., Sherr, A., Webley, L., Rogers, S., Sherr, L., Paterson, A. & Domberger, S. (2001) Quality and Cost: Final Report on the Contracting of Civil Non-Family Advice and Assistance Pilot (Norwich: The Stationery Office). Experiments aim to control some factors so as to test hypotheses under different conditions, quantitative studies attempt to control for environmental factors through sampling techniques and data collection instrument design so as to minimise their biasing effects, but case study method does not involve control of the environment, or control for the environment, instead it aims to harness context and work within it. It examines in great detail one situation (referred to as a case or unit) or a very small number of situations, to use context as a means to particularise the findings. It also seeks to explain which elements of context may mean that some of the findings are applicable to other situations and if so under what conditions. A case study tells the researcher about the case and the extent to which previous explanations are sustained, in some instances it may also allow the researcher to make claims that some of the findings can be applied to another case or cases too, although this is heavily dependent on the research design and its execution. 19 x Campbell, D.T. Foreword in Yin, 2014 xviii. But it is rarely, if ever, a method that can be used by one to want to make universal claims. A case is not a proxy for a sample of a population in a survey, for example, it is a study of a phenomenon in itself rather than a means through which to view the whole world. Having said that, samples can be used to help select cases in a sound manner. 20 x Seawright, J. and Gerring, J. (2008) ‘Case Selection Techniques in Case Study Research: A Menu of Qualitative and Quantitative Options’ Vol. 61 No. 2 Political Research Quarterly 294-308.

Case studies are only one of a number of ways to undertake socio-legal or criminological research and it is important to give proper consideration to the full range of research methods prior to making a final decision to adopt a case study method. 21 x Yin, 2014: chapter 1. It may be better to employ a different one: legal history; doctrinal legal study (legal cases, legislation, regulatory documents); a policy study (policy documents, communiqués etc.); a statistical analysis (an analysis of the number of different types of legal cases that go before the courts, their key features and what role these play in chances of success for the plaintiff); a large-scale survey; stand-alone interviews; or an experiment in a simulated setting (asking lawyers to read through some scenarios and explain what advice they would give to a client in those situations). But a case study could employ a number of these methods in combination, so how then does one determine whether case study method is right for one’s study? It will largely depend on the nature of the research question to be answered and one’s appetite for undertaking in-depth research aimed at achieving thick description (detailed description of how or why something is as it is) 22 x For a discussion see: Ryle, G. (1949). The Concept of Mind . London: Hutchinson; Lincoln, Y.S. and Guba, E.G. (1985). Naturalistic Inquiry . Newbury Park, CA: Sage Publications; Holloway, I. (1997). Basic Concepts for Qualitative Research . London: Blackwell Science. and/or triangulated findings derived from a range of data sources that develop a new theory or test existing rival theories. It is an intensive study, it requires extremely good planning and design and a robust approach to data analysis too.

• 2. Case Study Method: Research Design

Research design is of paramount importance in achieving a successful case study, especially so given that the study focuses on one or a small number of situations and the researcher’s in-depth knowledge of and immersion within that case may lead more readily to confirmation bias than in some other forms of study. 23 x Confirmation or interpretive bias of data is something we all have grapple with, as the natural human tendency is to place more weight on evidence that confirms our view than on evidence that contradicts it. Strong research design can assist with counter-balancing this to some extent, including the transformation of any expected finding into a hypothesis that one then seeks to falsify rather than to confirm. Research design begins with the choice of research topic, usually then followed by a review of any relevant academic literatures (perhaps beyond the boundaries of one’s own discipline, for example sociology, criminology, political science) to determine an appropriate research question, noting all possible answers to the research question that are posited in the literature. 24 x See Yin, 2014, chapter 1 for more information on the role of the literature review. During this iterative phase the research question will be further refined, so that it may be articulated with precision, which is particularly important for much case study research as the link between the question and the chosen case or cases is usually explicit and explained, consequently a clear research question is considered by many to be an essential starting point to aid the selection of cases to be examined. The rival hypotheses, theories or propositions that may answer the question should, normally, be similarly delineated and clarified, those that remain plausible answers to the research question should be retained and be supplemented with any others that the researcher considers to be alternative viable explanations. Other approaches may be used that are more inductive than deductive, as in the case of many ethnographic case studies such as Latour’s, for example. This phase is an intellectually demanding one, but it sets the foundation for a strong study that is easier to execute at the point of data collection. The literature review also helps to ensure one is up-to-date, that one does not make the same mistakes that earlier researchers have reported as hazards, and to add a theoretical depth to one’s study that aids sophisticated analysis. It may also help to identify useful data collection methods and instruments too. And so time spent on the literature review may be very profitable. So far the discussion has been very general and therefore a little abstract. At this stage it may help to consider a hypothetical research proposal for case study research and work though it as the article progresses. The researcher in our hypothetical scenario is interested in undertaking research on recent reforms to the use of family mediation in the family justice system in England and Wales. She knows that it is now compulsory in most instances for the person who is initiating any court proceedings in a divorce to have participated in at least one mediation information and advice session with the aim of negotiating an outcome in relation to children, money and/or property prior to initiating proceedings in court. She is clear on the law and the procedural issues but not clear on how effective have been these changes, and this is her broad area of interest. After completing her literature review she understands that the key aims of the reforms were to reduce the number of cases going to court by increasing the number of cases that result in negotiated agreements between the divorcing spouses and in doing so to reduce the cost and the time involved in reaching outcomes in divorce cases, reduce the need for people to use lawyers in the negotiating process, to reduce acrimony between the divorcing spouses and to reduce the negative effects on children. Further, the reforms were intended to promote more durable outcomes between divorcing spouses that could be renegotiated effectively if the arrangements for the children needed to be updated to meet changing circumstances. But the researcher still needs to work these insights into a research question before making a final decision on whether a case study is the best method by which to conduct the research. The next sub-section will consider the framing of the research question, and will include examples of how our researcher may draft her question to maximise her chances of undertaking a great study on her area of interest.

A. The Research Question

The process of defining the research question may be a painful, frustrating one but it could also be creative too. It may be necessary to spend a considerable period of time reading the literature so as to narrow down the research topic or statement to a manageable, novel and/or important and scholarly question. 25 x For more assistance with legal research questions refer to Epstein, L. (1995) Studying Law and the Courts in Lee Epstein (ed) Contemplating Courts , Cong Q, 1, 3-5. Some argue it should also seek to address a real world problem, although that is a controversial component and suggests that knowledge for knowledge’s sake is not a legitimate aim. 26 x See King, Keohane and Verba, 1994, 15. The development of a research topic into a research question with reference to the academic literature is sometimes described as the phase in which the researcher has a conversation or dialogue with the literature. This dialogue grounds the study, it also informs the study design, including the case selection and data to be collected. The research question (a statement that ends with a question mark) is made up of two key elements: its substance, the topic or issue that you wish to address and the form of the question ‘who, what, where, how, why’. 27 x See Yin, 2014, at 11, and see further Campbell, J.P., Daft, R.L., Hulin, C. L. (1982) What to Study: Generating and Developing Research Questions (Studying Organizations) , Sage Publications, for further thoughts on research questions The substance of the research question is not simply the topic but the specifics of the topic – is your study to be a contemporary one or a historical one? In what context are you operating? What precisely are you endeavouring to study? The form of the question is also important: as indicated previously, case study method is considered to be better suited to research questions framed in ‘how’ or ‘why’ terms. Single case studies are considered to be an excellent means by which to uncover and understand the processes or mechanisms that influence particular variables (known as process tracing 28 x On process tracing see: Collier, D. ‘Understanding Process Tracing’ Vol. 44 Political Science and Politics 823-830 and George, A. L. and Bennett, A. Case Studies and Theory Development in the Social Sciences , Cambridge, MA, MIT Press, 2005. For an excellent insight into how this has been used in a legal and policy context with reference to changes in Georgia’s tax laws see Ulriksen, M.S, and Dadalauri, N. ‘Single Studies and Theory-testing: The Knots and Dots of the Process-tracing Method’ (2014) International Journal of Social Research Methodology 1- 17. ), why or how different variables are related to each other, for example what influences legislative change or policy formation on a given topic in a given country at a particular time. They are also a sophisticated means through which to test empirically and deductively the congruence of rival explanations (theories or propositions), ‘to what extent’ or ‘how’ and ‘why’ different theories are borne out by the data. 29 x See Blatter, J. and Haverland, M. Designing Case Studies , Basingstoke, Palgrave MacMillan, 2012 at 145 who consider process tracing involves inductive reasoning to build theory and congruence testing involves deductive reasoning to test theories. The form of the initial research question can confound some researchers who initially phrase their question as a ‘what’ question and as a result unnecessarily rule out case study method. Questions can often be reframed, for example: ‘what have the prosecutorial authorities in England and Wales done to integrate victims of domestic violence into the criminal justice process?’ may be rephrased as ‘how have the prosecutorial authorities in England and Wales integrated victims of domestic violence into the criminal justice process?’. At this stage our hypothetical researcher is faced with some choices: should she consider ‘how have the reforms to family mediation used in the divorce context affected the durability and suitability of post-divorce arrangements in England and Wales?’ This would focus on the agreements whether agreed or adjudicated, their longevity, the extent to which they could be made to work after the divorce and how any amendments to arrangements were sought. Alternatively, she could ask ‘how have the reforms to family mediation affected the way in which divorces are conducted in England and Wales?’ This would examine the steps people took so as to get divorced but may also consider the divorcing couples’ perceptions about the process to assist with examining the policy to reduce acrimony, it could also address how much time and money they spent in the process and it could also elicit data on how constructive was their relationship and negotiations subsequent to the initial agreement or adjudication. It could also bring in the role of lawyers and/or consider the children’s experience of the divorce process too. The research design would then follow the focus of the question. Case studies are much easier to design when the research question is expressed clearly, the theory is used to provide possible answers that may be explored or tested and the boundaries of the study are articulated. Some people find it helps to break down a draft research question into its substance and its form, and describe the purpose of the study in a couple of lines too, 30 x Epstein and King suggest a range of possible purposes, at 59, including: to explore something that has not previously been studied; to attempt to settle a debate that has been ongoing within the literature; to examine a well-considered question but in a new way; to collect and analyse new data to seek to confirm or refute previous findings; to analyse an existing data set in a new or better way to seek to confirm or refute previous findings or to develop new ones. and then compare the extent to which all three are congruent and precise before moving on to the next phase of the design process. We shall consider the important role of theory in the next sub-section.

B. The Theory

Case studies afford the opportunity to observe a sequence of events or factors, to evaluate which produce an outcome and why, 31 x Peters, B.G. Comparative Politics: Theory and Method , Basingstoke, Palgrave, 1998 at 14. and to do so in their natural environment. One of the challenges for legal researchers, less so for criminological or sociological researchers who are often trained more fully in this regard, is the need to engage with theory before moving on to the next stage of research design. By theory I mean the explanations that have been posited in the academic literature for why or how something is the way that it is, or claims that suggest relationships between certain things. 32 x But interestingly, stance, or more accurately epistemology is of less significance to this research method than to many others. Case study method links the research question, research design, analysis and logic of inference to such an extent that is can accommodate a range of epistemological traditions from the realist to relativist/interpretivist. And thus scholars who consider that there are facts independent of our interpretation of them (in essence, hard facts operating in an objective reality) and scholars who consider all ‘facts’ to be local interpretations constructed through our own lenses, are able to operate within a case study framework. Having said that their choice of data sources, and their approach to data generation and analysis may well vary considerably. In this context a theory is a relatively precise speculative answer to a research question, which may have been developed by undertaking a study or by analysing others’ studies (a meta-analysis). And theories can be converted into hypotheses when considered in the light of a new research question. The use of theory is exemplified by Uriksen and Dadalauri’s case study on tax policy reform in Georgia which aimed to answer why and how Georgia initiated and managed to implement quite radical and substantial tax reforms between 1991 and 2005 and in doing so sought to interrogate theoretical explanations about the nature of policy reform in developing countries and further to develop a model that could be tested in other post-Soviet states. 33 x Ulriksen and Dadalauri, ibid. See further Dadalauri, N. Tax Policy Formation and the Transnationalizationof the Public Policy Arena; A Case Study of Georgia , Aarhus, Politica, 2011) Georgia was selected as a crucial case. The reasoning for this and also for the methods employed in this study are elegantly set out in the article cited above. In our hypothetical case study it may be possible, for example, to test the theory that mediated agreements lead to less acrimonious relationships between the divorced couple than do lawyer negotiated agreements. One could examine the theory that family mediation is a cheaper and faster alternative to lawyer negotiated settlements and that those mediated agreements are more durable and better suited to family circumstances. In doing so, one may test existing theories and/or to develop a new theory. Or one could test in the chosen context a single theory that is dominant or particularly novel. Our researcher could undertake further reading of the literature to add to these hypotheses and to refine them and eliminate those that are no longer plausible in the light of more detailed investigation. This is known as setting out ‘priors’, prior explanations raised in the academic literature. 34 x On the importance of the identification of priors see Beach, D. and Pedersen, R.B., ‘What is process tracing actually tracing? The three variants of process tracing methods and their uses and limitations’ Sept 1-4 2011 The American Political Science Association Annual Meeting , Seattle, WA as cited by Ulriksen and Dadalauri, ibid; and further Gerring, 2007 ibid. The researcher’s next task would be to consider what she would expect to observe in the study, were any of these hypotheses true (the observable implications of the hypotheses), for example, our researcher would expect to see that divorces conducted using family mediation would be settled through mediation, that the settlement process would cost less and be concluded quicker than in lawyer-led divorces, and that those that used family mediation would be more able to engage in constructive dialogue post-divorce and to renegotiate arrangements in respect of children without the need to resort to lawyers or to the courts. The researcher may also draw up a hypothesis that the agreements would be more durable and the outcomes for children more positive. This pre-emptive delineation of as many possible observable implications, and how they could be measured, would allow the researcher to plan how to conduct the study and to adopt an appropriate design more likely to lead to a robust answer to the research question. 35 x For more assistance on extracting observable implications and considering their measurement see Epstein and King, 2002, 70-76. But one needs to be able to articulate the theory converted into hypotheses with clarity, in order for an observation protocol to be developed. Further, it helps the research design if the researcher is able to pose rival theories or explanations so as to design the study to test for plausible alternative explanations too. For example, one of the rival theories in the family mediation study is that the kind of people who use mediation through to conclusion and the kind of people who either refuse to do so or who drop out without reaching a settlement are different, and those drawn to mediation are more consensus driven and better able to communicate with their spouse than are those who do not. This rival hypothesis would alert the researcher to the need to design the study to examine those who do conclude mediated agreements and those who do not in order to analyse this rival claim. A case study allows for the examination of complex interrelationships between variables in situ, and the theory helps to identify what those variables are.

C. The Selection of the ‘Case’ or ‘Cases’

Definitionally this is when it gets somewhat complicated, as ‘case’ can easily become confused with a ‘legal case’ and further a ‘case‘ can sometimes be confused with the same word used in a different context in quantitative research, a case meaning a single observation or a single data point. This has led some, such as Gerring, to suggest that it may be more accurate to refer to a case study as a unit study so as to underline that this type of study examines multiple things within one unit rather than examining one data source in one context. 36 x See Gerring, 2004, 342. See further King, Keohane, and Verba, 1994, 76-77. The selection of the case or cases is a profound one in any study of this kind. A case may be selected because it is critical to the research question, it is typical, atypical, it provides a longitudinal opportunity (study over time), or it is revelatory meaning that it allows insight where previously this has not be possible. 37 x See Yin, 2014, 51. The nature of the case, its boundaries and features and why it was selected should be set out clearly. 38 x Gerring, 2004, 344. There are often difficulties in establishing the boundaries of the case, the phenomenon under study, and the context that provides a background to the phenomenon but is not itself the object of enquiry. Gerring articulates this as the formal case (the phenomenon) and the informal cases (the penumbra of phenomena which are the context but which will need to be explored in a less formal way so as to distinguish the boundaries of the formal case). The informal units are peripheral, but may have bearing on the formal unit or case, and by considering these informal units at the beginning of the study, and close to its conclusion it will help the researcher to work out what is particular about the unit, and what is transferable to other units. The selection of the case should be guided by the extent to which this location in space, focus and/or time lends itself to construct validity, internal validity, external validity and reliability of design in respect to the research question. 39 x See Yin, 2014, chapter 2. Case studies are particularly prone to selection bias, meaning that the case is selected on the basis of the dependent variable rather than on the basis of the independent variable – selected because of an effect that has been noted rather than its cause when the nature of the cause is the real object of many ‘how’ or ‘why’ research study questions. 40 x See Geddes, B. Paradigms and Sand Castle: Theory Building and Research Design in Comparative Politics , Ann Arbor, University of Michigan Press, 2005. For example, in a legal context if we wanted to examine rival explanations for how a particular legislative reform, for example the introduction of same sex marriage in England and Wales, has had an impact on community cohesion between different religious and community groups, it may seem, on the face of it, a good idea to select a town like Brighton with a vibrant LGBT community as the case to be studied. After-all, the uptake of same-sex marriage has been very high in Brighton and so it could be considered to be a key site of study. However, Brighton is well known as a LGBT friendly town and people drawn to live there would tend to be very positive about the introduction of same-sex marriage. If the reason for the study was to consider whether tensions have emerged between community and religious groups with different views on marriage, then Brighton would not likely give much opportunity to examine these issues. It was LGBT friendly before the reform and it continues to be. And community and religious groups have worked well together before and after the change in the law. By selecting the case on the basis of the effect of the changed legal landscape, the high numbers of gay and lesbian marriages, we may have selected a case that is atypical or simply a poor unit within which to view the causes or the influences that led to the legislative reform. Researchers are prone to make this mistake when undertaking a deductive study to test the congruence of rival hypotheses in a context where they have insufficient knowledge about the independent variable (the causes) that gave rise to, say, the change in the law. There may be other factors to consider too: in our family mediation study, the researcher may choose to steer away from London as the case study location, if she is interested in ‘typical’ divorces given that London has a much greater than average number of high net worth divorces that include very large sums of money and property portfolios, in addition to many divorces involving non-British couples who married abroad. A solid grasp of the literature can help to alleviate this possibility of incorrect case selection along with detailed consideration of the relevant features of a range of possible case studies prior to final selection. Does selecting a multiple-case study limit the likelihood of such problems, further should the study be at one point in time or a repeated measure at different periods of time? A case study may be designed so as to allow for cross sectional analysis between two or more cases, and further a temporal variation may be introduced into this form of analysis too. Our researcher could study family mediation over time: the same divorces pre, during and post settlement and then later again to examine durability. Single, multiple or cross-sectional case studies often serve different purposes. Multiple case studies are more likely to be used when the causal relationship between an independent and dependent variables are being analysed, so that the interaction of the variables in different environments can be examined comparatively in different contexts (in an experimental protocol one would be able to manipulate the conditions so as to test the variables and thus the different hypotheses). For example, if the study was examining the relationship between violent crime rates and criminal justice sentencing policy to examine whether tougher criminal penalties for violent crime lead to a reduction in violent crime rates, and if tougher criminal penalties for lesser offences led to greater imprisonment levels and greater recidivism including an escalation of violent crime, then a multi-jurisdictional case study may allow for a better assessment of those by permitting different combinations of variables to be compared as against each other. In our family mediation study, the researcher may choose to use London as a crucial case study (with its unusual profile of divorcing spouses with a very wide range of asset values) alongside a more typical rural and a more typical urban location to consider the hypotheses under different conditions. However, it may also be possible to test the hypotheses in a single case study by charting the relationship between the variables over time, with particular attention being paid to the points in time when sentencing policy changed or crime rates dropped or raised, or when family mediation was first introduced, when it became established as a compulsory part of the system. 41 x But the difficulty with multi case studies is that specified conditions or features within individual cases may have more influence on the variables being studied than the variables that one are analysing across the studies. This may lead one to draw erroneous conclusions about causality. This single case study also illustrates the independent variable problem: to what extent are violent crime rates and/or sentencing policy more likely attributable to other societal changes evident at different points in time than each other? Without knowledge of this it is difficult to proceed. Sometimes the extent to which a case study is referred to as single or multiple is a matter of nomenclature, for example, Elliott and Kling’s study 42 x Elliott, M. and Kling, R. ‘Organizational Usability of Digital Libraries: Case Study of Legal Research in Civil and Criminal Courts’ (1997) Vol 48 (11) Journal of the American Society for Information Science 1023-1035. on the organisational usability of digital libraries, a case study of legal research in civil and criminal courts, could be described as a single case study (as in their study) because it addresses digital libraries in one context – legal research in courts – it is also geographically bounded to the Los Angeles County, but data is collected from a number of courts and thus it could be argued to be a multiple case study if each court were considered to be a case. The important distinction, however, is how that data are treated: if the data are pooled and analysed as a single unit then the case study is generally considered to be a single unit or single case study, if the data are analysed comparatively as between the sites of collection then it would generally be considered to be a multiple unit or multiple case study. Where comparisons are being made over time but within a unit then the terminology is often that of a single unit as data is both compared and pooled too. Single case study research is considered to be an excellent vehicle for exploratory and developmental research (as evidenced by the Georgia tax policy study and Dnes analysis of the nature of a particular type of contract – franchise contracts in the UK 43 x See Dnes, A.W. ‘A Case-Study Analysis of Franchise Contracts’ (1993) Vol. 28 Journal of Legal Studies 367-393. or Latour’s Conseil d’Etat study mentioned above 44 x See Latour, B. (2010) above. ), confirmatory research necessitates a design that allows the researcher robustly to test a small number of hypotheses forensically and it may be advisable to consider a multiple case study method to achieve this aim. 45 x Although note that Gerring, 2004, at 347 indicates that a single case study may credibly make causal claims, if, for example, the case has been selected as it is particularly representative of others or it is a critical or crucial case, see further: Eckstein, H. (1975) ‘Case Studies and Theory in Political Science’ in Regarding Politics: Essays on Political Theory, Stability, and Change, Berkeley: University of California Press, 1992). The family mediation case study conducted in London and a more typical urban and rural area is a good example of this, given that the types of divorce cases are likely to be quite different, the context is also different too, and so cost, duration, durability and acrimony could be tested under different conditions to see whether they held true in all conditions or were context or divorce type dependent. Sometimes researchers are inclined to use a multiple case study approach in the expectation that more cases (units) will provide more data and more comparable data that can be used to derive robust findings. However, data collected across multiple case studies is less rather than more likely to be comparable as the conditions within the case study cannot be manipulated or controlled by the researcher and yet environment is expected to have an impact on the data. 46 x Gerring indicates that researchers tend to face the choice between knowing more about less or less about more, 2014, 348. Where more than one case is selected, each subsequent addition should provide a more complete and accurate picture in respect of the research question, instead of attempting to provide greater representativeness (as indicated above, this is not the purpose of case study method). 47 x See Small, 2009, 24-26. If one wishes to make comparisons between case studies it is important to adhere closely to comparative methodology in the definition of the cases to be selected, the analysis of the relevant similarities and differences between those cases, the data to be collected, compared and why, and the likely limitations of the cross unit comparison. 48 x See Gerring, 2004 at 348. For guidance on comparative methodology in a legal context see: Van Hoecke, M. (2004) Epistemology and Methodology of Comparative Law , Portland, Oregon: Hart Publishing. Multiple cases studies are more difficult to accomplish successfully, and it is advisable to work out clearly what each of the case studies will contribute to answering the research question before finalising those to be the subject of the enquiry. The most appropriate design will be dependent on the research question selected and the hypotheses or propositions under investigation through the case study method. 49 x For a detailed discussion see Gerring, 2004 at 343.

D. The Selection of Data Sources, Data Generation and Collection

Strong research design logically links the research question(s) with the hypotheses, with the data generation and collection methods, which in turn should be logically linked with the data analysis methods employed too. By now the researcher is likely to have a very good idea of the types of data that may be relevant to the study (derived from documents, people, extant statistics, other artefacts like images), 50 x Yin sets out six sources of evidence: documents, archival records, interviews, direct observations, participant observation, physical artefacts, Yin, 2014, 105-118, and four principles of data collection: multiple sources of data; creation of a case study database; maintain the chain of evidence; exercise care when using data from electronic sources, at 118-129. having identified the substance, form and purpose of the question, the rival hypotheses that may contribute to answering the question, and the observable implications of those hypotheses and how they may be measured. Our researcher having drawn her broad question as ‘how have the reforms to family mediation affected the way in which divorces are conducted?’ and narrowed down the case study to a geographic location(s) or a type of divorcing couples or divorce context, will have considered the possible data sources as including the spouses, their children, the family mediators and lawyers, court files, mediation and lawyer negotiated agreements, official statistics and more. And so it should be possible to chart how the data collection and data analysis methods all fit together so as to allow the observable implications to be explored, the hypotheses proved, amended, or disproved and a rounded, reliable answer to the research question be achieved. But this design phase may also go beyond the identification and selection of data sources, it requires choices to be made about how data will be collected and measured. 51 x See Yin, 2014, chapter 3 for more information on what one needs to do before data collection begins, and chapter 4 on data collection itself. Each choice that is made, consciously, or unconsciously, will have an effect on the data that is captured and the reliability and validity of that data. And this in turn will affect the outcome of the study. Consequently, the design should be scrutinised to uncover the biases that may become entrenched within it, the study redesigned where necessary to eliminate or limit bias and any remaining biases be taken into account during the later analysis and reporting phases. 52 x See Small, 2009, 12-15. This will require a degree of reflection on data type (strengths and weaknesses in allowing observable implications to be explored), data selection (all data, if not all then what process is being used to select it and how may that skew the findings, known as selection bias); data collection (how is the data being derived, and is it raw data or is it material that requires a judgement to be made, for example how will we measure ‘satisfaction or ‘acrimony’ or ‘durability of an agreement’, how reliable and valid is the data collection instrument 53 x For a discussion of reliability and validity in measurement see Webley, 2010 and further Epstein and King, 2002, 80-99. ) and later too data analysis. It is also worth piloting each data collection exercise with a small number of observations so as to allow defects to be worked out, and experience in the field to allow for redesign too. And then one should collect as much data on each of the possible observable implications as is practicable, including data of different types generated or collected via different methods so as to allow for triangulation in respect of each hypothesis. For example, in Elliott and King’s study they collected data via observation, participant observation and interviews, analysed court documents and legal technology documents; 54 x Elliott and Kling, ibid at 1025. in Dnes’ study the data included franchise agreements and contracts, financial accounts and other financial data, interviews; 55 x Dnes, ibid at 369-370. and in Dadalauri’s study data were derived from primary sources (policy proposals, experts’ recommendations and the minutes of parliamentary sessions) and secondary sources (reports, media briefs, statistical sources) plus from semi-structured interviews with key actors in the policy process. 56 x Ulrikesn and Dadalauri, ibid at 13. Case study method necessitates a measure of flexibility in research design to allow for new knowledge to shape and improve the starting design, but that does not reduce the need for a robust design plan at the inception of the study. The design needs to be scrupulously documented, including challenges faced and amendments made so as to aid others to analyse the validity of the research design and to assess the extent to which the study findings are reliable and robust. 57 x For a discussion see King, Keohane and Verba, 1994, 12. Epstein and King suggest that legal scholars give the same attention to the recording, storage and analysis of data as they would expect of the police and prosecutors when securing the chain of evidence in a criminal case. 58 x Epstein and King, 2002, 24. And it is to data analysis that we now turn.

• 3. Case Study Method: Use of the Data, Inferences and Finding Meaning

Case study findings are reached through a process of logical valid inferences regardless of whether the data collected and analysed is qualitative, quantitative or both. 59 x For a discussion on this point see King, Keohane and Verba, 1994, chapter 1 ‘The Science in Social Science’. But first the data must usually be described in summary form, before being subjected to further analysis to consider what the data indicates about the various hypotheses and their observable implications in this case context. Subsequently, it is possible to attempt to derive descriptive inferences that suggest what these data on observable instances indicate about non-observables ones, in other words what findings one considers to be transferable to a non-observed context. The analysis may also allow for causal inferences to be made, that explain what effects would be expected to occur if certain conditions were fulfilled in this or another context. This is not dissimilar to data analysis in other types of empirical legal research and therefore it is considered only briefly here. However, case study method is structured with triangulation of data at the fore, allowing the researcher to reach robust findings reached by integrating analysis from multiple data points gathered using different methods. This section will briefly address data analysis, the drawing of inferences and the importance of demonstrating one’s working out, in turn.

A. Data Analysis

The first stage of data analysis is often validly to summarise the data collected in the light of the research question and hypotheses and anticipated observable implications, to summarise the numbers (mean, median, mode, standard deviation, range) and to summarise the text (for example, categorise and consider relationships between categories, or code and consider the frequency or codes). 60 x See Epstein and King, 2002, 25-29 for more information on quantitative data description. Different types of data will often be analysed using different methods or traditions, as illustrated by the way in which legal cases are analysed according to traditions accepted by lawyers, which is distinct from legal analysis of legislation, and policy analysis of policy documents: survey data would be analysed statistically, text based data (interviews, documents etc.) via the mode of analysis selected to interrogate and derive meaning from language, for example via grounded theory method, thematic coding, content analysis, hermeneutics etc. 61 x For a discussion of the different methods of text based data analysis see Yin, 2014, chapter 5 or Webley, 2010. There are a range of general strategies open to the researchers, some of which focus on the theoretical propositions, others aim to develop thick description, others still examine plausible rival explanations. 62 x See Yin, 2014, 136-142. Findings are considered robust where they are evidenced via multiple stands of data and its analysis. The use of multiple data sources to test each hypothesis allows the researcher to build up a thoroughly nuanced picture of the extent to which each hypothesis is sustained, needs to be refined, or rejected. The analysis will be conducted in the light of the research question parameters and also the hypotheses being examined by the research, as exemplified by the discussion in the Georgia tax policy case study. 63 x Ulriksen and Dadalauri, ibid. This process is likely to be iterative, in that data will often be analysed as one phase of data collection is complete and any lessons learned from that may lead to some reframing of the research question, reconsideration of the hypotheses, and amendments to the next phase of data collection yet to begin. The key is that, as with all social science methods, amendments to the question and methods, the analysis of the data and the inferences drawn from the data should be publicly explained and in sufficient detail so that they are replicable by others on the basis of the information provided in the write-up of the study; King, Keohane and Verba remind us that inferences lead to uncertain conclusions – inferences are not proven facts, they are propositions being advanced that are available to be tested by others. 64 x King, Keohane and Verba, 1994, 8. Conclusions remain tentative until replicated validly and consistently. The science and the rules of inference are important in allowing us to judge the validity and reliability of the findings, and these are closely interwoven with the research design and execution of the study.

B. Inferences

Case studies are often considered to be more useful when seeking to derive descriptive rather than causal inferences, as the researcher is not able to manipulate the environment so as to test propositions in such a way as to be sure that causal relationships have satisfactorily been established. Descriptive inferences are ‘the process of using the facts we know to learn about facts we do not know’ , by describing something that has been observed and inferring under what circumstances a similar pattern or occurrence may occur in a carefully defined unobserved situation. 65 x Epstein and King, 2002, 29. For example, if in our hypothetical family mediation study we learned that greater numbers of the divorcing clients who we interviewed/observed before the introduction of the compulsory mediation information and assessment meetings were aware that there was state funding available for family mediation, compared with the divorcing clients who we interviewed/observed after the introduction of these meetings then we may infer that this finding was likely to apply to divorcing clients outside our observed group too (all other things being equal). We do not know for certain that is accurate, as we only have data from our study participants, but our description of our findings has led us to infer something about those outside our observation group. Many doctoral candidates and early career academics baulk at the suggestion that descriptive inference is a valuable mode of analysis, as they associate ‘descriptive’ with the less positive feedback that they may have received in earlier work. But the pursuit of descriptive inferences is not a low-level aspiration in a context in which little is known about the case under scrutiny. Descriptive inferences allow for categorisation of findings which may lead on to further theory building and theory testing, categorisation goes to the heart of analysis development. So our finding above begs the question ‘why is this so?’ and we could either extend our study to answer this sub-question, or leave that for a later study. In some instances the inferences a researcher wishes to draw may be causal ones that infer an effect that will be caused by a set of defined factors occurring together. As an example, in our family mediation study we may wish to examine whether family mediation is more likely to be successful for couples with relatively similar educational backgrounds, medium to high incomes with both spouses in full-time employment, when compared with those who have unequal educational backgrounds, incomes and job-statutes and with low incomes. Where causal inferences are the point of the study, it may be possible to develop these with a well-chosen cross-case multi-case case study design. However, a causal inference first requires the identification of a causal mechanism (the process by which dependent variable A is affected by independent variable B, for example the causal mechanism for a defendant in the UK to be released from pre-trial detention (variable A) is a bail hearing in court (variable B)). 66 x See Epstein and King, 2002, 34-37 for help distinguishing between causal mechanisms and variables and causal effects. Case studies are often a really good means by which these mechanisms, or processes, may be uncovered – known as ‘process tracing’ whereby the researcher charts in detail the relationships between two or more variables and explores these connections to deduce those that are causal and those more likely to be coincidental. 67 x See Gerring, 2004, 348 and further Roberts, C., The Logic of Historical Explanation, Pennsylvania State University Press 1996, 66. Further, a single case study may allow a researcher to interrogate extant explanations that suggest causal implications, in other words to test predictions about what will happen in particular situations (assuming those situations are observable as part of the case study). This is known as ‘pattern-matching’. 68 x See Gerring, 2004, 348 and further Campbell, D. T. [1975] “‘Degrees of Freedom’ and the Case Study” in E. Samuel Overnman (ed) Methodology and Epistemology in Social Science , Chicago, University of Chicago Press: 1988, 380. This is where clarity about the purpose of the study becomes particularly important, as certain conditions will need to have been built into the research design for some analytical techniques. 69 x Yin, 2014, 142-168, provides five different analytical techniques: pattern-matching; explanation building; time-series analysis; logic models; and cross-case synthesis and suggests that after this phase the researcher will likely move on to work through all plausible alternative conclusions to examine whether the most likely conclusion is the only conclusion. The study will need to be designed with a very clear and narrow focus to achieve its aims. As indicated above, case studies may be entirely self-contained studies that provide in-depth knowledge of a single unit of analysis, but more often than not the researcher will wish for those findings to be considered applicable to situations that she/he has not observed. The challenge is to explain which findings are particular to the case study and which elements of the findings are relevant beyond the case study’s boundaries. 70 x Gerring, 2004, 345. It may be difficult to define this with precision, but where there is ambiguity it is safer to over explain and to over report the ambiguity and the possible range of inferences and their limitations rather than to over simplify and obfuscate the difficulty in reaching definitive findings. 71 x See Gerring, 2004, 346. Legal researchers are sometimes criticised for being vague in their explanations of the target of their inferences (to which other unobserved situations do these findings apply, and why?), or worse still their claims in the absence of evidence to prove that their inference is generalizable to a wide variety of situations. 72 x Epstein and King, 2002, 31. This may be a function of lawyers’ professional training as advocates, who in presentation would seek to persuade others to accept their position and who would gloss over inconvenient precedents. But lawyers are also trained to be forensic in seeking out the weaknesses of their arguments as well as those of their opponents and by harnessing these skills in the presentation of their case study findings; they should be able to display the highest standards of scientific reporting. Some of the ambiguities associated with inferences may be avoided if, as Gerring suggests, the scholar specifies clearly which propositions apply to which novel circumstances and exhibit and explain the evidence upon which this contention is based. 73 x Gerring, J. (2001) Social Science Methodology: A Criterial Framework , Cambridge, Cambridge University Press, 90-99. In other words, do the findings relate only to this case, are they intended to relate more broadly to similar cases and if so what marks out other situations as similar? Is similarity about time frame, location, a certain set of markers such types of participants, socio-economic, legal or political factors? And what is one’s evidence in support of this? The burden of proof always rests with the researcher. We shall turn to this in the next sub-section.

C. Reporting Findings

It can be challenging to know how to report one’s findings in an article or thesis, which is unsurprising when one considers that little attention is paid to this aspect of scholarship on doctoral legal programmes in many jurisdictions. 74 x See further Epstein and King, 2002. For assistance in how to report on cases studies and writing up and presentational considerations, including audience and purpose, see Yin, 2014, chapter 6. The rule is that one must provide as much detail as possible, at least enough to allow someone else to be able to replicate the study using only the information provided. Further, there needs to be sufficient discussion of the decisions taken, challenges faced and the consequent limitations of the findings so as to allow others to evaluate the reliability of one’s findings. As King et al. note: report uncertainty, be sceptical about causality, and consider rival hypotheses. 75 x King et al, 1996, 30-33. The process of interrogating one’s own decisions and inferences and reporting on them in full in the article or thesis may allow one to avoid the invidious charge made of many other legal scholars’ work. 76 x Epstein and King, 2002, 6-7. One suggestion is that legal scholars may wish to look for the weakest link in their chain of reasoning, something which lawyers are trained to do in a legal context, and then estimate how certain they are of their findings taking that weakness into account. 77 x Epstein and King, 2002, 50. However, other aspects of our professional training sometimes come into conflict with this approach: a research study is not an act of advocacy, and training as a lawyer may derail the process of empirical enquiry when lawyers unconsciously act for the client in their head and seek to persuade the outside world that their client’s view is a valid one, rather than to act as a legal social-scientist and demonstrate to other social scientists the extent to which their findings are valid, robust, reliable, and subject to limitation. 78 x See further Miller, A. S. ‘The Myth of Objectivity in Legal Research and Writing’ (1969) Vol. 18 Catholic University Law Review 290. For example, a researcher who is more in favour or less in favour of family mediation may inadvertently confirm their stance and steps need to be taken to lessen this risk. This role conflict is particularly problematic given that empirical legal research may lead to legal reform affecting large sections of the population and the findings confidently exhorted in the literature may be used to justify policy changes. 79 x Epstein and King, 2002, 8-10. Further, even if the research were not to be read outside of an academic environment, it is incumbent on all academics to produce research that is reliable and robust, lawyers are quick to critique legal scholarship that had been poorly executed and socio-legal scholarship should be treated no differently.

• 4. Conclusions: Why (Not to) Use Case Study Method?

Case study method is a powerful and engaging approach to research that has real utility in socio-legal and criminological research even if it has to-date been relatively little used. Our reticence to use it may be explained by the need for a researcher to be sufficiently adept with a range of social science research methods; (non-legal) empirical methods have historically had little treatment within undergraduate legal courses and relatively little attention even at a postgraduate level. 80 x Genn, H., Partington, M, and Wheeler, S. (2006) Law in the Real World: Improving Our Understanding of How Law Works Final Report and Recommendations , London: The Nuffield Foundation. Further, doctoral supervisors may feel inadequate to the task of supervising doctoral students proposing to undertake research through case study method and steer them towards a more standard mixed method approach such as a survey coupled with some interviews, or away from non-legal empirical methods altogether. But with some training, and a high degree of planning it is perfectly possible to undertake a good quality case study in a legal context and we can learn much from them. They are also an ideal means to focus on the particular and yet to draw analytical inferences to similar contexts too, something which lawyers are trained to do throughout their studies and a skill which they can bring to bear on a broader range of data than they otherwise often do. However, case study method is far more than focusing on a single situation, or ‘case’, it is far more than providing a temporal or physical boundary to our research endeavour. It requires us to adopt a structured and reflective approach to research design in many instances, to consider pre-emptively possible explanations (hypotheses) and rival propositions and to engage with theory at an early stage in a study. In a legal context case studies are generally, if not exclusively, more effective when: seeking to make descriptive rather than causal inferences; examining issues in depth rather than broadly and when the researcher is seeking to examine multiple sources of data so as to make comparisons within a case rather than between multiple cases. Further, they are also often more effective for seeking causal mechanisms rather than causal effects; for research that is exploratory rather than confirmatory; and when variations within the case selected are important for the study of the phenomenon. 81 x Gerring, 2004, 352. They are extremely useful when analysing how those involved in law and policy-making, the application of legal rules and procedures perceive these processes, how they react to them and how this influences the effectiveness of those rules, processes and procedures. The research process is an iterative and creative one that engages lawyers’ considerable analytical skills. As such case study method is worthy of a larger presence within the legal academic empirical tool-kit.

1 For insight into the extent to which legal researchers undertake empirical research and the lack of clarity around empirical methods in law see Epstein, L. and King, G. (2002) ‘The Rules of Inference’ Vol. 69 No. 1 The University of Chicago Law Review 1-133 at 3-6, Part I.

2 Yin, R. K. (2014) Case Study Research Design and Methods (5th edn.) Sage Publications, 12-14.

3 See Hamel, J. with Dufour, S. and Fortin, D. (1993) Qualitative Research Methods Volume 2 , Sage Publications, ch 1.

4 See Gerring, J. Case Study Research: Principles and Practices , Cambridge, Cambridge University Press, 2007 at 6. For a further discussion see Gerring, J. ‘What is a case study and what is it good for?’ (2004) Vol. 98 No 2 American Political Science Review 341-354. This looseness in definition in a legal context may perhaps be linked to confusion as between teaching and research case studies; some traditions in legal education employ a teaching method known also as ‘case study method’ which operates quite differently from its research counterpart. For a discussion of the differences between teaching and research case studies see Yin, 2014, 20 and for a discussion of teaching case studies see Ellet, W., (2007) The Case Study Handbook: How to Read, Discuss, and Write Persuasively About Cases , Boston MA, Harvard Business Review Press; Garvin, D. A. (2003) ‘Making the Case: Professional Education for the World of Practice.’ (Sept–Oct) Harvard Magazine 56-65.

5 ‘n’ (number) is used to denote the number of observations in the study, N is used to describe the total number within the population when n denotes the sample observed.

6 For a discussion of the state of empirical research in law see Epstein and King, 2002.

7 See Webley, L. (2010) ‘Part III Doing Empirical Legal Studies Research Chapter 38 - Qualitative Approaches to ELS’ in Cane, P. and Kritzer, H. (eds.) Oxford Handbook of Empirical Legal Studies , Oxford, Oxford University Press.

8 For a discussion about the differences between numerical (quantitative) and non-numerical (qualitative) data see Webley, id; Epstein and King, 2002, at 2-3; King,G., Keohane, R. O., and Verba, S ., Designing Social Inquiry: Scientific Inference in Qualitative Research , Princeton NJ, Princeton University Press, 1994 at 6.

9 Mascini, P., van Oorschot, I., Weenink, D. and Schippers, G., (2016) ‘Understanding judges’ choices of sentence types as interpretative work: An explorative study in a Dutch police court’, (37) (1) Recht der Werkelijkheid 32-49.

10 Yin, 2014: xxxi and further 16-17.

11 Triangulation is the term used to explain that a research question is considered from as many different standpoints as possible, using as many different data types as possible to permit a holistic examination of the question to see which explanations, if any, remain consistent across all data sources.

12 Yin, 2014: 5-6.

13 See Dul, J. and Hak, T. (2008) Case Study Methodology in Business Research , Oxford: Elsevier 8-11, 30-59.

14 Latour, B. (2010) The Making of Law: An Ethnography of the Conseil D’Etat , Cambridge: Polity Press.

15 For a discussion of ethnomethodological aims to study practical life as experienced in context as an end in itself, as experience is subjective and situational, see Small, M.L. ‘‘How many cases do I need?’ On science and the logic of case selection in field-based research’ (2009) Vol. 10 (1) Ethnography 5, 18.

16 For greater insight on this point see Lipset, S. M., Trow, M. and Coleman, J.S. (1956) Union Democracy: The Internal Politics of the International Typographical Union , New York: New York Free Press at 419-420; Yin, 2014, 21. For a discussion of the problems inherent in aping quantitative terminology in qualitative work see, Small, 2009, 10, and at 19 for further reading on the logic of case study selection and further reading on extended case method.

17 Gerring, 2007, 346.

18 Although note that there are some scholars who believe that case study method can include elements of experimental testing, for example, Gerring, J. and McDermott, R. (2007) ‘An Experimental Template for Case Study Research’ Vol. 51 No. 3 American Journal of Political Science 688-701. One such study in law that has been described by some, if not by the researchers themselves, as a case study did include an experimental design within the battery of methods employed see: Moorhead, R., Sherr, A., Webley, L., Rogers, S., Sherr, L., Paterson, A. & Domberger, S. (2001) Quality and Cost: Final Report on the Contracting of Civil Non-Family Advice and Assistance Pilot (Norwich: The Stationery Office).

19 Campbell, D.T. Foreword in Yin, 2014 xviii.

20 Seawright, J. and Gerring, J. (2008) ‘Case Selection Techniques in Case Study Research: A Menu of Qualitative and Quantitative Options’ Vol. 61 No. 2 Political Research Quarterly 294-308.

21 Yin, 2014: chapter 1.

22 For a discussion see: Ryle, G. (1949). The Concept of Mind . London: Hutchinson; Lincoln, Y.S. and Guba, E.G. (1985). Naturalistic Inquiry . Newbury Park, CA: Sage Publications; Holloway, I. (1997). Basic Concepts for Qualitative Research . London: Blackwell Science.

23 Confirmation or interpretive bias of data is something we all have grapple with, as the natural human tendency is to place more weight on evidence that confirms our view than on evidence that contradicts it. Strong research design can assist with counter-balancing this to some extent, including the transformation of any expected finding into a hypothesis that one then seeks to falsify rather than to confirm.

24 See Yin, 2014, chapter 1 for more information on the role of the literature review.

25 For more assistance with legal research questions refer to Epstein, L. (1995) Studying Law and the Courts in Lee Epstein (ed) Contemplating Courts , Cong Q, 1, 3-5.

26 See King, Keohane and Verba, 1994, 15.

27 See Yin, 2014, at 11, and see further Campbell, J.P., Daft, R.L., Hulin, C. L. (1982) What to Study: Generating and Developing Research Questions (Studying Organizations) , Sage Publications, for further thoughts on research questions

28 On process tracing see: Collier, D. ‘Understanding Process Tracing’ Vol. 44 Political Science and Politics 823-830 and George, A. L. and Bennett, A. Case Studies and Theory Development in the Social Sciences , Cambridge, MA, MIT Press, 2005. For an excellent insight into how this has been used in a legal and policy context with reference to changes in Georgia’s tax laws see Ulriksen, M.S, and Dadalauri, N. ‘Single Studies and Theory-testing: The Knots and Dots of the Process-tracing Method’ (2014) International Journal of Social Research Methodology 1- 17.

29 See Blatter, J. and Haverland, M. Designing Case Studies , Basingstoke, Palgrave MacMillan, 2012 at 145 who consider process tracing involves inductive reasoning to build theory and congruence testing involves deductive reasoning to test theories.

30 Epstein and King suggest a range of possible purposes, at 59, including: to explore something that has not previously been studied; to attempt to settle a debate that has been ongoing within the literature; to examine a well-considered question but in a new way; to collect and analyse new data to seek to confirm or refute previous findings; to analyse an existing data set in a new or better way to seek to confirm or refute previous findings or to develop new ones.

31 Peters, B.G. Comparative Politics: Theory and Method , Basingstoke, Palgrave, 1998 at 14.

32 But interestingly, stance, or more accurately epistemology is of less significance to this research method than to many others. Case study method links the research question, research design, analysis and logic of inference to such an extent that is can accommodate a range of epistemological traditions from the realist to relativist/interpretivist. And thus scholars who consider that there are facts independent of our interpretation of them (in essence, hard facts operating in an objective reality) and scholars who consider all ‘facts’ to be local interpretations constructed through our own lenses, are able to operate within a case study framework. Having said that their choice of data sources, and their approach to data generation and analysis may well vary considerably.

33 Ulriksen and Dadalauri, ibid. See further Dadalauri, N. Tax Policy Formation and the Transnationalizationof the Public Policy Arena; A Case Study of Georgia , Aarhus, Politica, 2011) Georgia was selected as a crucial case. The reasoning for this and also for the methods employed in this study are elegantly set out in the article cited above.

34 On the importance of the identification of priors see Beach, D. and Pedersen, R.B., ‘What is process tracing actually tracing? The three variants of process tracing methods and their uses and limitations’ Sept 1-4 2011 The American Political Science Association Annual Meeting , Seattle, WA as cited by Ulriksen and Dadalauri, ibid; and further Gerring, 2007 ibid.

35 For more assistance on extracting observable implications and considering their measurement see Epstein and King, 2002, 70-76.

36 See Gerring, 2004, 342. See further King, Keohane, and Verba, 1994, 76-77.

37 See Yin, 2014, 51.

38 Gerring, 2004, 344. There are often difficulties in establishing the boundaries of the case, the phenomenon under study, and the context that provides a background to the phenomenon but is not itself the object of enquiry. Gerring articulates this as the formal case (the phenomenon) and the informal cases (the penumbra of phenomena which are the context but which will need to be explored in a less formal way so as to distinguish the boundaries of the formal case). The informal units are peripheral, but may have bearing on the formal unit or case, and by considering these informal units at the beginning of the study, and close to its conclusion it will help the researcher to work out what is particular about the unit, and what is transferable to other units.

39 See Yin, 2014, chapter 2.

40 See Geddes, B. Paradigms and Sand Castle: Theory Building and Research Design in Comparative Politics , Ann Arbor, University of Michigan Press, 2005.

41 But the difficulty with multi case studies is that specified conditions or features within individual cases may have more influence on the variables being studied than the variables that one are analysing across the studies. This may lead one to draw erroneous conclusions about causality. This single case study also illustrates the independent variable problem: to what extent are violent crime rates and/or sentencing policy more likely attributable to other societal changes evident at different points in time than each other? Without knowledge of this it is difficult to proceed.

42 Elliott, M. and Kling, R. ‘Organizational Usability of Digital Libraries: Case Study of Legal Research in Civil and Criminal Courts’ (1997) Vol 48 (11) Journal of the American Society for Information Science 1023-1035.

43 See Dnes, A.W. ‘A Case-Study Analysis of Franchise Contracts’ (1993) Vol. 28 Journal of Legal Studies 367-393.

44 See Latour, B. (2010) above.

45 Although note that Gerring, 2004, at 347 indicates that a single case study may credibly make causal claims, if, for example, the case has been selected as it is particularly representative of others or it is a critical or crucial case, see further: Eckstein, H. (1975) ‘Case Studies and Theory in Political Science’ in Regarding Politics: Essays on Political Theory, Stability, and Change, Berkeley: University of California Press, 1992).

46 Gerring indicates that researchers tend to face the choice between knowing more about less or less about more, 2014, 348.

47 See Small, 2009, 24-26.

48 See Gerring, 2004 at 348. For guidance on comparative methodology in a legal context see: Van Hoecke, M. (2004) Epistemology and Methodology of Comparative Law , Portland, Oregon: Hart Publishing.

49 For a detailed discussion see Gerring, 2004 at 343.

50 Yin sets out six sources of evidence: documents, archival records, interviews, direct observations, participant observation, physical artefacts, Yin, 2014, 105-118, and four principles of data collection: multiple sources of data; creation of a case study database; maintain the chain of evidence; exercise care when using data from electronic sources, at 118-129.

51 See Yin, 2014, chapter 3 for more information on what one needs to do before data collection begins, and chapter 4 on data collection itself.

52 See Small, 2009, 12-15.

53 For a discussion of reliability and validity in measurement see Webley, 2010 and further Epstein and King, 2002, 80-99.

54 Elliott and Kling, ibid at 1025.

55 Dnes, ibid at 369-370.

56 Ulrikesn and Dadalauri, ibid at 13.

57 For a discussion see King, Keohane and Verba, 1994, 12.

58 Epstein and King, 2002, 24.

59 For a discussion on this point see King, Keohane and Verba, 1994, chapter 1 ‘The Science in Social Science’.

60 See Epstein and King, 2002, 25-29 for more information on quantitative data description.

61 For a discussion of the different methods of text based data analysis see Yin, 2014, chapter 5 or Webley, 2010.

62 See Yin, 2014, 136-142.

63 Ulriksen and Dadalauri, ibid.

64 King, Keohane and Verba, 1994, 8.

65 Epstein and King, 2002, 29.

66 See Epstein and King, 2002, 34-37 for help distinguishing between causal mechanisms and variables and causal effects.

67 See Gerring, 2004, 348 and further Roberts, C., The Logic of Historical Explanation, Pennsylvania State University Press 1996, 66.

68 See Gerring, 2004, 348 and further Campbell, D. T. [1975] “‘Degrees of Freedom’ and the Case Study” in E. Samuel Overnman (ed) Methodology and Epistemology in Social Science , Chicago, University of Chicago Press: 1988, 380.

69 Yin, 2014, 142-168, provides five different analytical techniques: pattern-matching; explanation building; time-series analysis; logic models; and cross-case synthesis and suggests that after this phase the researcher will likely move on to work through all plausible alternative conclusions to examine whether the most likely conclusion is the only conclusion.

70 Gerring, 2004, 345.

71 See Gerring, 2004, 346.

72 Epstein and King, 2002, 31.

73 Gerring, J. (2001) Social Science Methodology: A Criterial Framework , Cambridge, Cambridge University Press, 90-99.

74 See further Epstein and King, 2002. For assistance in how to report on cases studies and writing up and presentational considerations, including audience and purpose, see Yin, 2014, chapter 6.

75 King et al, 1996, 30-33.

76 Epstein and King, 2002, 6-7.

77 Epstein and King, 2002, 50.

78 See further Miller, A. S. ‘The Myth of Objectivity in Legal Research and Writing’ (1969) Vol. 18 Catholic University Law Review 290.

79 Epstein and King, 2002, 8-10.

80 Genn, H., Partington, M, and Wheeler, S. (2006) Law in the Real World: Improving Our Understanding of How Law Works Final Report and Recommendations , London: The Nuffield Foundation.

81 Gerring, 2004, 352.

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Legal Research Fundamentals

• Research Strategy Tips
• Secondary Sources

The Different Types of Case Law Research

Popular case law databases, using secondary sources, any good case, from an annotated statute, ai and smart searching.

• Statutory Research
• Legislative History
• Administrative
• People, Firms, Witnesses, and other Analytics
• Transactional
• Non-Legal Resources
• Business Resources
• Foreign and International Law Resources This link opens in a new window

Generally, there are two types of case law research:

• Determining the case law that is binding or persuasive regarding a particular issue. Gathering and analyzing the relevant case law. 
• Searching for a specific case that applies the law to a set of facts in a particular way. 

These are two slightly different tasks. However, you can use many of the same case law search techniques for both of these types of questions. 

This guide outlines several different ways to locate case law. It is up to you to determine which methods are most suitable for your problem. 

When selecting a case law database, don't forget to choose the jurisdiction, time period, and level of court that is most appropriate for your purposes.

Note: Listed above are the databases that law students are most likely to use. It's possible that, once you leave law school, you will not have access to the same databases. Resources such as Fastcase  or Casetext may be your go-to. For any database, take the time to familiarize yourself with the basic and advanced search functions. 

Check out the Secondary Sources tab for information about how to locate a useful secondary source. 

Remember: secondary sources take the primary source law and analyze it so that you don't have to. Take advantage of the work the author has already done!

What do we mean by 'any good case'? 

A case that addresses the issue you care about. We can use the citing relationships and annotations found in case law databases to connect cases together based on their subject matter. You may find such a case from a secondary source, case law database search, or from a colleague.

How can we use one good case? 

1. Court opinions typically cited to  other cases to support their legal conclusions. Often these cited cases include important and authoritative decisions on the issue, because such decisions are precedential. 

2. Commercial legal research databases, including Lexis, Westlaw, and Bloomberg, supplement cases with  headnotes . Headnotes allow you to quickly locate subsequent cases that cite the case you are looking at with respect to the specific language/discussion you care about. 

3. Links to topics or Key Numbers. Clicking through to these allows you to locate other cases with headnotes that fall under that topic. Once you select a suitable Key Number, you can also narrow down with keywords. A case may include multiple headnotes that address the same general issue.

4.  Subsequent citing cases.  By reading cases that have cited to the case you've started with, you can confirm that it remains "good law" and that its legal conclusions remain sound. You can also filter the citing references by jurisdiction, treatment, depth of treatment, date, and keyword, allowing you to focus your attention on the most relevant sub-set of cases.

5. Secondary sources! Useful secondary sources are listed in the Citing References. This can be a quick way to locate a good secondary source. 

NOTE: Good cases may come in many forms. For example, a recent lower court decision might lead you to the key case law in that jurisdiction, while a higher court decision from a few years back might be more widely-cited and lead you to a wider range of subsequent interpretive authority (and any key secondary sources). 

What is an annotated statute?

An annotated statute is simply a statute enhanced with editorial content. In Lexis and Westlaw, this editorial content provides the following: 

Historical Notes about amendments to the statute. These are provided below the statutory text (Lexis) or under the History tab (Westlaw). 

Case Notes  provided either at the bottom of the page (Lexis) or under the Notes of Decisions tab (Westlaw). These are cases identified by the publisher as especially important or useful for illustrating the case law interpreting the statute. They are organized by issue and include short summaries pertaining to the holding and relevance are provided for each case.  

Other Citing References  allow you to locate all other material within Lexis and Westlaw that cite to the statute. This includes secondary sources (always useful) and all case law that cites to that specific section. You can narrow down by keywords, jurisdiction, publication status, etc. In Lexis, click the Shepard's link. In Westlaw, click the Citing References tab.

Lexis, Westlaw, and Bloomberg are all actively developing tools to lead you to cases more quickly. These include: 

Westlaw's recommendations and WestSearch Plus. These will show up in the "Suggestions" option that appears when you start typing into the search bar. 

Lexis Ravel View. When you search the case database in Lexis and click on the Ravel icon, you will see an interactive visualization of the citing relationships between the first 75 cases that appear in your results list, ranked by relevance.

Bloomberg's "Points of Law" feature in the Litigation Intelligence Center also allows users to visualize the citing relationships among cases meeting their search criteria.

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Legal Research Strategy

Preliminary analysis, organization, secondary sources, primary sources, updating research, identifying an end point, getting help, about this guide.

This guide will walk a beginning researcher though the legal research process step-by-step. These materials are created with the 1L Legal Research & Writing course in mind. However, these resources will also assist upper-level students engaged in any legal research project.

How to Strategize

Legal research must be comprehensive and precise.  One contrary source that you miss may invalidate other sources you plan to rely on.  Sticking to a strategy will save you time, ensure completeness, and improve your work product. 

Follow These Steps

Running Time: 3 minutes, 13 seconds.

Make sure that you don't miss any steps by using our:

• Legal Research Strategy Checklist

If you get stuck at any time during the process, check this out:

• Ten Tips for Moving Beyond the Brick Wall in the Legal Research Process, by Marsha L. Baum

Understanding the Legal Questions

A legal question often originates as a problem or story about a series of events. In law school, these stories are called fact patterns. In practice, facts may arise from a manager or an interview with a potential client. Start by doing the following:

• Read anything you have been given
• Analyze the facts and frame the legal issues
• Assess what you know and need to learn
• Note the jurisdiction and any primary law you have been given
• Generate potential search terms

Jurisdiction

Legal rules will vary depending on where geographically your legal question will be answered. You must determine the jurisdiction in which your claim will be heard. These resources can help you learn more about jurisdiction and how it is determined:

• Legal Treatises on Jurisdiction
• LII Wex Entry on Jurisdiction

This map indicates which states are in each federal appellate circuit:

Getting Started

Once you have begun your research, you will need to keep track of your work. Logging your research will help you to avoid missing sources and explain your research strategy. You will likely be asked to explain your research process when in practice. Researchers can keep paper logs, folders on Westlaw or Lexis, or online citation management platforms.

Organizational Methods

Tracking with paper or excel.

Many researchers create their own tracking charts.  Be sure to include:

• Search Date
• Topics/Keywords/Search Strategy
• Citation to Relevant Source Found
• Save Locations
• Follow Up Needed

Consider using the following research log as a starting place: 

• Sample Research Log

Tracking with Folders

Westlaw and Lexis offer options to create folders, then save and organize your materials there.

• Lexis Advance Folders
• Westlaw Edge Folders

Tracking with Citation Management Software

For long term projects, platforms such as Zotero, EndNote, Mendeley, or Refworks might be useful. These are good tools to keep your research well organized. Note, however, that none of these platforms substitute for doing your own proper Bluebook citations. Learn more about citation management software on our other research guides:

• Guide to Zotero for Harvard Law Students by Harvard Law School Library Research Services Last Updated Sep 12, 2023 274 views this year

Types of Sources

There are three different types of sources: Primary, Secondary, and Tertiary.  When doing legal research you will be using mostly primary and secondary sources.  We will explore these different types of sources in the sections below.

Secondary sources often explain legal principles more thoroughly than a single case or statute. Starting with them can help you save time.

Secondary sources are particularly useful for:

• Learning the basics of a particular area of law
• Understanding key terms of art in an area
• Identifying essential cases and statutes

Consider the following when deciding which type of secondary source is right for you:

• Scope/Breadth
• Depth of Treatment
• Currentness/Reliability

For a deep dive into secondary sources visit:

• Secondary Sources: ALRs, Encyclopedias, Law Reviews, Restatements, & Treatises by Catherine Biondo Last Updated Apr 12, 2024 4671 views this year

Legal Dictionaries & Encyclopedias

Legal dictionaries.

Legal dictionaries are similar to other dictionaries that you have likely used before.

• Black's Law Dictionary
• Ballentine's Law Dictionary

Legal Encyclopedias

Legal encyclopedias contain brief, broad summaries of legal topics, providing introductions and explaining terms of art. They also provide citations to primary law and relevant major law review articles.  

Here are the two major national encyclopedias:

• American Jurisprudence (AmJur) This resource is also available in Westlaw & Lexis .
• Corpus Juris Secundum (CJS)

Treatises are books on legal topics.  These books are a good place to begin your research.  They provide explanation, analysis, and citations to the most relevant primary sources. Treatises range from single subject overviews to deep treatments of broad subject areas.

It is important to check the date when the treatise was published. Many are either not updated, or are updated through the release of newer editions.

To find a relevant treatise explore:

• Legal Treatises by Subject by Catherine Biondo Last Updated Apr 12, 2024 3690 views this year

American Law Reports (ALR)

American Law Reports (ALR) contains in-depth articles on narrow topics of the law. ALR articles, are often called annotations. They provide background, analysis, and citations to relevant cases, statutes, articles, and other annotations. ALR annotations are invaluable tools to quickly find primary law on narrow legal questions.

This resource is available in both Westlaw and Lexis:

• American Law Reports on Westlaw (includes index)
• American Law Reports on Lexis

Law Reviews & Journals

Law reviews are scholarly publications, usually edited by law students in conjunction with faculty members. They contain both lengthy articles and shorter essays by professors and lawyers. They also contain comments, notes, or developments in the law written by law students. Articles often focus on new or emerging areas of law and may offer critical commentary. Some law reviews are dedicated to a particular topic while others are general. Occasionally, law reviews will include issues devoted to proceedings of panels and symposia.

Law review and journal articles are extremely narrow and deep with extensive references. 

To find law review articles visit:

• Law Journal Library on HeinOnline
• Law Reviews & Journals on LexisNexis
• Law Reviews & Journals on Westlaw

Restatements

Restatements are highly regarded distillations of common law, prepared by the American Law Institute (ALI). ALI is a prestigious organization comprised of judges, professors, and lawyers. They distill the "black letter law" from cases to indicate trends in common law. Resulting in a “restatement” of existing common law into a series of principles or rules. Occasionally, they make recommendations on what a rule of law should be.

Restatements are not primary law. However, they are considered persuasive authority by many courts.

Restatements are organized into chapters, titles, and sections.  Sections contain the following:

• a concisely stated rule of law,
• comments to clarify the rule,
• hypothetical examples,
• explanation of purpose, and
• exceptions to the rule  

To access restatements visit:

• American Law Institute Library on HeinOnline
• Restatements & Principles of the Law on LexisNexis
• Restatements & Principles of Law on Westlaw

Primary Authority

Primary authority is "authority that issues directly from a law-making body."   Authority , Black's Law Dictionary (11th ed. 2019).   Sources of primary authority include:

• Constitutions
• Statutes 

Regulations

Access to primary legal sources is available through:

• Bloomberg Law
• Free & Low Cost Alternatives

Statutes (also called legislation) are "laws enacted by legislative bodies", such as Congress and state legislatures.  Statute , Black's Law Dictionary (11th ed. 2019).

We typically start primary law research here. If there is a controlling statute, cases you look for later will interpret that law. There are two types of statutes, annotated and unannotated.

Annotated codes are a great place to start your research. They combine statutory language with citations to cases, regulations, secondary sources, and other relevant statutes. This can quickly connect you to the most relevant cases related to a particular law. Unannotated Codes provide only the text of the statute without editorial additions. Unannotated codes, however, are more often considered official and used for citation purposes.

For a deep dive on federal and state statutes, visit:

• Statutes: US and State Codes by Mindy Kent Last Updated Apr 12, 2024 3034 views this year
• 50 State Surveys

Want to learn more about the history or legislative intent of a law?  Learn how to get started here:

• Legislative History Get an introduction to legislative histories in less than 5 minutes.
• Federal Legislative History Research Guide

Regulations are rules made by executive departments and agencies. Not every legal question will require you to search regulations. However, many areas of law are affected by regulations. So make sure not to skip this step if they are relevant to your question.

To learn more about working with regulations, visit:

• Administrative Law Research by AJ Blechner Last Updated Apr 12, 2024 580 views this year

Case Basics

In many areas, finding relevant caselaw will comprise a significant part of your research. This Is particularly true in legal areas that rely heavily on common law principles.

Running Time: 3 minutes, 10 seconds.

Unpublished Cases

Up to  86% of federal case opinions are unpublished. You must determine whether your jurisdiction will consider these unpublished cases as persuasive authority. The Federal Rules of Appellate Procedure have an overarching rule, Rule 32.1  Each circuit also has local rules regarding citations to unpublished opinions. You must understand both the Federal Rule and the rule in your jurisdiction.

• Federal and Local Rules of Appellate Procedure 32.1 (Dec. 2021).
• Type of Opinion or Order Filed in Cases Terminated on the Merits, by Circuit (Sept. 2021).

Each state also has its own local rules which can often be accessed through:

• State Bar Associations
• State Courts Websites

First Circuit

• First Circuit Court Rule 32.1.0

Second Circuit

• Second Circuit Court Rule 32.1.1

Third Circuit

• Third Circuit Court Rule 5.7

Fourth Circuit

• Fourth Circuit Court Rule 32.1

Fifth Circuit

• Fifth Circuit Court Rule 47.5

Sixth Circuit

• Sixth Circuit Court Rule 32.1

Seventh Circuit

• Seventh Circuit Court Rule 32.1

Eighth Circuit

• Eighth Circuit Court Rule 32.1A

Ninth Circuit

• Ninth Circuit Court Rule 36-3

Tenth Circuit

• Tenth Circuit Court Rule 32.1

Eleventh Circuit

• Eleventh Circuit Court Rule 32.1

D.C. Circuit

• D.C. Circuit Court Rule 32.1

Federal Circuit

• Federal Circuit Court Rule 32.1

Finding Cases

Headnotes show the key legal points in a case. Legal databases use these headnotes to guide researchers to other cases on the same topic. They also use them to organize concepts explored in cases by subject. Publishers, like Westlaw and Lexis, create headnotes, so they are not consistent across databases.

Headnotes are organized by subject into an outline that allows you to search by subject. This outline is known as a "digest of cases." By browsing or searching the digest you can retrieve all headnotes covering a particular topic. This can help you identify particularly important cases on the relevant subject.

Running Time: 4 minutes, 43 seconds.

Each major legal database has its own digest:

• Topic Navigator (Lexis)
• Key Digest System (Westlaw)

Start by identifying a relevant topic in a digest.  Then you can limit those results to your jurisdiction for more relevant results.  Sometimes, you can keyword search within only the results on your topic in your jurisdiction.  This is a particularly powerful research method.

One Good Case Method

After following the steps above, you will have identified some relevant cases on your topic. You can use good cases you find to locate other cases addressing the same topic. These other cases often apply similar rules to a range of diverse fact patterns.

• in Lexis click "More Like This Headnote"
• in Westlaw click "Cases that Cite This Headnote"

to focus on the terms of art or key words in a particular headnote. You can use this feature to find more cases with similar language and concepts.  ​

Ways to Use Citators

A citator is "a catalogued list of cases, statutes, and other legal sources showing the subsequent history and current precedential value of those sources.  Citators allow researchers to verify the authority of a precedent and to find additional sources relating to a given subject." Citator , Black's Law Dictionary (11th ed. 2019).

Each major legal database has its own citator.  The two most popular are Keycite on Westlaw and Shepard's on Lexis.

• Keycite Information Page
• Shepard's Information Page

Making Sure Your Case is Still Good Law

This video answers common questions about citators:

For step-by-step instructions on how to use Keycite and Shepard's see the following:

• Shepard's Video Tutorial
• Shepard's Handout
• Shepard's Editorial Phrase Dictionary
• KeyCite Video Tutorial
• KeyCite Handout
• KeyCite Editorial Phrase Dictionary

Using Citators For

Citators serve three purposes: (1) case validation, (2) better understanding, and (3) additional research.

Case Validation

Is my case or statute good law?

• Parallel citations
• Prior and subsequent history
• Negative treatment suggesting you should no longer cite to holding.

Better Understanding

Has the law in this area changed?

• Later cases on the same point of law
• Positive treatment, explaining or expanding the law.
• Negative Treatment, narrowing or distinguishing the law.

Track Research

Who is citing and writing about my case or statute?

• Secondary sources that discuss your case or statute.
• Cases in other jurisdictions that discuss your case or statute.

Knowing When to Start Writing

For more guidance on when to stop your research see:

• Terminating Research, by Christina L. Kunz

Automated Services

Automated services can check your work and ensure that you are not missing important resources. You can learn more about several automated brief check services.  However, these services are not a replacement for conducting your own diligent research .

• Automated Brief Check Instructional Video

Contact Us!

  Ask Us!  Submit a question or search our knowledge base.

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This guide is licensed under a Creative Commons Attribution-Noncommercial-Share Alike 3.0 United States License .

You may reproduce any part of it for noncommercial purposes as long as credit is included and it is shared in the same manner. 

• Last Updated: Sep 21, 2023 2:56 PM
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Case study research.

Last update: April 07, 2022

A legal scholar who uses the term ‘case’ will probably first think of a legal case. From a socio-legal perspective, the understanding of this concept is, however, slightly different. Case study research is a methodology that is useful to study ‘how’ or ‘why’ questions in real-life.

Over the last forty years, researchers from sociology, anthropology and various other disciplines have developed the case study research methodology dramatically. This can be confusing for legal researchers. Luckily, both Webley and Argyrou have written an article on case study research specifically for legal researchers. Webley writes, for example, that this methodology allows us to know ‘how laws are understood, and how and why they are applied and misapplied, subverted, complied with or rejected’. Both authors rely upon the realist tradition of case study research as theorised by Yin. Yin defines the scope of a case study as: “An empirical inquiry that investigates a contemporary phenomenon in depth and within its real-life context, when the boundaries between phenomenon and context are not clearly evident”.

Before you start collecting data for your case study, it is important to think about the theory and the concepts that you will want to use, as this will very much determine what your case will be about and will help you in the analysis of your data. You should then decide which methods of data collection and sources you will consult to generate a rich spectrum of data. Observations, legal guidelines, press articles… can be useful. Legal case study researchers usually also rely extensively on interviews. The meaning that interview participants give to their experiences with legal systems can uncover the influence of socio-economic factors on the law, legal processes and legal institutions.

Case studies strive for generalisable theories that go beyond the setting for the specific case that has been studied. The in-depth understanding that we gain from one case, might help to also say something about other cases in other contexts but with similar dynamics at stake. However, you need to be careful to not generalize your findings across populations or universes.

Argyrou, A. (2017) Making the Case for Case Studies in Empirical Legal Research. Utrecht Law Review, Vol.13 (3), pp.95-113

Flyvbjerg, B. (2006.) Five Misunderstandings about Case-Study Research, Qualitative Inquiry 12( 2), 219-245.

Gerring, J. (2004) What Is a Case Study and What Is It Good for? American Political Science Review 98( 2), 341-354.

Simons, H. (2014) Case Study Research: In-Depth Understanding in Context. In P. Leavy (Ed.), The Oxford Handbook of Qualitative Research, Oxford University Press.

Webley, L. (2016) Stumbling Blocks in Empirical Legal Research: Case Study Research. Law and Method, 10.

Yin, R. K. (2009). Case study research: Design and methods (4th Ed.). Thousand Oaks, CA: Sage.

BJu Tijdschriften

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• Law and Method
• november, 2019
• Using Case Studies for Research on Judicial Opinions. Some Prelimin...
• november 2019
• Artikel Using Case Studies for Research on Judicial Opinions. Some Preliminary Insights

Citeerwijze van dit artikel: Mateusz Stępień, ‘Using Case Studies for Research on Judicial Opinions. Some Preliminary Insights’, 2019, oktober-december, DOI: 10.5553/REM/.000045

Dit artikel wordt geciteerd in

• 1. Introduction

Judicial opinions are not only central to legal practice and education, but they also play an important role in the scientific reflection on law. However, while judicial opinions are undoubtedly of immense value in legal research, it should be noted that previous studies on judicial opinions have been conducted mainly under a doctrinal approach. Research was carried out to prescribed sets of methods and goals, with established ways of how interpretation, and comparative and historical analyses, should be approached. The American legal realist movement of the 20th century (amongst their ranks, most notably Jerome Frank and Karl Llewellyn) outlined new unmasking research goals to examine judicial opinions. However, they did not propose any new ways to analyse them methodically, nor did their successors. It is only since the 1980s that the legal sciences have developed a growing interest in empirical studies on judicial opinions. The problem is that, in order to expand the scope of research goals in this area, it is necessary to develop specific methodological approaches and research tools. So far, not one published monograph, nor even a review article, deals in any comprehensive way with the methodological issues related to research on judicial opinions. General works on empirical legal research (e.g., Epstein, Martin 2014; Leeuw, Schmeets 2016) are too broad and do not take into account the specifics of judicial opinions. Consequently, there is a pressing need to develop a research methodology for studying judicial opinions that goes beyond both dogmatic analysis and the established positions developed within the philosophy of law and legal theory (e.g., the hermeneutic and argumentative approaches). We also need to ask whether it is possible to adopt or modify methodologies developed within empirically oriented social sciences. Most social science textbooks devoted to the methodology of empirical research deal with case studies. A case study is a flexible and broad approach, a research strategy (e.g., Creswell 2003: 15; Yin 2014: 5, 20), but certainly not a research technique. The practice of carrying out case studies has undergone many changes over the last hundred years and refers to a higher level of research than just the way in which data is collected. There are single case studies, examining only one case, multi-case studies, examining several cases, and comparative case studies (e.g., Bartlett, Vavrus 2017), which are a kind of multi-case study whereby each of the examined cases exhibit certain different features that can serve as a basis for comparison. The following considerations will be primarily focused on a single case study, as a starting point. Although no methodological standpoint is neutral, case studies are often treated as being in clear opposition to a strongly positivist vision of practicing social science. In this vein, case studies, by focusing on small areas and looking at particulars in detail, can provide a way of challenging a view of the social world based on aggregated data. However, as we shall see, the use of case studies in research is far more complex that it seems, and different types of case studies match the non-positivist vision to varying degrees. One of the biggest attractions of using case study research is that, by its very nature, it requires combining a number of different research techniques (an approach commonly recommended in social science research). Conversely, it should also be remembered that case studies are commonly criticised for being unscientific, lacking precision, relying too much on researchers’ subjectivity and not having a sufficiently restrictive research framework (see the summary of those critical voices in: Gerring 2007: 6-7 and Flyvbjerg 2006; Argyrou 2017: 103-104). While examining the validity of these criticisms is not the subject of this text, it is important to note that choosing case study research, with its emphasis on knowing more about a smaller area, always involves a trade-off. However, despite this, case studies have become an established practice for research and reflection on methodology within the social sciences. Within the scope of this inquiry, the key question is whether case study research is appropriate for judicial opinions. The fact that case study research can be carried out in a variety of ways, taking into account the specifics of individual research disciplines, is encouraging. Additionally, the overall preference for qualitative techniques within case study research has barely been explored for empirical studies on judicial opinions. So far, none of the case study research frameworks developed within the social sciences have been applied directly to judicial opinions, although they have been used for some empirical legal research studies (e.g., Leeuw, Schmeets 2016: 112-114; Webley 2016; Mushkat 2017; Argyrou 2017; Miller 2018). Moreover, a review of the legal science literature shows that there are some studies on judicial opinions where the authors have directly referred to their research as case studies. Whether or to what extent those studies correspond exactly to what is defined as a case study within the social sciences will be questioned later in this article. The point here is that this provides positive evidence that case study research for judicial opinions is worth pursuing in more depth. In legal studies, there is also a so-called case method, which serves as a didactic tool (e.g., Yin 2014: 5; Dhar, Dhar 2018). Here, the analysis of specific cases or an individual judicial opinion is carried out for the purpose of teaching law. Although this is different from using case studies as a research methodology, it shares the rationale that a broad, contextual analysis of a given legal case (e.g., case, court opinion) has its distinct advantages. Going further, there are clear similarities between case studies and certain features of the way lawyers analyse and study cases. Based on the aforementioned findings, case study research would appear to have potential for use with judicial opinions. If this is the case, how and to what extent can case study methodology developed within the social sciences be fruitfully used to examine judicial opinions? By fruitful , I mean that it meets the requirements of a case study and that it brings new knowledge about judicial opinions. In order to examine the issues related to the use of case study research on judicial opinions, we must take into account the specifics of both using case studies as a research strategy and judicial opinions as a specific area of research. This article will also consider some previous legal studies on judicial opinions where authors referred to their research directly as case studies. This will raise a question as to what extent these attempts meet the criteria for case studies developed within the social sciences. The presented analyses suggest that plenty of research on judicial opinions conducted in legal academy are only selectively in line with the full-grown case study methodology of the social sciences. Finally, the article is also aimed at encouraging legal researchers to critically and reflectively search for inspiration within the methodologies of the empirical social sciences .

• 2. Basic Types of Case Study

Characterising case studies is not an easy task. As a starting point, we shall examine the key features of three types of case studies developed within the social sciences (see, e.g., Bartlett, Vavrus 2017: 28-37).

Intensive case studies focus on a small research area (small-N). They are based on a belief that accurate knowledge of a small area is more valuable than flat knowledge about the whole. Recalling classic examples, the research object could be, for example, one city, one teenage criminal, two street gangs, or five families. In intensive case studies, selected cases are subjected to an in-depth and comprehensive analysis on the basis of a wide variety of sources. Such studies are carried out in situ , in a natural environment, taking into account the local colour. Broad and flexible questions are formulated that often regard the macro-social level (e.g., ‘How does the economic crisis affect families?’). Intensive case studies can be placed within the soft positivist paradigm of practicing science: Case findings can usually, to some extent, be generalised to a wider population; the research is relatively highly structured and may include research questions aimed at the development of theory and it may incorporate quantitative as well as qualitative techniques. From the other end of the spectrum, intensive case studies, focusing on a small research area, allow an openness to new hypotheses and questions, as well as appreciating the perspectives of different social actors.

Interpretive case studies stand in stark opposition to the operationalism, positivism and hegemony of quantitative research techniques. They also express fundamental doubts about fitting what is happening here and now within a schema of abstract categories and generalities (universalistic theories). Interpretive case studies strongly emphasise the idiosyncratic nature of each case and its context (‘[the] case itself is of interest’; Stake 1994: 237). This type of a case often relies heavily on qualitative techniques designed for capturing the complexity of the object under study. Diversity within the case is key. The narrow focus within a small research area is aimed at grasping the unique characteristics and conditions of a given phenomenon, not at serving generalisations.

Exploratory case studies are often used to try out an approach, concept, theory or research tool on a given area. The objectives may be methodological (checking and improving research tools), theoretical (testing or developing a theory or concept in relation to a narrow area) or cognitive (learning about a given case through the use of a specific tool). Theoretical and methodological objectives can both be described as technical . In this sense, exploratory case studies are focused , dealing only with those aspects of the case examined through the chosen testing tool. This highly structured type of research, devoid of any connections with the anti-positivist, interpretive tradition, rarely utilises qualitative techniques. Narrowing the focus of research allows the researcher to apply non-simplistic theoretical or methodological tools within a narrow case. Within these confines, researchers are still required to explore the complexity of the case and show its context from different analytical perspectives, as well as critically reflect on the use of tools and constructs.

The most important differences between the aforementioned three types of case studies relate to (1) whether the research is generalisation oriented or not, (2) whether the research is theory oriented or not, (3) how the research is justified in relation to its focus on a small area, (4) what is the scale of the structuring of research and (5) what are the depth and range of the research techniques considered. Using a case study perspective in research requires clarifying which of these types has been selected and why.

• 3. The Main Characteristics of Case Study Research

Not all studies focused on small areas are case studies (Gerring 2007: 6); additional conditions must be met. In reconstructing those conditions, it is helpful to recall selected definitions of a case study (see Table 1; emphasis mine). In spite of the differences between these definitions, four interrelated characteristics of case studies can be distinguished, although particular types of case study show certain characteristics to a lesser or greater extent.

(1) In a typical case study, the subject of research is limited to a small, defined area. There may be one case, as in single case studies, or several, as in multiple case studies. The emphasis on singleness and particularit y is the foundation of this research approach. The greater the scope and scale of the project, the less justified it is to use case study research and the lower the chance of obtaining satisfactory results. This focus on a specific case has various justifications. There are three that seem most important when describing case studies. In a case of epistemological justification, the thought is to know more about less rather than less about more . The goal is to study a smaller but well-defined subject more accurately and in greater detail. There is also the notion that small phenomena are best studied in their natural surroundings. When referring to ontological justification, the suggestion is that the social world consists of systemically related localities . This emphasis on particularity presupposes that each case has important atypical characteristics, happenings, relationships and situations. In turn, according to pragmatic justification , in some respects it is easier and more effective to explore a smaller area. Focusing only on a small area allows more time and effort to be devoted to researching the subject, as well as increases the chances of ending up with results that are not oversimplified. Proponents of case studies emphasise the role of all these justifications, while advocates of intensive and interpretive case studies mainly focus on the first two. It is only for exploratory case studies that pragmatic justifications assume far more importance. In case study research, the key issue is the choice of the case(s) to be examined. The reasons for isolating a given area as a case will vary, but they should always be clearly articulated and well justified. The literature does not provide any explicit description of what a case is or should be. Most often all that is indicated is that a case should constitute a ‘bounded system’. Amongst cases, we can distinguish (see. e.g., Thomas 2011) (1) typical cases , where the analysis allows, for example, a contextual and detailed study of a portion of a wider population; (2) atypical cases , characterised by certain unique features and/or configurations, as well as a specific relation to an environment and (3) extreme cases , which are significantly different from other cases due to some particular and well-defined characteristics. To better understand what a case study is, it is first necessary to distinguish the object (or analytical framework) from its subject (Wieviorka 1992: 159; Thomas 2011: 512). The subject of a given case could be described as an example, an instance or a representation of what is under investigation. Next, a case study usually implies the existence of something broader (phenomenally or intellectually). The case is always a case of something wider – some phenomenon, problem, dilemma or approach – to which it attempts to apply a tool. That is the object (or analytical framework).

(2) A case study focuses on a small area in order for the research to be intense, in-depth and multifaceted . Intense means cumulative interest in a small area in the long term, including focusing on details and internal diversity. In-depth studies mean going beyond what is obvious and visible on the surface. Multifaceted is simply examining a case from different angles, using different perspectives and assumptions. With intensive and interpretive case studies, the focus is generally on comprehensive case analyses, while with exploratory case studies, the focus is commonly on the analysis of a single aspect.

(3) One of the main characteristics of a case study is to examine a given case in its natural environment . Case studies aim to obtain knowledge that is least distorted by prior conceptualisation and that takes due account of the role of context. The researcher, while focusing on a small area, should have direct access to observe the subject in action, in its unique context. Importantly, in case study research, the context and findings of a given case cannot be separated. The exception is with technical exploratory case studies, where the requirement for examining cases in their natural environments must be relaxed.

(4) Intensive, in-depth and multifaceted analyses require the use of many diverse sources of information (data) and research techniques . In a case study, the number and types of techniques should be guided by the complexity of the case being studied. Each study needs to be evaluated according to its needs; there are no definitive lists. Exploratory case studies are very specific, so the use of research tools will be limited from the outset. Interpretive case studies, on the other hand, are open to the wide use of many different techniques. With intensive and interpretive case studies, qualitative techniques play an important role in capturing the context of a given case. Their use is also justified because the scope of quantitative techniques may be severely limited with small samples. However, this does not exclude using quantitative techniques within case studies. For example, in a classic, pioneering case study regarding industrialisation in the town of Muncie, Indiana, the research was based on in-depth interviews, direct observations, registers of books in library and surveys (Lynd, Lynd 1929/1956: 3).

• 4. The Main Characteristics of Judicial Opinions

Examining the utility of using the case study methodology developed within the social sciences to examine judicial opinions calls for a deeper understanding of judicial opinions. Surprisingly, they are rarely defined, either in legal acts or in literature. In the most general terms, a judicial opinion is an official document that, in most jurisdictions, is delivered on the basis of legal provisions, is prepared by a judge(s) (most often with the assistance of clerks) and contains considerations that are directly related to the material content of the decision (the judgement). The problem is that this relation to the judgement is complex, multilayered and diverse. It often depends on many factors, including the features of a given legal culture, the functions that judicial opinions fulfil within that particular legal culture (e.g., Wells 1994) or even the personal writing style of a judge (e.g., Posner 1995). All this aside, judicial opinions can be understood as a kind of narrative created by judges. Such a narrative justifies the conducted proceeding and the decision that was made (Kahn 2017). According to J. B. White, the judicial opinion ‘explains or justifies the result and, in the process, it connects the case with the cautions, the specific facts with more general concerns’ (1995: 1367). In such a context, a judicial opinion is a way of framing a material decision. In practice, judicial opinions are generally influenced by their institutional nature. Their form, content and the ways in which they were created have to be understood in this context. Many of the often ritualised elements they share are expressions of specific legal cultures, the professional socialisation of judges and the requirements of the legal institution. Moreover, judicial opinions inherit judicial authority. They are related to the exercise of power, and at the same time, form part of the legitimacy of that power (especially with regard to democratic regimes). Arguments within opinions can be targeted in varying degrees towards the parties in a case, other judges, other courts, the legal environment and/or political power holders.

• 5. Difficulties in Examining Judicial Opinions

Before we go any further, it is worth considering the conditions and limitations in using case study research to examine judicial opinions. The most important causes of general difficulties are as follows:

(1) A judicial opinion is a type of document and so is mostly textual. Certain research techniques, such as in-depth interviews and observations, are obviously not appropriate. However, there are research advantages – the subject is fixed and stable and there are many established tools and methods available for analysing discourse, narratives and text.

(2) Judges tend to not fully express the true reasons behind their opinions (see, e.g., Cohen 2015). This phenomenon, to some extent inherent in the process of delivering judicial opinions, can lead to distortions in reporting. While in itself an important and fascinating research subject, the point to make here is that the specificity of creating judicial opinions makes them very difficult to study. The key reasons for this problem are that judges have to model their reasoning and their chosen form of a narrative within a collective decision-making process. The writing of judicial opinion is also influenced by the judge’s evaluation as a decision maker as to how the opinion may be interpreted by other courts. On these grounds, a judge may choose to include selected content because it fits within accepted conventions, deliberately omitting other content that is harder to explain or justify. Moreover, judges are interested in defending their judicial opinions and not exposing themselves to negative consequences (e.g., disciplinary proceedings). This can lead to the aforementioned distortions. Last but not the least, there are general (existential) difficulties with articulating decisional premises by discursive, linguistic tools (see Frank 1948; see Stępień 2019). An example of this is where a judge finds it difficult to articulate problems faced when balancing principles and weighing values. More generally, C. M. Oldfather argued that writing judicial opinions might sometimes ‘lead thought astray’ (2008: 1286). Moreover, the highly ritualised form and content of judicial opinion can also result in a lack of judicial candor (see e.g. Fallon 2017).

(3) Judicial opinions are created behind closed doors . As the process is not totally transparent, it is not easy to reconstruct. It can be even further complicated in situations where a panel of judges may agree on the substance of the decision but not on the reasons, so elements of the opinion may be a compromise acceptable to the majority. Any research, including case study research, on how judicial opinions are created that goes beyond their form and content would require access to the decision makers, the clerks and the courts. In practical terms, this can generally be achieved only to a very limited extent.

• 6. Using Case Studies to Examine Judicial Opinions

Using case study research to examine judicial opinions should take into account the specificity of both the case studies and the judicial opinions. It is important to show all the different roles that judicial opinions can play within case study research. The first consideration is how many (and to what extent) of the four features of case studies (see Section 3 above) can be accomplished in studies on judicial opinions. A negative response to any of these would have serious consequences when it comes to using this research perspective. It is also necessary to take into account the different types of case studies and how each of these would suit different aspects of research.

Case Studies Are Not Always Needed and Applicable

Empirical research using judicial opinions as a form of a case study should never be a default methodological choice. With some projects, case studies are not required for the successful implementation of research plans. With others, research configurations may make it impossible to successfully employ case studies to examine judicial opinions.

(1) In general, there is no need to use case studies when research questions can be answered with a purely quantitative approach. For example, issues related to the decision-making process: voting agreement, participation, coalition size, dissenting opinions or the influence of political preferences. The same applies to problems related directly to judicial opinions, such as length of legal opinions, reasoning styles, cognitive complexity of judicial opinions or citations.

Having said this, it still may be possible to use case study research in situations where quantitative techniques are generally used. For instance, a researcher interested in the cognitive complexity of judicial opinions, in a given jurisdiction or type of court, say, could use computational tools to gather qualitative data from hundreds or thousands of opinions. Of course, the issues of cognitive complexity, along with the other aforementioned problems, could also be incorporated into a broader subject, which then becomes the subject of a case study, so extending the scope of the analysis and reaching to other sources of data . Another approach could be to design a case study research on the cognitive complexity of judicial opinions of one or many judges (e.g., in the atypical version of a case study, and even in comparative atypical case studies), in which the requirements of this perspective will be met to a large extent. The aim of such studies would be different from that of the approaches using quantitative techniques. For example, focusing attention on a given case will allow the researcher to investigate the factors and conditions determining the (small or large) cognitive complexity of a specific judicial opinion. At a meta level, it would allow to take a fresh look at the results of research on the basis of data aggregation. It is not difficult to notice that both the approaches – based on quantitative techniques and case study research, respectively – can be complementary. Choosing one of them depends on the general preferences, goals and adopted research objectives of the researcher.

(2) Further reflection on using case study research to examine judicial opinions requires mentioning the main features of case studies once again. It is important whether, and if so, to what extent, a research strategy with such defined goals can be applied to judicial opinions. The point here is to look at how case studies are used from the perspective of limitations (and opportunities) inherent in judicial opinions.

A. The emphasis on particularity in research on judicial opinions can be considered in at least two dimensions. First, it means focusing on those characteristics of judicial opinions that are difficult to capture when using only quantitative approaches ( particularity as detail ). Second, it is also important to examine how deeply a given opinion is rooted in specific conditions, a specific configuration of elements and a given background ( particularity as uniqueness or idiosyncrasy ). The attention here is on recognising the particularity of a judicial opinion in a given place and time. It should be stressed that there are major difficulties here when examining judicial opinions. The way opinions are created, their effects on legal institutions and the entire legal system, as well as ritualisation of their forms and content, significantly reduce the possibility of using case study research due to its requirement of particularity . The scale of this restriction varies depending on the type of case study considered. Focusing on a narrow area, a case may play a different role in a case study research plan. For example, supporting generalisations through particular examples, characteristic of intensive case studies, maybe a goal. In turn, employing an interpretive case study, where the particular case lies at the heart of inquiry, would not be easy. As documents, judicial opinions do not leave much room for such qualitative studies, unless the scope of research is extended beyond their content (wide case studies). With exploratory studies, focusing on a narrow area allows the researcher to test tools, concepts or theories. The requirement of particularity comes down to an accurate identification of the conditions and variables affecting their application to a specific judicial opinion. In exploratory studies, the requirement for particularity is quite easy to obtain. As an example, consider the article of T. Bench-Capon and H. Prakken, entitled ‘A Case Study of Hypothetical and Value-Based Reasoning in the US Supreme-Court cases’ (2010). In fact, their work deals with applying selected AI and law tools to a few cases, in particular to a judicial opinion in the California v. Carney case, 471 U.S. 386 (1985). This approach is similar to an exploratory case study in its technical version. The whole argument is based on a demonstration of how certain tools can be used and what purpose they serve.

B. Another characteristic of a case study – to provide an intense, thorough and comprehensive analysis of a given case – can to some extent be used in research on judicial opinions. Although analysing just documents limits the scope, text can be examined from different perspectives, through various cognitive lenses , and taking into account many of its dimensions (e.g., narrative, cultural, linguistic, rhetorical). Interpretive case studies are the most difficult to use from this perspective. Lack of guidelines and predetermined research structures are serious barriers here. Intensive case studies could be implemented, especially, where the investigation goes beyond the text of judicial opinion itself. However, due to the particularity requirement, by far, the most suitable are exploratory case studies. In the social sciences, studies in which a given case is analysed comprehensively on several levels are very common. This could also be said of case studies in the legal sciences. M. A. Nicholson’s research on libel law in England (2000) conforms largely to the classical framework of the legal sciences. The paper concerns the well-known libel suit filed by McDonald’s Corporation against environmental activists ( McDonald’s Corporation v. Steel & Morris [1997] EWHC QB 366). The subject of Nicholson’s interest is a lawsuit, a case, not the judicial opinion associated with it. A very detailed analysis of the case, along with its context and the judicial opinion delivered in the case, occupies more than 140 pages. The considerations are very broad; they include the history of libel law, along with numerous references to previous court disputes and comparative law issues (including European law). The text also contains many references to the narrative about this case from the popular press. In Nicholson’s research, we find no direct references to case studies. This is a perfect example of an intense, in-depth, comprehensive analysis of a given case. Although carried out in accordance with the traditions of the legal sciences, it meets the requirements of intensity and comprehensiveness for case studies within the social sciences.

C. The third characteristic of a case study, conducting research in its natural environment, is not generally easy to attain when examining judicial opinions. There are obvious limitations to in situ research of a given judicial opinion, especially when using case studies focused exclusively on judicial opinions (narrow case studies). It only becomes possible when the subject of the study goes beyond judicial opinions. Due to this criterion, it would be difficult to carry out either an intensive or an interpretive case study. Again, exploratory case studies are the easiest to implement. Another issue that needs to be discussed is the role of context concerning judicial opinions. The institutional context can be initially distinguished. Judicial opinions are specific documents, created inside the legal institution and performing a role in its functioning. While it is possible to reconstruct the institutional context, this would require a broad knowledge of law and legal institutions. In contrast, the context of existing cases is relatively easy to access and is often explored in the legal sciences. The context of existing cases refers to all judicial opinions to which references are made (explicitly or implicitly) in a given opinion, and which enable the reader to understand the author’s reasoning in such an opinion. Finally, we have the external context created by the social, cultural economic and political conditions that are necessary to fully understand a judicial opinion. It often serves as tacit knowledge for those involved in the case (actors). Over time, however, access to this knowledge generally decreases. Such external context may be narrow, closely related to a given case (e.g., political pressure, the situation of the parties), or broad, regarding more general processes at a given place and time (e.g., cultural swings, public opinion). The external context of judicial opinions is available from many sources for research. The research work of D. L. Threedy (2009) shows that emphasising the broad context of a particular case can become the very goal of research carried out within a case study perspective. Her paper describes the case of United States v. Hatahley 351 U.S. 173 (1956), which concerned a group of Navajos Indians. In the described case, Navajos Indians demanded compensation on the basis of the Federal Tort Claims Act in connection with ‘the destruction of over one hundred horses and burros’ (2009: 3). In her work, Threedy uses ‘legal archeology’ in order to ‘to reconstruct the historical, social, and economic context of the litigation’. So shedding light upon the complex context of that particular case lies at the heart of Threedy’s inquiry.

D. The final characteristic of a case study, using many sources of information ( data ) and research techniques, can be widely gained in relation to judicial opinions. Within the social sciences new qualitative tools, such as Critical Analysis, Qualitative Data Analysis and Framing Analysis, and quantitative tools, such as Content Analysis (which also can be used within the qualitative approaches; see Hall, Wright 2008) and Computational Analysis, have been developed specifically for textual studies. Access to other text analysis tools has also improved significantly in recent decades (e.g., QueryTermAnalyzer, OpenNLP, General Architecture for Text Engineering). They can all be equally used for legal studies, including research on judicial opinions.

Currently, there is a wide catalogue of sources of data about judicial opinions available to researchers. A great example of using non-obvious sources of data is the case study carried out by H. J. Knowles (2012). The subject of Knowles’s interest was the famous case regarding the constitutionality of the state statute introducing minimum wages in Washington State, culminating in a precedent ruling – West Coast Hotel Co. v. Parrish , 300 U.S. 379 (1937). The aim of the study was to look more closely at the plaintiff in this case, Elsie Parrish, and to reconstruct how the whole case was seen by the inhabitants of Washington D.C. Thus, the external context of the case was examined along with judicial opinion. The work compares narratives from the judicial opinion with those from the media. In her research, Knowles uses the ‘local newspaper, the original court documents, and the information provided by the West Coast Hotel Company’. Note the diverse range of sources, which go far beyond the analysis of the content of the opinion. It should be emphasised that the material Knowles used for her research was applicable even though many years had passed since the case took place in 1937. Although the research techniques developed in the social sciences were not applied methodically for this research, it is difficult to disregard Knowles’s effort to be consistent with the spirit of case studies.

• 7. The Subject and Analytical Framework of Case Studies

By carrying out a case study, judicial opinions can be subjected to various research configurations. There are case studies in which judicial opinions are analysed, but the examined case is not directly a judicial opinion. It may be, for example, the judge, or a particular court, lawsuit or dispute. However, such examples are generally marginalised in literature. The reason for this: every judicial opinion is considered a separate document, and so, by definition, is a closed whole. Consequently, it is determined to be a case in itself when considered for case study research. It can be stated that there are four basic research models that could be applied to judicial opinions (see Table 2). Through the use of the subject (narrow or wide) and the analytical framework (covers only judicial opinions or goes beyond judicial opinions), it can be determined how the different case study research models could fit with different types of research on judicial opinions.

(1) In the first model, both the subject and the analytical framework apply only to judicial opinions. In such narrow studies on judicial opinions , all the research is carried out on documents. In general, intensive and interpretive case studies, where the subject does not go beyond the content of a judicial opinion, are difficult to carry out. Exploratory case studies are the most suitable for this model, both in their technical and cognitive versions, because they do not require diverse data collection and allow the researcher to focus on one selected aspect of a given case. Note that a narrow case study on judicial opinions is the closest to research practice developed in the legal sciences. But, in most instances, such endeavours do not meet all the aforementioned characteristics of the case study research developed in the social sciences. There are some legal case studies developed alongside the social sciences that share some of their characteristics of this model. A perfect example is a study by C. Rountree (2001) concerning the ‘strategic representation of motives’ in Korematsu v. U.S. , 323 U.S. 214 (1944), which allowed the U.S. government to put Japanese Americans in internment camps during World War II. Although the term case study does not appear in the title or in the text, it has many characteristics of a case study. Rountree analysed both the majority opinion and dissenting opinions in the Korematsu case. The analytical framework is how the relationship between the actors (Japanese Americans) and the scene (America at war) was dealt with in the judicial opinions, and Korematsu was the subject of this case study. Korematsu is seen as an extreme example of where the scene displaces the actors . Rountree used a series of soft analyses well practiced in the legal sciences (analysis of previous cases, critical analysis of the literature, reconstruction of the historical background) but complemented by interpretations using Kenneth Burke’s literary theory tools. In many ways, his research is a model example of a specific legal case study, although it shares some characteristics with narrow case study research on a judicial opinion. It resembles a cognitive version of an exploratory case study, where a single concept (i.e., Burke’s pentagram) is assigned to the studied case, while taking into account a wide context and many dimensions.

(2) In the second model, a narrow case study going beyond judicial opinion , the research deals with judicial opinions but its aim is to find out something about wider phenomena. Without a doubt, judicial opinions contain valuable knowledge about the legal system because they are functionally linked to other elements of the process of applying law. They play an important role in the decision-making process, shaping social consciousness and court communication. Following on from this, it is easy to see how judicial opinions can act as a source of knowledge on wider aspects. However, while there are many ways to learn from judicial opinions, it would be very difficult to design a study that met the requirements of either intensive or interpretive case studies. Exploratory case studies in their technical version seem best to fit this model. H. T. Greely’s study ‘Quantitative Analysis of a Judicial Career: A Case Study of John John Minor Wisdom’ (1996) to some extent fits within the framework of this model. The analytical framework is a judicial career, so ideally we could reformulate the title to something like ‘Judge John Minor Wisdom: A Case Study of a Judicial Career’ in order to fit with our schema of case studies. With such a specific subject and analytical framework, this research would be very close to meeting the criteria of a case study research. The study was based on a statistical analysis of over 1,400 Wisdom’s opinions, looking at use of separate opinions, their length and the use of footnotes and citations to Judge Wisdom’s own opinions. Thus, it seems that we are dealing with a case study in which judicial opinions are the sole subject of research, but where the analytical framework extends beyond their content (it concerns a judge’s career). After reading the paper, it is obvious that the author had something more in his in mind. At the end of the text, Greely clearly indicates that his goal was to make ‘a preliminary assessment of the usefulness of these kinds of research techniques’ (1996: 101). Thus, a case study of all Judge Wisdom’s judicial opinions was designed to learn more about the research tool. It was thought as a test of usefulness of methodological tools. Viewed this way, Greely was very close to carrying out an exploratory case study in its technical version (where in situ and multifaceted analyses and taking into account the context are not strict requirements).

(3) Here the subject of a case study extends beyond judicial opinions, but the analytical framework applies only to them ( wide case studies on judicial opinions ). This model has most to offer in terms of conducting research aimed at increasing our understanding of the characteristics of judicial opinions. It has the potential to reveal new findings as it is best suited for pioneering research on judicial opinions. By extending the research subject, a more thorough understanding of judicial opinions may result. It is possible to use intensive case studies here, where the research question is wide. To some extent, interpretive case studies may be used, although there are significant difficulties in accessing sources other than judicial opinions. The use of new text analysis tools creates new possibilities, as do other research techniques like in-depth interviews, biographical studies, passive observation, case file analysis, press analysis and experimental research. For example, an extremely important and interesting topic in the study of judicial opinions is ghostwriting, or the contribution of clerks in creating judicial opinions. This phenomenon can be examined using quantitative techniques. In order to recognise this issue more accurately when using case studies, a given case has to be examined – it may be a specific opinion (Knowles 2009) or the opinions of a single judge (see Bodwin et al. 2013). However, using the wide model of case studies on judicial opinions enables the research to extend beyond the content of a given opinion(s). A great research tool in ghostwriting studies are interviews with the judges, clerks and other staff. Materials such as diaries, journals and letters may also be available in some instances, although they will generally be hard to access. To some extent, attempts at using the wide model of case studies on judicial opinions were made by K. Bodwin et al. (2013). The title of their paper suggests that it is ‘a case study of Judge Easterbrook’. However, the analytical framework of their work is the authorship of judicial opinions and the issue of using clerks to write them. The case examined comprises the opinions of U.S. federal court judge Frank Easterbrook, selected due to his reputation for writing most of his opinions by himself, with only limited participation by the clerks. Brown, Rosenthal and Yoon conducted quantitative research on a large sample of Judge Easterbrook’s opinions, alongside quasi-qualitative research, talking with the judge and his clerks. By going beyond the content of judicial opinions, the researchers were able to make new findings regarding the authorship of judicial opinions.

(4) In the last model, the subject of a case study goes beyond judicial opinions and the analytical framework does not apply directly to them ( wide case studies going beyond judicial opinions ). Here, judicial opinions are only an element relevant to the chosen case (which could be a court, a judge, a case or a legal culture). To better illustrate this, we could construct our research to try and answer any of the following questions. How does the court ensure legitimacy of its decisions? How does the court communicate with citizens? What kind of impact does public opinion have on the case? What is the role of clerks in the decision-making process? All of these issues probably require research on judicial opinions, but they also require studies of other objects. Judicial opinions have a great potential of being used within this model. The possibilities for carrying out this type of research are huge. Any of the aforementioned three types of case study research (inclusive, interpretative, exploratory) could be utilised within this model. Note that, because in this research configuration judicial opinions are not the only source of data, numerous research limitations related to the nature of judicial opinions are minimised. A vivid illustration of such a research strategy in the legal sciences is the work of S. N. Katz on ‘the best interests from the child doctrine’ (1966). Although the author does not explain how he understands the case study mentioned in the title, it is possible to find some elements of a case study approach here. The case of teenage Laura is widely discussed here, showing numerous problems related to the activities of the institution and the functioning of the child legal doctrine. This case was explicitly described as typical. The analysis is comprehensive – it concerns the activities of one of the care agencies, the impact of different state institutions and the first and second instance judicial processes. A large part of the reflections focuses on judicial opinions related to legal custody over Laura. In this study, the legal doctrine was shown in action . The case of Laura was an illustration of the problems and the starting point for a normative proposal regarding the application of this doctrine. In Katz’s studies, judicial opinions are an important part of reflection, but not the only one. It is not about generating knowledge about judicial opinions, but about emphasising the problems related to the application of the ‘doctrine of the best interest of the child’ in courts. In this way Katz’s analyses are a perfect example of wide case studies going beyond judicial opinions.

• 8. Conclusion

In the Introduction, we asked whether case study research can be fruitfully used to examine judicial opinions. The answer is undoubtedly positive, although with many serious and far-reaching reservations. Case studies can bring new, non-trivial threads to the research methodology on judicial opinions. But this does not mean that they are an obvious or default methodological choice. Nor does it mean that such research is easy to apply because every judicial opinion (or the case that it is a part of) immediately becomes the subject of a case study research in itself. A case study is often not an appropriate method to answer many research questions concerning judicial opinions. A researcher considering the use of a case study to examine judicial opinions must remember that there are three distinct types of case studies and there is no one solution to fit all cases. The specificity of judicial opinions also limits the use of case study research. Some general guidelines for choosing the adequate type of case study might be stressed. Intensive case studies can only be used in situations where they are a part of some wider research. It is, therefore, necessary to formulate a general research question to place judicial opinions within the context of functioning institutions. This is because of the inherent limitations of in-depth, comprehensive and based on a wide variety of sources analysis of judicial opinions (see Section 5). Next, as was mentioned, the hallmark of interpretive case studies is distrust towards the theory-driven, highly structuralized type of research. The ideal is to be free of any assumptions and conceptual schemata. There are some important limitations of studying judicial opinions in such a way. Thus, interpretive case studies offer limited possibilities and only make sense where research involves an area wider than just judicial opinions. Exploratory case studies correspond most closely to the specifics of judicial opinions and can be widely applied to their research. Such projects will be characterised by their narrow research area and very structured research. That approach seems to be more fruitful when applied to study judicial opinions mainly because of the low range of research techniques considered and clear boundaries of the research. In summation, judicial opinions can take different roles and occupy different places within a case study research. The four aforementioned models, based on the differences between the object and the analytical framework, allow the researcher to find the right place for them within their research perspective. Making this distinction allows the research to be better organised. A number of research examples presented within this article have some hallmarks of a case study research. In general, these authors did not articulate their methodological assumptions or justify the choice of a given case study type. Only certain aspects of case study research were explored, and only some ways to collect data were used. Despite those deficiencies, the research examples, to some extent, share the basic characteristics of case studies. Against this background, the development of legal case study research has been rather undisciplined and haphazard. Adopting the methodological rigour used in the social sciences seems to be the way to advance its use as a legal research tool. Authors who state that they are using a case study approach should adopt a set of established criteria for a case study research. So-called naive case studies, those that fail to meet the criteria, arise largely due to lack of methodological awareness, the intuitive nature of naive case studies (which makes it easy to define research as case study ) or the tradition shaped in the legal sciences. The legal examples quoted in this article are reverse cases, where research on judicial opinions was carried out without any reference to this approach (case studies de facto ), although many or all of the characteristics of professional case studies are present.

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Cases cited United Kingdom McDonald’s Corporation v. Steel & Morris [1997] EWHC QB 366

United States California v. Carney case, 471 U.S. 386 (1985)

United States v. Hatahley 351 U.S. 173 (1956)

West Coast Hotel Co. v. Parrish , 300 U.S. 379 (1937)

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5 Doctrinal Legal Research as a Means of Synthesizing Facts, Thoughts, and Legal Principles

• Published: January 2020
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Doctrinal legal research (DLR) is a predominant method employed by various classes of legal researchers. It involves rigorous analysis and creative synthesis of multiple doctrinal strands. Doctrines are central to juridical treatment of concepts. Since legal propositions have roots in economic, social, political, and psychological factors, an inter-disciplinary approach becomes essential. Because of the need to overarch changing values, social mores, and economic factors, doctrinal research collaborates with historical, comparative, analytical, and philosophical methods of research. DLR has a long history and definite procedure. Adoption of required steps systematises DLR. It has received criticism for excessively relying on concepts rather than social inputs; for ignoring the empirical techniques; for concentrating only on court decisions or legal rules. It differs from non-doctrinal legal research in the matter of data, venue of research, and time and money utilised. Because of social character of law there is need for collaboration between DLR and NDLR for positive outcome.

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The case study approach

• Sarah Crowe 1 ,
• Kathrin Cresswell 2 ,
• Ann Robertson 2 ,
• Guro Huby 3 ,
• Anthony Avery 1 &
• Aziz Sheikh 2  

BMC Medical Research Methodology volume  11 , Article number:  100 ( 2011 ) Cite this article

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The case study approach allows in-depth, multi-faceted explorations of complex issues in their real-life settings. The value of the case study approach is well recognised in the fields of business, law and policy, but somewhat less so in health services research. Based on our experiences of conducting several health-related case studies, we reflect on the different types of case study design, the specific research questions this approach can help answer, the data sources that tend to be used, and the particular advantages and disadvantages of employing this methodological approach. The paper concludes with key pointers to aid those designing and appraising proposals for conducting case study research, and a checklist to help readers assess the quality of case study reports.

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Introduction

The case study approach is particularly useful to employ when there is a need to obtain an in-depth appreciation of an issue, event or phenomenon of interest, in its natural real-life context. Our aim in writing this piece is to provide insights into when to consider employing this approach and an overview of key methodological considerations in relation to the design, planning, analysis, interpretation and reporting of case studies.

The illustrative 'grand round', 'case report' and 'case series' have a long tradition in clinical practice and research. Presenting detailed critiques, typically of one or more patients, aims to provide insights into aspects of the clinical case and, in doing so, illustrate broader lessons that may be learnt. In research, the conceptually-related case study approach can be used, for example, to describe in detail a patient's episode of care, explore professional attitudes to and experiences of a new policy initiative or service development or more generally to 'investigate contemporary phenomena within its real-life context' [ 1 ]. Based on our experiences of conducting a range of case studies, we reflect on when to consider using this approach, discuss the key steps involved and illustrate, with examples, some of the practical challenges of attaining an in-depth understanding of a 'case' as an integrated whole. In keeping with previously published work, we acknowledge the importance of theory to underpin the design, selection, conduct and interpretation of case studies[ 2 ]. In so doing, we make passing reference to the different epistemological approaches used in case study research by key theoreticians and methodologists in this field of enquiry.

This paper is structured around the following main questions: What is a case study? What are case studies used for? How are case studies conducted? What are the potential pitfalls and how can these be avoided? We draw in particular on four of our own recently published examples of case studies (see Tables 1 , 2 , 3 and 4 ) and those of others to illustrate our discussion[ 3 – 7 ].

What is a case study?

A case study is a research approach that is used to generate an in-depth, multi-faceted understanding of a complex issue in its real-life context. It is an established research design that is used extensively in a wide variety of disciplines, particularly in the social sciences. A case study can be defined in a variety of ways (Table 5 ), the central tenet being the need to explore an event or phenomenon in depth and in its natural context. It is for this reason sometimes referred to as a "naturalistic" design; this is in contrast to an "experimental" design (such as a randomised controlled trial) in which the investigator seeks to exert control over and manipulate the variable(s) of interest.

Stake's work has been particularly influential in defining the case study approach to scientific enquiry. He has helpfully characterised three main types of case study: intrinsic , instrumental and collective [ 8 ]. An intrinsic case study is typically undertaken to learn about a unique phenomenon. The researcher should define the uniqueness of the phenomenon, which distinguishes it from all others. In contrast, the instrumental case study uses a particular case (some of which may be better than others) to gain a broader appreciation of an issue or phenomenon. The collective case study involves studying multiple cases simultaneously or sequentially in an attempt to generate a still broader appreciation of a particular issue.

These are however not necessarily mutually exclusive categories. In the first of our examples (Table 1 ), we undertook an intrinsic case study to investigate the issue of recruitment of minority ethnic people into the specific context of asthma research studies, but it developed into a instrumental case study through seeking to understand the issue of recruitment of these marginalised populations more generally, generating a number of the findings that are potentially transferable to other disease contexts[ 3 ]. In contrast, the other three examples (see Tables 2 , 3 and 4 ) employed collective case study designs to study the introduction of workforce reconfiguration in primary care, the implementation of electronic health records into hospitals, and to understand the ways in which healthcare students learn about patient safety considerations[ 4 – 6 ]. Although our study focusing on the introduction of General Practitioners with Specialist Interests (Table 2 ) was explicitly collective in design (four contrasting primary care organisations were studied), is was also instrumental in that this particular professional group was studied as an exemplar of the more general phenomenon of workforce redesign[ 4 ].

What are case studies used for?

According to Yin, case studies can be used to explain, describe or explore events or phenomena in the everyday contexts in which they occur[ 1 ]. These can, for example, help to understand and explain causal links and pathways resulting from a new policy initiative or service development (see Tables 2 and 3 , for example)[ 1 ]. In contrast to experimental designs, which seek to test a specific hypothesis through deliberately manipulating the environment (like, for example, in a randomised controlled trial giving a new drug to randomly selected individuals and then comparing outcomes with controls),[ 9 ] the case study approach lends itself well to capturing information on more explanatory ' how ', 'what' and ' why ' questions, such as ' how is the intervention being implemented and received on the ground?'. The case study approach can offer additional insights into what gaps exist in its delivery or why one implementation strategy might be chosen over another. This in turn can help develop or refine theory, as shown in our study of the teaching of patient safety in undergraduate curricula (Table 4 )[ 6 , 10 ]. Key questions to consider when selecting the most appropriate study design are whether it is desirable or indeed possible to undertake a formal experimental investigation in which individuals and/or organisations are allocated to an intervention or control arm? Or whether the wish is to obtain a more naturalistic understanding of an issue? The former is ideally studied using a controlled experimental design, whereas the latter is more appropriately studied using a case study design.

Case studies may be approached in different ways depending on the epistemological standpoint of the researcher, that is, whether they take a critical (questioning one's own and others' assumptions), interpretivist (trying to understand individual and shared social meanings) or positivist approach (orientating towards the criteria of natural sciences, such as focusing on generalisability considerations) (Table 6 ). Whilst such a schema can be conceptually helpful, it may be appropriate to draw on more than one approach in any case study, particularly in the context of conducting health services research. Doolin has, for example, noted that in the context of undertaking interpretative case studies, researchers can usefully draw on a critical, reflective perspective which seeks to take into account the wider social and political environment that has shaped the case[ 11 ].

How are case studies conducted?

Here, we focus on the main stages of research activity when planning and undertaking a case study; the crucial stages are: defining the case; selecting the case(s); collecting and analysing the data; interpreting data; and reporting the findings.

Defining the case

Carefully formulated research question(s), informed by the existing literature and a prior appreciation of the theoretical issues and setting(s), are all important in appropriately and succinctly defining the case[ 8 , 12 ]. Crucially, each case should have a pre-defined boundary which clarifies the nature and time period covered by the case study (i.e. its scope, beginning and end), the relevant social group, organisation or geographical area of interest to the investigator, the types of evidence to be collected, and the priorities for data collection and analysis (see Table 7 )[ 1 ]. A theory driven approach to defining the case may help generate knowledge that is potentially transferable to a range of clinical contexts and behaviours; using theory is also likely to result in a more informed appreciation of, for example, how and why interventions have succeeded or failed[ 13 ].

For example, in our evaluation of the introduction of electronic health records in English hospitals (Table 3 ), we defined our cases as the NHS Trusts that were receiving the new technology[ 5 ]. Our focus was on how the technology was being implemented. However, if the primary research interest had been on the social and organisational dimensions of implementation, we might have defined our case differently as a grouping of healthcare professionals (e.g. doctors and/or nurses). The precise beginning and end of the case may however prove difficult to define. Pursuing this same example, when does the process of implementation and adoption of an electronic health record system really begin or end? Such judgements will inevitably be influenced by a range of factors, including the research question, theory of interest, the scope and richness of the gathered data and the resources available to the research team.

Selecting the case(s)

The decision on how to select the case(s) to study is a very important one that merits some reflection. In an intrinsic case study, the case is selected on its own merits[ 8 ]. The case is selected not because it is representative of other cases, but because of its uniqueness, which is of genuine interest to the researchers. This was, for example, the case in our study of the recruitment of minority ethnic participants into asthma research (Table 1 ) as our earlier work had demonstrated the marginalisation of minority ethnic people with asthma, despite evidence of disproportionate asthma morbidity[ 14 , 15 ]. In another example of an intrinsic case study, Hellstrom et al.[ 16 ] studied an elderly married couple living with dementia to explore how dementia had impacted on their understanding of home, their everyday life and their relationships.

For an instrumental case study, selecting a "typical" case can work well[ 8 ]. In contrast to the intrinsic case study, the particular case which is chosen is of less importance than selecting a case that allows the researcher to investigate an issue or phenomenon. For example, in order to gain an understanding of doctors' responses to health policy initiatives, Som undertook an instrumental case study interviewing clinicians who had a range of responsibilities for clinical governance in one NHS acute hospital trust[ 17 ]. Sampling a "deviant" or "atypical" case may however prove even more informative, potentially enabling the researcher to identify causal processes, generate hypotheses and develop theory.

In collective or multiple case studies, a number of cases are carefully selected. This offers the advantage of allowing comparisons to be made across several cases and/or replication. Choosing a "typical" case may enable the findings to be generalised to theory (i.e. analytical generalisation) or to test theory by replicating the findings in a second or even a third case (i.e. replication logic)[ 1 ]. Yin suggests two or three literal replications (i.e. predicting similar results) if the theory is straightforward and five or more if the theory is more subtle. However, critics might argue that selecting 'cases' in this way is insufficiently reflexive and ill-suited to the complexities of contemporary healthcare organisations.

The selected case study site(s) should allow the research team access to the group of individuals, the organisation, the processes or whatever else constitutes the chosen unit of analysis for the study. Access is therefore a central consideration; the researcher needs to come to know the case study site(s) well and to work cooperatively with them. Selected cases need to be not only interesting but also hospitable to the inquiry [ 8 ] if they are to be informative and answer the research question(s). Case study sites may also be pre-selected for the researcher, with decisions being influenced by key stakeholders. For example, our selection of case study sites in the evaluation of the implementation and adoption of electronic health record systems (see Table 3 ) was heavily influenced by NHS Connecting for Health, the government agency that was responsible for overseeing the National Programme for Information Technology (NPfIT)[ 5 ]. This prominent stakeholder had already selected the NHS sites (through a competitive bidding process) to be early adopters of the electronic health record systems and had negotiated contracts that detailed the deployment timelines.

It is also important to consider in advance the likely burden and risks associated with participation for those who (or the site(s) which) comprise the case study. Of particular importance is the obligation for the researcher to think through the ethical implications of the study (e.g. the risk of inadvertently breaching anonymity or confidentiality) and to ensure that potential participants/participating sites are provided with sufficient information to make an informed choice about joining the study. The outcome of providing this information might be that the emotive burden associated with participation, or the organisational disruption associated with supporting the fieldwork, is considered so high that the individuals or sites decide against participation.

In our example of evaluating implementations of electronic health record systems, given the restricted number of early adopter sites available to us, we sought purposively to select a diverse range of implementation cases among those that were available[ 5 ]. We chose a mixture of teaching, non-teaching and Foundation Trust hospitals, and examples of each of the three electronic health record systems procured centrally by the NPfIT. At one recruited site, it quickly became apparent that access was problematic because of competing demands on that organisation. Recognising the importance of full access and co-operative working for generating rich data, the research team decided not to pursue work at that site and instead to focus on other recruited sites.

Collecting the data

In order to develop a thorough understanding of the case, the case study approach usually involves the collection of multiple sources of evidence, using a range of quantitative (e.g. questionnaires, audits and analysis of routinely collected healthcare data) and more commonly qualitative techniques (e.g. interviews, focus groups and observations). The use of multiple sources of data (data triangulation) has been advocated as a way of increasing the internal validity of a study (i.e. the extent to which the method is appropriate to answer the research question)[ 8 , 18 – 21 ]. An underlying assumption is that data collected in different ways should lead to similar conclusions, and approaching the same issue from different angles can help develop a holistic picture of the phenomenon (Table 2 )[ 4 ].

Brazier and colleagues used a mixed-methods case study approach to investigate the impact of a cancer care programme[ 22 ]. Here, quantitative measures were collected with questionnaires before, and five months after, the start of the intervention which did not yield any statistically significant results. Qualitative interviews with patients however helped provide an insight into potentially beneficial process-related aspects of the programme, such as greater, perceived patient involvement in care. The authors reported how this case study approach provided a number of contextual factors likely to influence the effectiveness of the intervention and which were not likely to have been obtained from quantitative methods alone.

In collective or multiple case studies, data collection needs to be flexible enough to allow a detailed description of each individual case to be developed (e.g. the nature of different cancer care programmes), before considering the emerging similarities and differences in cross-case comparisons (e.g. to explore why one programme is more effective than another). It is important that data sources from different cases are, where possible, broadly comparable for this purpose even though they may vary in nature and depth.

Analysing, interpreting and reporting case studies

Making sense and offering a coherent interpretation of the typically disparate sources of data (whether qualitative alone or together with quantitative) is far from straightforward. Repeated reviewing and sorting of the voluminous and detail-rich data are integral to the process of analysis. In collective case studies, it is helpful to analyse data relating to the individual component cases first, before making comparisons across cases. Attention needs to be paid to variations within each case and, where relevant, the relationship between different causes, effects and outcomes[ 23 ]. Data will need to be organised and coded to allow the key issues, both derived from the literature and emerging from the dataset, to be easily retrieved at a later stage. An initial coding frame can help capture these issues and can be applied systematically to the whole dataset with the aid of a qualitative data analysis software package.

The Framework approach is a practical approach, comprising of five stages (familiarisation; identifying a thematic framework; indexing; charting; mapping and interpretation) , to managing and analysing large datasets particularly if time is limited, as was the case in our study of recruitment of South Asians into asthma research (Table 1 )[ 3 , 24 ]. Theoretical frameworks may also play an important role in integrating different sources of data and examining emerging themes. For example, we drew on a socio-technical framework to help explain the connections between different elements - technology; people; and the organisational settings within which they worked - in our study of the introduction of electronic health record systems (Table 3 )[ 5 ]. Our study of patient safety in undergraduate curricula drew on an evaluation-based approach to design and analysis, which emphasised the importance of the academic, organisational and practice contexts through which students learn (Table 4 )[ 6 ].

Case study findings can have implications both for theory development and theory testing. They may establish, strengthen or weaken historical explanations of a case and, in certain circumstances, allow theoretical (as opposed to statistical) generalisation beyond the particular cases studied[ 12 ]. These theoretical lenses should not, however, constitute a strait-jacket and the cases should not be "forced to fit" the particular theoretical framework that is being employed.

When reporting findings, it is important to provide the reader with enough contextual information to understand the processes that were followed and how the conclusions were reached. In a collective case study, researchers may choose to present the findings from individual cases separately before amalgamating across cases. Care must be taken to ensure the anonymity of both case sites and individual participants (if agreed in advance) by allocating appropriate codes or withholding descriptors. In the example given in Table 3 , we decided against providing detailed information on the NHS sites and individual participants in order to avoid the risk of inadvertent disclosure of identities[ 5 , 25 ].

What are the potential pitfalls and how can these be avoided?

The case study approach is, as with all research, not without its limitations. When investigating the formal and informal ways undergraduate students learn about patient safety (Table 4 ), for example, we rapidly accumulated a large quantity of data. The volume of data, together with the time restrictions in place, impacted on the depth of analysis that was possible within the available resources. This highlights a more general point of the importance of avoiding the temptation to collect as much data as possible; adequate time also needs to be set aside for data analysis and interpretation of what are often highly complex datasets.

Case study research has sometimes been criticised for lacking scientific rigour and providing little basis for generalisation (i.e. producing findings that may be transferable to other settings)[ 1 ]. There are several ways to address these concerns, including: the use of theoretical sampling (i.e. drawing on a particular conceptual framework); respondent validation (i.e. participants checking emerging findings and the researcher's interpretation, and providing an opinion as to whether they feel these are accurate); and transparency throughout the research process (see Table 8 )[ 8 , 18 – 21 , 23 , 26 ]. Transparency can be achieved by describing in detail the steps involved in case selection, data collection, the reasons for the particular methods chosen, and the researcher's background and level of involvement (i.e. being explicit about how the researcher has influenced data collection and interpretation). Seeking potential, alternative explanations, and being explicit about how interpretations and conclusions were reached, help readers to judge the trustworthiness of the case study report. Stake provides a critique checklist for a case study report (Table 9 )[ 8 ].

Conclusions

The case study approach allows, amongst other things, critical events, interventions, policy developments and programme-based service reforms to be studied in detail in a real-life context. It should therefore be considered when an experimental design is either inappropriate to answer the research questions posed or impossible to undertake. Considering the frequency with which implementations of innovations are now taking place in healthcare settings and how well the case study approach lends itself to in-depth, complex health service research, we believe this approach should be more widely considered by researchers. Though inherently challenging, the research case study can, if carefully conceptualised and thoughtfully undertaken and reported, yield powerful insights into many important aspects of health and healthcare delivery.

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Acknowledgements

We are grateful to the participants and colleagues who contributed to the individual case studies that we have drawn on. This work received no direct funding, but it has been informed by projects funded by Asthma UK, the NHS Service Delivery Organisation, NHS Connecting for Health Evaluation Programme, and Patient Safety Research Portfolio. We would also like to thank the expert reviewers for their insightful and constructive feedback. Our thanks are also due to Dr. Allison Worth who commented on an earlier draft of this manuscript.

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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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• Discussion Forum

Why and How: Using the Case Study Method in the Law Classroom

Post by: Jackie Kim and Lisa Brem

Why should legal educators use case studies and other experiential teaching methods, such as role plays and simulations, in their classes?  Hasn’t the Langdell method served legal education well these last 140 years?  Certainly creating and using experiential materials requires a different set of skills from faculty, elicits a different response and level of engagement from students, and poses barriers to implementation. The ABA’s LEAPS Project [i] has a comprehensive list of objections to practical problem solving in the classroom: materials are time consuming and expensive to create and deploy; addition of a case study or simulation to a syllabus inherently displaces other material; and there are few incentives from law school leaders to introduce this type of teaching.

Yet, the argument promoting experiential materials and techniques is strong. The 2007 Carnegie Report [ii] recommended integrating lawyering skills practice into the curriculum alongside doctrinal courses, and the ABA added simulation courses to the list of practical experiences that can and should be offered by law schools in its 2015 Guidance Memo [iii] .

In a 2007 Vanderbilt Law Review article [iv] , HLS Dean Martha Minow and Professor Todd D. Rakoff argued that Langdell’s approach to teaching students using appellate cases does not do enough to prepare law students for real-world problems: “The fact is, Langdell’s case method is good for some things, but not good for others. We are not talking about fancy goals here; we are talking about teaching students ‘how to think like a lawyer.’”

But does the case study method result in a higher degree of student learning? While we have not yet seen a study on the efficacy of the case study method vs. the Langdell method in law schools, research [v] from political science professor Matthew Krain suggests that case studies and problem-based activities do enhance certain types of learning over other types of pedagogy.  In his investigation, Krain compared the results of pre-and post-course surveys of students who participated in active learning with those who received a traditional lecture course. The case studies and problems that Krain used in his non-traditional classes included: case studies in the form of popular press articles, formal case studies, films, or problem-based case exercises that required students to produce a work product.

Krain found that:

Student-centered reflection, in which students have the opportunity to discuss their understanding of the case, allows both students and instructors to connect active learning experiences back to a larger theoretical context. Case learning is particularly useful for dramatizing abstract theoretical concepts, making seemingly distant events or issues seem more “authentic” or “real,” demonstrating the connection between theory and practice, and building critical-thinking and problem-solving skills (Inoue & Krain, 2014; Krain, 2010; Kuzma & Haney, 2001; Lamy, 2007; Swimelar, 2013).

This study suggests that case-based approaches have great utility in the classroom, and they should be used more often in instances where students’ understanding of conceptual complexity or knowledge of case details is critical. Moreover, case-based exercises can be derived from a variety of different types of materials and still have great utility. If deployed selectively in the context of a more traditional classroom setting as ways to achieve particular educational objectives, case-based approaches can be useful tools in our pedagogical toolbox.

For those who might be ready to try a case study, role play, or simulation, there are resources that can help.  Harvard Law School produces case studies for use throughout the legal curriculum. The HLS Case Studies program publishes these teaching materials, and makes them available to educators, academic staff, students, and trainers. Outside of Harvard Law School, links to resources for educators implementing the case study method can be found on the Case Studies Program Resources page. Listed are case study affiliates at Harvard, legal teaching and learning tools, tips for case teaching, and free case materials. Examples include the Legal Education, ADR, and Practical Problem Solving (LEAPS) Project [vi] from the American Bar Association , which provides resources for various topics on legal education, and the Teaching Post , an educators’ forum offered by the Harvard Business School where professors can seek or provide advice on case study teaching.

“… [O]ur society is full of new problems demanding new solutions, and less so than in the past are lawyers inventing those solutions. We think we can, and ought to, do better.” – Dean Martha Minow & Professor Todd Rakoff. [vii]

[i] “Overcoming Barriers to Teaching ‘Practical Problem-Solving’.” Legal Education, ADR & Practical Problem-Solving (LEAPS) Project, American Bar Association, Section of Dispute Resolution. Accessed March 16, 2017, http://leaps.uoregon.edu/content/overcoming-barriers-teaching-%E2%80%9Cpractical-problem-solving%E2%80%9D. [ii] William M. Sullivan, Anne Colby, Judith Welch Wegner, Lloyd Bond, and Lee S. Shulman, “Educating Lawyers,”  The Carnegie Foundation for the Advancement of Teaching (2007). [iii] American Bar Association, “Managing Director’s Guidance Memo,”  Section of Legal Education and Admissions to the Bar  (2015). [iv] Martha Minow and Todd D. Rakoff, “A Case for Another Case Method,” Vanderbilt Law Review 60(2) (2007): 597-607. [v] Matthew Krain, “Putting the learning in case learning? The effects of case-based approaches on student knowledge, attitudes, and engagement,” Journal on Excellence in College Teaching 27(2) (2016): 131-153. [vi] “Overcoming Barriers to Teaching ‘Practical Problem-Solving’.” [vii] Minow and Rakoff.

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'Poor design, misleading': ICMR calls out BHU study on Covaxin's side effects

Icmr's director criticised the study about covaxin's side effects, citing its poor methodology and design, and clarified that the article misleadingly "acknowledges" india's apex medical research body..

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• ICMR director criticised BHU's study on Covaxin's side effects
• He said that the study misleadingly "acknowledges" ICMR
• The data collection method of the study was highly prone to bias, he added

The Indian Council of Medical Research (ICMR), the country's apex body of medical research, has called out Banaras Hindu University (BHU) for releasing a paper on the long-term side effects of Covaxin.

Dr Rajiv Bahl, Director General of ICMR, criticised the study, citing its poor methodology and design, and clarified that the article misleadingly "acknowledges" ICMR.

The director of the medical research body has also written to the authors of the study and the editor of the journal in which it was published about incorrectly mentioning ICMR, even though the body did not offer any financial or technical support for the paper .

Dr Bahl pointed out that the study lacked a control group of unvaccinated individuals, which is crucial for comparing the rates of adverse events between vaccinated and unvaccinated groups.

Therefore, the reported events in the study cannot be attributed to the Covid-19 vaccination .

He highlighted several critical flaws in the study, which undermine its credibility.

He noted that the study failed to provide background rates of observed events in the population, making it impossible to assess changes in the incidence of events post-vaccination.

The baseline information of study participants was missing.

As per ICMR, the study tool used was inconsistent with the definition of AESI provided in the reference, and the data collection method was highly prone to bias.

Fig. 1  Overview of survey development findings

Phase 1: survey item generation

Review of the literature identified that no existing survey was available for use with nursing students in the Canadian context. However, an analysis of themes across qualitative and quantitative studies of physicians, medical students, nurses, and nursing students provided sufficient data to develop a preliminary set of items suitable for adaptation to a population of nursing students.

Four major themes and factors that influence knowledge, attitudes, and beliefs about MAiD were evident from the literature: (i) endogenous or individual factors such as age, gender, personally held values, religion, religiosity, and/or spirituality [ 35 , 36 , 37 , 38 , 39 , 40 , 41 , 42 ], (ii) experience with death and dying in personal and/or professional life [ 35 , 40 , 41 , 43 , 44 , 45 ], (iii) training including curricular instruction about clinical role, scope of practice, or the law [ 23 , 36 , 39 ], and (iv) exogenous or social factors such as the influence of key leaders, colleagues, friends and/or family, professional and licensure organizations, support within professional settings, and/or engagement in MAiD in an interdisciplinary team context [ 9 , 35 , 46 ].

Studies of nursing students also suggest overlap across these categories. For example, value for patient autonomy [ 23 ] and the moral complexity of decision-making [ 37 ] are important factors that contribute to attitudes about MAiD and may stem from a blend of personally held values coupled with curricular content, professional training and norms, and clinical exposure. For example, students report that participation in end of life care allows for personal growth, shifts in perception, and opportunities to build therapeutic relationships with their clients [ 44 , 47 , 48 ].

Preliminary items generated from the literature resulted in 56 questions from 11 published sources (See Table  3 ). These items were constructed across four main categories: (i) socio-demographic questions; (ii) end of life care questions; (iii) knowledge about MAiD; or (iv) comfort and willingness to participate in MAiD. Knowledge questions were refined to reflect current MAiD legislation, policies, and regulatory frameworks. Falconer [ 39 ] and Freeman [ 45 ] studies were foundational sources for item selection. Additionally, four case studies were written to reflect the most recent anticipated changes to MAiD legislation and all used the same open-ended core questions to address respondents’ perspectives about the patient’s right to make the decision, comfort in assisting a physician or NP to administer MAiD in that scenario, and hypothesized comfort about serving as a primary provider if qualified as an NP in future. Response options for the survey were also constructed during this stage and included: open text, categorical, yes/no , and Likert scales.

Phase 2: faculty expert panel review

Of the 56 items presented to the faculty panel, 54 questions reached 75% consensus. However, based upon the qualitative responses 9 items were removed largely because they were felt to be repetitive. Items that generated the most controversy were related to measuring religion and spirituality in the Canadian context, defining end of life care when there is no agreed upon time frames (e.g., last days, months, or years), and predicting willingness to be involved in a future events – thus predicting their future selves. Phase 2, round 1 resulted in an initial set of 47 items which were then presented back to the faculty panel in round 2.

Of the 47 initial questions presented to the panel in round 2, 45 reached a level of consensus of 75% or greater, and 34 of these questions reached a level of 100% consensus [ 27 ] of which all participants chose to include without any adaptations) For each question, level of importance was determined based on a 5-point Likert scale (1 = very unimportant, 2 = somewhat unimportant, 3 = neutral, 4 = somewhat important, and 5 = very important). Figure  2 provides an overview of the level of importance assigned to each item.

Ranking level of importance for survey items

After round 2, a careful analysis of participant comments and level of importance was completed by the research team. While the main method of survey item development came from participants’ response to the first round of Delphi consensus ratings, level of importance was used to assist in the decision of whether to keep or modify questions that created controversy, or that rated lower in the include/exclude/adapt portion of the Delphi. Survey items that rated low in level of importance included questions about future roles, sex and gender, and religion/spirituality. After deliberation by the research committee, these questions were retained in the survey based upon the importance of these variables in the scientific literature.

Of the 47 questions remaining from Phase 2, round 2, four were revised. In addition, the two questions that did not meet the 75% cut off level for consensus were reviewed by the research team. The first question reviewed was What is your comfort level with providing a MAiD death in the future if you were a qualified NP ? Based on a review of participant comments, it was decided to retain this question for the cognitive interviews with students in the final phase of testing. The second question asked about impacts on respondents’ views of MAiD and was changed from one item with 4 subcategories into 4 separate items, resulting in a final total of 51 items for phase 3. The revised survey was then brought forward to the cognitive interviews with student participants in Phase 3. (see Supplementary Material 1 for a complete description of item modification during round 2).

Phase 3. Outcomes of cognitive interview focus group

Of the 51 items reviewed by student participants, 29 were identified as clear with little or no discussion. Participant comments for the remaining 22 questions were noted and verified against the audio recording. Following content analysis of the comments, four key themes emerged through the student discussion: unclear or ambiguous wording; difficult to answer questions; need for additional response options; and emotional response evoked by questions. An example of unclear or ambiguous wording was a request for clarity in the use of the word “sufficient” in the context of assessing an item that read “My nursing education has provided sufficient content about the nursing role in MAiD.” “Sufficient” was viewed as subjective and “laden with…complexity that distracted me from the question.” The group recommended rewording the item to read “My nursing education has provided enough content for me to care for a patient considering or requesting MAiD.”

An example of having difficulty answering questions related to limited knowledge related to terms used in the legislation such as such as safeguards , mature minor , eligibility criteria , and conscientious objection. Students were unclear about what these words meant relative to the legislation and indicated that this lack of clarity would hamper appropriate responses to the survey. To ensure that respondents are able to answer relevant questions, student participants recommended that the final survey include explanation of key terms such as mature minor and conscientious objection and an overview of current legislation.

Response options were also a point of discussion. Participants noted a lack of distinction between response options of unsure and unable to say . Additionally, scaling of attitudes was noted as important since perspectives about MAiD are dynamic and not dichotomous “agree or disagree” responses. Although the faculty expert panel recommended the integration of the demographic variables of religious and/or spiritual remain as a single item, the student group stated a preference to have religion and spirituality appear as separate items. The student focus group also took issue with separate items for the variables of sex and gender, specifically that non-binary respondents might feel othered or “outed” particularly when asked to identify their sex. These variables had been created based upon best practices in health research but students did not feel they were appropriate in this context [ 49 ]. Finally, students agreed with the faculty expert panel in terms of the complexity of projecting their future involvement as a Nurse Practitioner. One participant stated: “I certainly had to like, whoa, whoa, whoa. Now let me finish this degree first, please.” Another stated, “I'm still imagining myself, my future career as an RN.”

Finally, student participants acknowledged the array of emotions that some of the items produced for them. For example, one student described positive feelings when interacting with the survey. “Brought me a little bit of feeling of joy. Like it reminded me that this is the last piece of independence that people grab on to.” Another participant, described the freedom that the idea of an advance request gave her. “The advance request gives the most comfort for me, just with early onset Alzheimer’s and knowing what it can do.” But other participants described less positive feelings. For example, the mature minor case study yielded a comment: “This whole scenario just made my heart hurt with the idea of a child requesting that.”

Based on the data gathered from the cognitive interview focus group of nursing students, revisions were made to 11 closed-ended questions (see Table  4 ) and 3 items were excluded. In the four case studies, the open-ended question related to a respondents’ hypothesized actions in a future role as NP were removed. The final survey consists of 45 items including 4 case studies (see Supplementary Material 3 ).

The aim of this study was to develop and validate a survey that can be used to track the growth of knowledge about MAiD among nursing students over time, inform training programs about curricular needs, and evaluate attitudes and willingness to participate in MAiD at time-points during training or across nursing programs over time.

The faculty expert panel and student participants in the cognitive interview focus group identified a need to establish core knowledge of the terminology and legislative rules related to MAiD. For example, within the cognitive interview group of student participants, several acknowledged lack of clear understanding of specific terms such as “conscientious objector” and “safeguards.” Participants acknowledged discomfort with the uncertainty of not knowing and their inclination to look up these terms to assist with answering the questions. This survey can be administered to nursing or pre-nursing students at any phase of their training within a program or across training programs. However, in doing so it is important to acknowledge that their baseline knowledge of MAiD will vary. A response option of “not sure” is important and provides a means for respondents to convey uncertainty. If this survey is used to inform curricular needs, respondents should be given explicit instructions not to conduct online searches to inform their responses, but rather to provide an honest appraisal of their current knowledge and these instructions are included in the survey (see Supplementary Material 3 ).

Some provincial regulatory bodies have established core competencies for entry-level nurses that include MAiD. For example, the BC College of Nurses and Midwives (BCCNM) requires “knowledge about ethical, legal, and regulatory implications of medical assistance in dying (MAiD) when providing nursing care.” (10 p. 6) However, across Canada curricular content and coverage related to end of life care and MAiD is variable [ 23 ]. Given the dynamic nature of the legislation that includes portions of the law that are embargoed until 2024, it is important to ensure that respondents are guided by current and accurate information. As the law changes, nursing curricula, and public attitudes continue to evolve, inclusion of core knowledge and content is essential and relevant for investigators to be able to interpret the portions of the survey focused on attitudes and beliefs about MAiD. Content knowledge portions of the survey may need to be modified over time as legislation and training change and to meet the specific purposes of the investigator.

Given the sensitive nature of the topic, it is strongly recommended that surveys be conducted anonymously and that students be provided with an opportunity to discuss their responses to the survey. A majority of feedback from both the expert panel of faculty and from student participants related to the wording and inclusion of demographic variables, in particular religion, religiosity, gender identity, and sex assigned at birth. These and other demographic variables have the potential to be highly identifying in small samples. In any instance in which the survey could be expected to yield demographic group sizes less than 5, users should eliminate the demographic variables from the survey. For example, the profession of nursing is highly dominated by females with over 90% of nurses who identify as female [ 50 ]. Thus, a survey within a single class of students or even across classes in a single institution is likely to yield a small number of male respondents and/or respondents who report a difference between sex assigned at birth and gender identity. When variables that serve to identify respondents are included, respondents are less likely to complete or submit the survey, to obscure their responses so as not to be identifiable, or to be influenced by social desirability bias in their responses rather than to convey their attitudes accurately [ 51 ]. Further, small samples do not allow for conclusive analyses or interpretation of apparent group differences. Although these variables are often included in surveys, such demographics should be included only when anonymity can be sustained. In small and/or known samples, highly identifying variables should be omitted.

There are several limitations associated with the development of this survey. The expert panel was comprised of faculty who teach nursing students and are knowledgeable about MAiD and curricular content, however none identified as a conscientious objector to MAiD. Ideally, our expert panel would have included one or more conscientious objectors to MAiD to provide a broader perspective. Review by practitioners who participate in MAiD, those who are neutral or undecided, and practitioners who are conscientious objectors would ensure broad applicability of the survey. This study included one student cognitive interview focus group with 5 self-selected participants. All student participants had held discussions about end of life care with at least one patient, 4 of 5 participants had worked with a patient who requested MAiD, and one had been present for a MAiD death. It is not clear that these participants are representative of nursing students demographically or by experience with end of life care. It is possible that the students who elected to participate hold perspectives and reflections on patient care and MAiD that differ from students with little or no exposure to end of life care and/or MAiD. However, previous studies find that most nursing students have been involved with end of life care including meaningful discussions about patients’ preferences and care needs during their education [ 40 , 44 , 47 , 48 , 52 ]. Data collection with additional student focus groups with students early in their training and drawn from other training contexts would contribute to further validation of survey items.

Future studies should incorporate pilot testing with small sample of nursing students followed by a larger cross-program sample to allow evaluation of the psychometric properties of specific items and further refinement of the survey tool. Consistent with literature about the importance of leadership in the context of MAiD [ 12 , 53 , 54 ], a study of faculty knowledge, beliefs, and attitudes toward MAiD would provide context for understanding student perspectives within and across programs. Additional research is also needed to understand the timing and content coverage of MAiD across Canadian nurse training programs’ curricula.

The implementation of MAiD is complex and requires understanding of the perspectives of multiple stakeholders. Within the field of nursing this includes clinical providers, educators, and students who will deliver clinical care. A survey to assess nursing students’ attitudes toward and willingness to participate in MAiD in the Canadian context is timely, due to the legislation enacted in 2016 and subsequent modifications to the law in 2021 with portions of the law to be enacted in 2027. Further development of this survey could be undertaken to allow for use in settings with practicing nurses or to allow longitudinal follow up with students as they enter practice. As the Canadian landscape changes, ongoing assessment of the perspectives and needs of health professionals and students in the health professions is needed to inform policy makers, leaders in practice, curricular needs, and to monitor changes in attitudes and practice patterns over time.

Availability of data and materials

The datasets used and/or analysed during the current study are not publicly available due to small sample sizes, but are available from the corresponding author on reasonable request.

Abbreviations

British Columbia College of Nurses and Midwives

Medical assistance in dying

Nurse practitioner

Registered nurse

University of British Columbia Okanagan

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We would like to acknowledge the faculty and students who generously contributed their time to this work.

JS received a student traineeship through the Principal Research Chairs program at the University of British Columbia Okanagan.

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JS made substantial contributions to the conception of the work; data acquisition, analysis, and interpretation; and drafting and substantively revising the work. JS has approved the submitted version and agreed to be personally accountable for the author's own contributions and to ensure that questions related to the accuracy or integrity of any part of the work, even ones in which the author was not personally involved, are appropriately investigated, resolved, and the resolution documented in the literature. BP made substantial contributions to the conception of the work; data acquisition, analysis, and interpretation; and drafting and substantively revising the work. BP has approved the submitted version and agreed to be personally accountable for the author's own contributions and to ensure that questions related to the accuracy or integrity of any part of the work, even ones in which the author was not personally involved, are appropriately investigated, resolved, and the resolution documented in the literature. LO made substantial contributions to the conception of the work; data acquisition, analysis, and interpretation; and substantively revising the work. LO has approved the submitted version and agreed to be personally accountable for the author's own contributions and to ensure that questions related to the accuracy or integrity of any part of the work, even ones in which the author was not personally involved, are appropriately investigated, resolved, and the resolution documented in the literature. NDO made substantial contributions to the conception of the work; data acquisition, analysis, and interpretation; and substantively revising the work. NDO has approved the submitted version and agreed to be personally accountable for the author's own contributions and to ensure that questions related to the accuracy or integrity of any part of the work, even ones in which the author was not personally involved, are appropriately investigated, resolved, and the resolution documented in the literature. HS made substantial contributions to drafting and substantively revising the work. HS has approved the submitted version and agreed to be personally accountable for the author's own contributions and to ensure that questions related to the accuracy or integrity of any part of the work, even ones in which the author was not personally involved, are appropriately investigated, resolved, and the resolution documented in the literature.

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Schroeder, J., Pesut, B., Olsen, L. et al. Developing a survey to measure nursing students’ knowledge, attitudes and beliefs, influences, and willingness to be involved in Medical Assistance in Dying (MAiD): a mixed method modified e-Delphi study. BMC Nurs 23 , 326 (2024). https://doi.org/10.1186/s12912-024-01984-z

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Received : 24 October 2023

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