Research planning and methods - Formulating a research plan ...

Learning Outcomes

This article outlines how to plan and conduct practical legal research for SQE2, including:

• Clarifying client objectives and defining the legal and factual issues, with explicit in-scope and out-of-scope boundaries
• Structuring a step-by-step research plan that identifies appropriate sources, sets search methods and keywords, sequences tasks, and manages time
• Selecting and organising reliable sources across platforms (Westlaw UK, Lexis Library, Lawtel, BAILII, legislation.gov.uk) and practitioner encyclopedias to orient the subject quickly
• Prioritising practitioner texts against primary law, and using controlled vocabularies, Boolean logic, phrase and proximity searches to improve accuracy
• Updating cases and legislation via citators and analysis tools; using neutral citations; checking point-in-time versions, commencement orders, and authoritative report series
• Recording a contemporaneous research trail that captures decisions, search strategies, findings, and updating steps to enable supervision, review, and audit
• Communicating scope and strategy succinctly to a supervisor; reporting results clearly in practice-ready memoranda with supported citations
• Adjusting scope when new information emerges, while maintaining control of priorities, and verifying currency and applicability of authorities

SQE2 Syllabus

For SQE2, you are required to understand how to structure and manage practical legal research tasks, with a focus on the following syllabus points:

• Establishing the scope of the legal problem or client instruction
• Defining research objectives and clarifying issues for investigation
• Formulating a methodical research plan outlining steps and sources
• Selecting, organising, and recording reliable sources of law
• Developing and maintaining a research trail for transparency and review

Test Your Knowledge

Attempt these questions before reading this article. If you find some difficult or cannot remember the answers, remember to look more closely at that area during your revision.

1. What is the first step when starting a practical legal research task for an SQE2 scenario?
   1. Begin by searching online databases
   2. Clarify the client’s objectives and the research scope
   3. Immediately draft the legal advice
   4. Find relevant practitioner textbooks
2. Why is it important to record your research trail during legal research?
   1. To provide transparency and enable supervision or review
   2. To ensure you don't repeat previously completed tasks
   3. To show the client everything you did
   4. Only a and b
3. Which of the following best describes “research scope” in the context of SQE2?
   1. The list of databases to search
   2. A precise statement of the legal and factual questions to investigate
   3. A summary of the textbook chapter
   4. A copy of the client's original letter

4. True or false? It is acceptable to start analysing sources before clarifying what the client actually needs to know.

Introduction

Effective legal research in SQE2 is not just about finding relevant law—it is about planning your approach and clarifying exactly what you must prove or advise on. Without clear scope and a structured research method, you risk wasting time on irrelevant materials and missing critical points. A disciplined plan also reduces the risk of overlooking currency or commencement issues in legislation, or relying on cases that have been overruled or distinguished. This article outlines how to set a research plan and properly define research scope in a way that meets the expectations of the SQE2 assessment and everyday practice. It draws on standard law library methods, online platforms (Westlaw UK, Lexis Library, Lawtel, BAILII, legislation.gov.uk), practitioner texts (for example, Halsbury’s Laws of England and major practice books), and citators to ensure your work is current, authoritative, and reproducible.

Defining the Research Scope

Before you search, you must identify precisely what issues your research will—and will not—address. Always begin by confirming the client’s objectives or the exam scenario’s requirements. Establish exactly what outcome is sought, determining if the matter is contentious (dispute/litigation) or non-contentious (transactional/advisory). A useful way to organise this early thinking is to separate:

• Objectives: what the client hopes to achieve (e.g., avoid liability, secure a remedy, comply with a regulatory scheme).
• Facts: what is known, unknown, and where gaps exist (including dates, documents, jurisdictions, and relevant actors).
• Issues: the legal and procedural questions that flow from the facts.
• Constraints: deadlines, budgets, availability of evidence, or external rules.

Key Term: Research Scope
The explicit boundaries of the factual and legal issues to be addressed in a research task. This includes clarifying client objectives, relevant laws, and identifying what is out of scope.

Restate the client’s problem in your own words (concise and precise). Identify which facts are material to the legal issues and record any assumptions or uncertainties. If multiple legal questions arise (e.g., merits, procedure, limitation, or costs), decide whether to address them together or in staged phases. Scope should be tight enough to keep you focused, but not so narrow that you ignore key related issues (e.g., a statutory defence or a commencement order affecting your section of an Act). Ambiguous or generic scope leaves your research unfocused and can lead to delays or errors.

Setting Research Objectives

Once scope is clarified, break the task down into clear objectives. This may include:

• Determining the legal status of a factual situation,
• Advising on risks, liabilities, or procedural steps,
• Identifying available remedies or relevant deadlines,
• Confirming whether a statute or statutory instrument is in force and applicable at a particular time,
• Checking the subsequent judicial history of a leading case (applied, distinguished, reversed, or overruled).

Frame precise research questions that your plan must answer. For example: “What statutory duties apply to this client’s scenario and what steps are required to comply?”, “Has the key Court of Appeal decision been considered or distinguished in later Supreme Court authority?”, or “What commencement provisions bring the relevant sections into force for our client’s date of conduct?”

Devising a Step-by-Step Research Plan

Legal research is most efficient when following a systematic plan. Your plan should follow this logical sequence:

• Restate the client’s objectives in clear, specific terms.
• Identify all key factual background details and any missing information to be clarified.
• List the legal issues or questions for determination (substantive, procedural, and practical).
• Specify possible sources (practitioner texts, legislation, case law, official guidance, journals).
• Prioritise sources (for example, start with practitioner texts or legal encyclopedias to orient the subject, then consult primary law and check subsequent judicial treatment).
• Decide on search methods and terms (subject indexing, controlled vocabulary, keywords, synonyms; use Boolean operators, phrase searches, and proximity limits where available).
• Plan updating checks (citators for cases, and for legislation use Westlaw UK Legislation Analysis, Lexis Library Legislation and annotations, Chronological Table of the Statutes, or “Is It In Force?” style tools).
• Record your research steps and review progress periodically, adjusting scope or strategy when justified.

Use subject indexing and controlled vocabularies to avoid random keyword trawls. In Westlaw UK, the Cases and Legislation pages provide “Subject/Keyword” fields and lists of terms; Lexis Library offers “Add topics to search” and controlled terms in commentary and legislation. Combine precise terms with proximity limits (for example, hoax w/6 bomb finds “hoax bomb” and closely related phrasing). Phrase searches (using quotation marks) avoid irrelevant matches in large full-text databases. Keep synonyms ready (e.g., “employment” and “labour”, “exclusion” and “exemption” clauses), and expand abbreviations when searching.

Key Term: Research Trail
A contemporaneous record of research steps, keywords, sources checked, and findings, used to demonstrate the diligence and completeness of the research process.

A good plan is proactive and highlights gaps in information or areas requiring clarification. It also allows for efficient time management in the exam and builds evidence of a systematic approach if your findings are challenged.

Communicating and Recording Scope

Clearly communicate your research plan to a supervisor or, in the exam context, include a short written summary for the assessor. State:

• The precise issue(s) you are researching,
• Any exclusions (what you are NOT investigating),
• The primary and secondary sources you intend to consult,
• Your order of priority for investigation,
• How you will update and verify authorities.

Always record these points as the opening of your research trail. In practice, your research memorandum should open with a short factual and issue summary, then provide a brief headline conclusion, followed by analysis supported by citations to primary law and key commentary. Include when and how you updated sources (e.g., using Westlaw UK Case Analysis or Legislation Analysis, or checking “point in time” versions on legislation.gov.uk). Capture the time spent (important for billing and for SQE2 recording discipline).

Worked Example 1.1

A client wishes to challenge a parking fine issued by a local authority and seeks advice on the likelihood of success. What steps should you take to clarify your research scope and set your research plan?

Answer:

• Confirm whether the client’s aim is to overturn the fine, secure a reduction, or agree a payment plan, and whether any appeal deadlines apply.
• Identify all relevant facts: contravention alleged, signage and markings, location, dates/times, notice documents, and any informal representations already made.
• Restate the legal issue succinctly: “Was the penalty charge lawfully issued and enforced, and what grounds exist to challenge or appeal?”
• Exclude matters not relevant to the contravention (e.g., general council policies unless they directly affect enforcement at the location).
• Plan sources and sequence: use practitioner texts or legal encyclopedias for overview; check primary legislation (e.g., Traffic Management Act 2004 and applicable regulations), statutory guidance, and local Traffic Regulation Orders; use case law for principles on signage adequacy and procedural fairness.
• Decide search terms (e.g., “penalty charge notice”, “Traffic Regulation Order”, “signage adequacy”, “procedural impropriety”), and record each search and result.
• Update: verify legislation commencement and any amendments; review recent tribunal decisions (if available), and note deadlines for formal representations and appeal.

Prioritising and Selecting Effective Sources

Choose sources for your research that are current, reliable, and aligned to the SQE2 level of practice. Begin with practitioner texts or reliable overviews to clarify the law and terminology; legal encyclopedias and subject guides help identify statutory frameworks and leading cases quickly. Consult primary law from authoritative sources: legislation.gov.uk for full text, and Westlaw UK or Lexis Library for updated annotated versions and analysis links. For case law, ensure you cite authoritative reports where available (Law Reports are preferred; Weekly Law Reports and All England Law Reports are widely used alternatives). Use neutral citations to locate judgments and then check whether a reported version exists. When abbreviations cause uncertainty, use the Cardiff Index to Legal Abbreviations or Raistrick’s Index.

Key Term: Practitioner Text
A legal reference work aimed at professionals, such as Halsbury’s Laws of England, the White Book, Blackstone’s Criminal Practice, or practical guidance platforms, providing current and applied guidance.

Do not waste valuable time on academic commentary unless it bears directly on a disputed principle or offers essential understanding. Record the title, edition, and publication date of every key source consulted, and always check for currency: practitioner texts online are typically updated more frequently than print; online commentary often includes “update” sections and links to recent cases.

For recent judgments and unreported decisions, BAILII has wide coverage and quick posting; Westlaw UK and Lexis Library add editorial summaries and citator links. The Supreme Court website publishes press summaries and PDFs of judgments; for case treatment, use citators (“Cases citing this case” in Westlaw UK Case Analysis; CaseSearch/Lexis summaries). Remember that reported decisions should be cited from recognised report series when available; include neutral citations alongside report citations.

Worked Example 1.2

In a simulated SQE2 scenario, you are asked to advise whether an employee on a fixed-term contract has statutory rights to redundancy payment if the contract ends. Outline your initial research plan.

Answer:

• Define scope: limit to statutory entitlement to redundancy pay on the expiry of a fixed-term contract under UK law; exclude pension, tax, or immigration issues unless present in the facts.
• Set objectives: confirm whether redundancy pay applies on expiry, identify any exceptions, and outline procedural steps and deadlines.
• Plan sources and sequence: start with a practitioner employment text or Halsbury’s Laws (employment headings) to orient; identify applicable legislation (notably the Employment Rights Act 1996) and any fixed-term regulations; consult Westlaw UK/Lexis Legislation for current text and annotations; search case law addressing redundancy on fixed-term expiry.
• Updating: use Westlaw UK Legislation Analysis and citators to check commencement, amendments, and judicial consideration; record all searches, terms (e.g., “redundancy payment fixed-term expiry”), and conclusions.

Recording and Maintaining the Research Trail

Your research trail must provide enough detail for anyone else to follow your steps. This includes:

• The keywords, synonyms, and controlled terms used for searches (and any proximity or Boolean logic applied),
• Databases and hardcopy sources consulted, and the sections of databases (e.g., “Cases”, “Legislation”, “Commentary”),
• The date and time each search or source was accessed, and the “as updated to” status if displayed,
• Notes on the content, relevance, and application of findings (including quotations or paragraph numbers for key provisions),
• Any decisions to change strategy or refine scope, with reasons (e.g., discovering a controlling statute or later appellate decision),
• Updating steps (citators, legislation analysis, point-in-time checks, commencement orders),
• Time spent (for accountability and to manage time/cost constraints).

Capture citation details in standard form (neutral citations and recognised report citations for cases; full titles, chapter/section numbers for legislation). If your search identifies that Hansard may be admissible (Pepper v Hart), record the specific ministerial statements, debate dates, and page references; note any practice requirements for providing extracts to the court.

Revision Tip

Regularly cross-check your recorded research trail against your plan to ensure completeness and prevent omissions or repeated searching.

Dealing With Ambiguity and Changing Scope

Sometimes, as research progresses, you may discover new issues or that the real question is different from your initial assumptions. For instance, you might find the controlling principle sits in a statutory code you had not initially considered, or a leading case has been recently distinguished. Be prepared to refine or restate your scope. Record any changes clearly and state the reason for the change (e.g., new information from the client or discovery of a controlling statute or later appellate judgment).

Where statutory construction is ambiguous or obscure, Pepper v Hart permits use of Hansard in specific circumstances. If you rely on ministerial statements to clarify legislative intent, extract only the passages meeting the criteria, and record procedural requirements for citing Hansard (e.g., providing copies to other parties and the court within required timeframes). Scope changes often flow from discovering that the law applies differently to your date or facts; “point in time” searches on legislation.gov.uk, and commencement tables on Westlaw UK/Lexis Library, help avoid misapplication.

Exam Warning

In SQE2, marks are lost for failing to clarify or limit the scope of your research—especially if irrelevant issues are included or key issues omitted. Equally, omitting updating steps (e.g., failing to check whether a case has been overruled or whether a statutory section is not yet in force) will undermine your conclusions.

Worked Example 1.3

You are asked to interpret a newly amended statutory provision where industry practice suggests a different meaning. Your supervisor queries whether Hansard can be used. How should you plan and record a Pepper v Hart search?

Answer:

• Confirm that statutory wording is ambiguous or obscure on the point at issue; if not, Hansard will not assist.
• Identify the Bill stage and minister responsible; compile precise search terms (e.g., the section number, key phrase) for Commons/Lords debates and, if relevant, Public Bill Committee transcripts.
• Record sources: official Parliament website entries for the Bill, Hansard volume/page references, and any explanatory notes to the Act.
• Extract only clear statements of legislative intent by the minister/promoter addressing the ambiguous words; record page references verbatim.
• Note procedural requirements for including Hansard extracts in any skeleton or bundle; ensure service timings are met.
• Update: check whether courts have already considered the same section and rejected or adopted the ministerial explanation; record citations.

Worked Example 1.4

A supervisor asks whether a case you rely on remains good law. What is your plan to verify subsequent judicial treatment efficiently?

Answer:

• Use Westlaw UK Case Analysis for the case to review “Cases citing this case” and treatment indicators (e.g., applied, approved, distinguished, overruled, reversed).
• Cross-check on Lexis Library CaseSearch for “Cases Referring to this Case”, and BAILII for very recent judgments.
• If print is available, consult Current Law Case Citator for historical and recent references; note digested entries and treatment terms.
• Record any later appellate decisions changing the status, and whether the point you rely on remains unaffected (e.g., dicta versus ratio).
• Update your advice accordingly and capture citations with pinpoints.

Practical search techniques and updating (integrated into your plan)

• Use subject indices and controlled vocabularies first (Halsbury’s Laws headings; Westlaw UK “Subject/Keyword”; Lexis “Add topics”), then target primary law with specific keywords.
• When tracing statutes by subject, combine controlled subject terms with keywords likely to appear in section headings; refine using proximity or phrase limits.
• For legislation currency, use Westlaw UK Legislation Analysis and Lexis annotations to check commencement, amendments, and linked cases; confirm “point in time” text at relevant dates on legislation.gov.uk.
• For statutory instruments, check whether they are in force and whether later instruments amend or revoke them; draft SIs appear on legislation.gov.uk and should be distinguished from made instruments.
• For journals, Legal Journals Index (via Westlaw) and Lawtel “Articles Index” provide digests and can direct you to commentary when appropriate.
• For abbreviations, decode reports and journals using Cardiff Index or Raistrick; this helps locate correct report series and avoid miscitation.
• Prefer authoritative report series where available; include neutral citations; avoid over-reliance on press reports when full reports exist.

Key Point Checklist

This article has covered the following key knowledge points:

• Research planning for SQE2 must begin with clarifying the client's objectives and the scope of the task.
• Defining an explicit research scope enables efficient, relevant investigation and prevents wasted effort.
• An effective research plan sets out objectives, issues, sources, search methods, updating steps, and sequencing.
• Recording a contemporaneous research trail is essential for transparency, supervision, and review.
• Prioritise practitioner texts and authoritative primary sources; verify currency of legislation and subsequent case treatment.
• Use controlled vocabularies, Boolean and proximity searches, and neutral citations to structure efficient searches.
• Be prepared to adjust scope and strategy as new information is found, documenting changes and timing.

Key Terms and Concepts

• Research Scope
• Research Trail
• Practitioner Text