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

Learning Outcomes

By the end of this article, you will be able to explain the process of planning legal research for SQE2, set the scope of your task, identify suitable sources, develop an effective research plan, and document your research process accurately. You will understand how to clarify the client's objectives, frame the legal issues, select and prioritise research activities, and avoid common pitfalls in exam assessments.

SQE2 Syllabus

For SQE2, you are required to understand how to structure and manage practical legal research tasks. This article covers the following key syllabus points relevant to research planning:

• 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. 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.

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).

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.

Clarifying scope ensures you do not overlook necessary issues or waste time on unrelated points. In the exam, restate the client’s problem in your own words and identify which factual and legal issues are involved. Remember, 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.

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?”

Devising a Step-by-Step Research Plan

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

1. Restate the client’s objectives in clear, specific terms.
2. Identify all key factual background details.
3. List the legal issues or questions for determination.
4. Specify possible sources (textbooks, legislation, databases, precedents, etc.)
5. Prioritise sources (e.g., start with practitioner texts, then check updated case law).
6. Decide on keywords, terms, or statutes for use in searches.
7. Record your research steps and review progress regularly.

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.

Always record these points as the opening of your research trail.

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:

1. Confirm-if-the-client’s aim is to overturn the fine, or achieve another outcome (e.g., reduction/payment plan).
2. Identify all relevant factual details about the fine, alleged contravention, and any communications to date.
3. Restate the main legal issue, e.g., “Is the fine lawfully issued, and what grounds, if any, exist for a challenge?”
4. Exclude unrelated concerns (e.g., general council conduct unless directly relevant).
5. Formulate a plan: search practitioner texts on road traffic penalties, check the relevant legislation, then analyse appeal procedures.
6. Record all steps and sources as you progress.

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. Use legislation and official government guidance for primary materials. Ensure you check for recent case law and up-to-date commentary, especially in fast-changing areas.

Key Term: Practitioner Text
A legal reference book aimed at professionals, such as the White Book, Blackstone’s Criminal Practice, or PLC notes, providing practical and current guidance.

Do not waste valuable time on academic commentary or outdated resources in the exam. Record the title, edition, and publication date of every key source consulted.

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:

1. Define scope: Limit to employee entitlement to redundancy pay under UK law on contract expiry.
2. Set objective: Advise if employee has a statutory right and any procedural steps.
3. Plan:
   • Check the relevant chapter in a practitioner employment law text.
   • Identify the applicable legislation (e.g., Employment Rights Act 1996).
   • Search for relevant case law.
   • Record and assess findings.
4. Exclude: Do not address unrelated issues such as pension rights unless in the facts.

Recording and Maintaining the Research Trail

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

• The keywords and terms used for searches,
• Databases and hardcopy sources consulted,
• The date each search or source was accessed,
• Notes on the content and relevance of findings,
• Any decisions to change strategy or refine the scope.

This record is critical for review, supervision, and assessment during SQE2, and demonstrates a methodical, professional approach.

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. 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).

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.

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, keywords, and sequencing.
• Recording a contemporaneous research trail is essential for transparency, supervision, and review.
• Be prepared to adjust scope and strategy as new information is found, documenting changes.

Key Terms and Concepts

• Research Scope
• Research Trail
• Practitioner Text