Research planning and methods - Formulating a research plan and clarifying scope

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, distinguishing between the closed-book exam environment (using pre-loaded resources and CTRL+F) and legal practice (using platforms like Westlaw UK, Lexis Library, and Boolean search logic)
• Prioritising practitioner texts against primary law, and using efficient search strategies appropriate to the platform (keyword scanning in exams vs complex search strings in practice)
• Verifying the currency of law using the materials provided in the exam, while understanding how to use citators and analysis tools in professional practice
• 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, 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?

   • a) Begin by searching the provided materials
   • b) Clarify the client’s objectives and the research scope
   • c) Immediately draft the legal advice
   • d) Find relevant practitioner textbooks

2. Why is it important to record your research trail during legal research?

   • a) To provide transparency and enable supervision or review
   • b) To ensure you don't repeat previously completed tasks
   • c) To show the client everything you did
   • d) Only a and b

3. Which of the following best describes “research scope” in the context of SQE2?

   • a) The list of provided documents to search
   • b) A precise statement of the legal and factual questions to investigate
   • c) A summary of the textbook chapter
   • d) 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 requires adapting your skills to the specific conditions of the assessment. The SQE2 exam takes place on a closed platform with no internet access. You will not have access to external databases like Westlaw or LexisNexis. Instead, you are provided with a set of pre-loaded resources (primary legislation, case law, and practitioner texts) accessible via tabs at the top of your screen. The only search functionality available is CTRL+F (Find).

This article outlines how to formulate a research plan and clarify scope in a way that meets the expectations of the SQE2 assessment while also acknowledging the broader skills required for everyday practice. Success in the exam depends on working efficiently with these limited, pre-selected materials, whereas practice involves navigating vast online libraries (Westlaw UK, Lexis Library, BAILII) using advanced search tools. Whether in the exam or in practice, a disciplined plan is essential to avoid wasting time and to ensure your advice is accurate and supported by authority.

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. In the SQE2 exam, your plan must be adapted to the closed-book environment:

Client-instruction scoping stages proceed from objective and fact identification to matter classification, legal issue definition, exclusion setting, and plan communication.

• 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).
• Review the provided resources: Scan the tabs available on your screen. These will typically include a mix of practitioner texts, statutes, and cases.
• Prioritise sources: Start with the practitioner text or overview document provided to orient yourself. This will often point you to the relevant sections of the provided legislation or key cases.
• Decide on search terms for CTRL+F: Since you cannot use Boolean operators or advanced search filters, identify unique keywords (e.g., "exclusion", "unfair dismissal", specific section numbers) to locate relevant passages quickly within the provided documents.
• Plan verification checks: Ensure you check the dates and notes within the provided materials to confirm the law is current and applicable to your client's facts.
• Record your research steps: Keep a brief note of which tabs you checked and what you found.

Search Strategy: Exam vs. Practice

In the SQE2 Exam: Your search strategy relies on CTRL+F.

• Use unique, specific words to jump to relevant sections.
• If a document is large, use the table of contents (if available) or scroll to headings before using CTRL+F.
• Be prepared to read through relevant sections carefully, as you cannot rely on a database to extract snippets for you.

In Practice: You would use advanced tools on platforms like Westlaw or Lexis:

• Subject indexing and controlled vocabularies to avoid random keyword trawls.
• Boolean operators and proximity limits (e.g., hoax /s bomb) to refine results.
• Phrase searches (using quotation marks) to find exact matches.
• Citators to instantly check the status of cases and legislation.

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 sources you intend to consult (referencing the specific tabs or documents provided),
• Your order of priority for investigation.

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. In the exam, you should note which of the provided documents you relied upon.

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 in the SQE2 exam?

Answer:

• Confirm objectives: Determine if the client wants to overturn the fine, reduce it, or pay it, and check for deadlines.
• Identify facts: Note the alleged contravention, signage, location, dates, and any notices received.
• Restate the issue: “Was the penalty charge lawfully issued and enforced, and what grounds exist to challenge or appeal?”
• Exclude irrelevant matters: Ignore general council policies unless directly relevant to the specific enforcement.
• Plan sources (Exam Context): Review the provided tabs. Look for a practitioner overview on parking enforcement, the relevant Traffic Management Act sections, and any specific regulations or cases provided in the materials.
• Search terms (CTRL+F): Use terms like “penalty charge”, “signage”, “appeal”, or specific section numbers found in the overview text.
• Verification: Check the provided documents for any notes on commencement or amendments to ensure the law applies to the date of the fine.

Prioritising and Selecting Effective Sources

In the SQE2 exam, your "selection" of sources is limited to what is provided in the tabs, but your prioritisation of them is critical for efficiency.

1. Start with Practitioner Texts/Overviews: Always begin with the provided textbook chapter or practice note. This gives you the legal framework, key terminology, and references to the relevant statutes and cases.
2. Consult Primary Law: Once you have the references from the overview, navigate to the tabs containing the specific legislation or case law to verify the exact wording.
3. Check for Updates: The provided materials may include notes or separate documents indicating recent updates or amendments. Always check these to ensure your advice is current.

In Practice: Outside the exam, you would select sources from a much wider pool:

• Practitioner Texts: Halsbury’s Laws, The White Book, Blackstone’s.
• Primary Law Databases: Westlaw UK or Lexis Library for annotated legislation and case analysis.
• Official Sources: legislation.gov.uk for original text (though commercial databases are preferred for up-to-date versions).

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.

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; exclude pension or tax issues.
• Set objectives: Confirm if redundancy pay applies on expiry, identify exceptions, and outline procedural steps.
• Plan sources (Exam Context):
  • Step 1: Open the "Employment Law" or "Practitioner Text" tab. Use CTRL+F for "fixed-term" and "redundancy".
  • Step 2: Note the relevant sections of the Employment Rights Act 1996 referenced in the text.
  • Step 3: Switch to the "Legislation" tab and find the specific sections to confirm the exact wording and any qualifying periods.
  • Step 4: Check if any provided case law clarifies the definition of "dismissal" in this context.
• Updating: Review the document headers or introductory notes for any "as of" dates or recent amendment notes provided in the exam materials.

Recording and Maintaining the Research Trail

Your research trail must provide enough detail for anyone else to follow your steps. In the exam, this is simplified but still crucial:

• Sources Consulted: List the specific tabs or documents you opened (e.g., "Tab 3: Employment Rights Act 1996").
• Search Terms: Note the keywords you used with CTRL+F (e.g., "redundancy", "s.135").
• Findings: Record the specific section numbers or case names found and their relevance.
• Updating Checks: Note that you checked the document for any "as of" dates or amendment notes.

In practice, your trail would be more detailed, including database names (Westlaw/Lexis), specific Boolean search strings, and time spent.

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. Be prepared to refine or restate your scope. Record any changes clearly and state the reason for the change.

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, failing to check the provided materials for commencement dates or amendment notes 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 this?

Answer:

• Check provided materials: In the exam, you can only use Hansard if extracts are provided in your research library.
• Confirm ambiguity: Verify that the statutory wording is ambiguous or obscure.
• Search (Exam Context): Use CTRL+F to search the provided materials for "Hansard", "Ministerial Statement", or the specific section number to see if any parliamentary debates are included.
• Apply Pepper v Hart: If extracts are provided, check if they meet the criteria: (1) legislation is ambiguous, (2) statement is by a Minister/promoter, (3) statement clearly discloses the mischief aimed at or the legislative intent.

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:

• Exam Context: You cannot use online citators. You must check the other provided tabs.
  • Look for a later case in the provided list that might overrule or distinguish the earlier one.
  • Check the practitioner text/overview tab; it will often state if a leading case has been questioned or overruled.
• Practice Context: You would use Westlaw UK Case Analysis or Lexis Library to check the "status" flag (e.g., red stop sign for overruled) and review the list of "Cases citing this case".

Practical search techniques and updating (integrated into your plan)

In the SQE2 Exam:

• Scan the Tabs: Before searching, click through the tabs to see what is available. Knowing you have a specific case or statute available can save you from searching for it in the wrong place.
• Use Unique Keywords: Since you are using CTRL+F, avoid common words like "court" or "law". Use specific terms like "s.25", "unfair dismissal", or the name of a party in a case.
• Check Headers and Footers: Look for notes in the provided documents that indicate if a section is not yet in force or has been amended.

In Practice:

• Use subject indices and controlled vocabularies first (Halsbury’s Laws headings; Westlaw UK “Subject/Keyword”), then target primary law with specific keywords.
• For legislation currency, use Westlaw UK Legislation Analysis and Lexis annotations to check commencement, amendments, and linked cases.
• For statutory instruments, check whether they are in force and whether later instruments amend or revoke them.
• For abbreviations, decode reports and journals using the Cardiff Index to Legal Abbreviations.

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