NALA Paralegal Legal Research Core Principles
Hierarchy of Legal Authority
The foundation of any research task for the CP exam legal research topics is the hierarchy of authority. This concept dictates which legal rules take precedence when there is a conflict. At the apex of this hierarchy is the United States Constitution, followed by federal statutes and treaties. In the state context, state constitutions hold supreme power within their borders, provided they do not infringe upon federal protections. Candidates must understand the Supremacy Clause of Article VI, which establishes that federal law is the supreme law of the land. When analyzing a research problem, a paralegal must first identify where the issue falls within this pyramid. A common exam scenario involves determining if a municipal ordinance can override a state statute; the answer lies in the hierarchical structure where state law generally preempts local regulations. Understanding this "pecking order" prevents the error of relying on a lower-level authority when a higher authority has already spoken on the issue.
Primary vs. Secondary Sources
Distinguishing between primary vs secondary legal sources is a critical skill for the NALA exam. Primary sources are the law itself—the actual rules and edicts issued by governmental bodies. This includes judicial opinions, legislative enactments, and administrative regulations. Conversely, secondary sources are materials that discuss, explain, or summarize the law but do not have the force of law. These include legal encyclopedias, law review articles, and treatises. On the exam, a candidate might be asked to categorize a specific document, such as an American Law Reports (ALR) annotation. Correctly identifying it as a secondary source is vital because, while it provides excellent summaries and citations to primary law, it cannot be cited as the governing authority in a legal brief. Primary sources are the only materials that can "bind" a court, whereas secondary sources are merely educational or persuasive.
Mandatory vs. Persuasive Authority
The concept of weight of authority extends beyond the primary/secondary divide into the distinction between mandatory and persuasive authority. Mandatory authority refers to primary law that a court must follow within its jurisdiction. For example, a decision by the U.S. Supreme Court is mandatory authority for all lower federal and state courts on matters of federal law. In contrast, persuasive authority consists of law that a court may consider but is not required to follow. This often includes decisions from courts in other jurisdictions (horizontal or foreign vertical authority) or secondary sources. The NALA exam frequently tests the ability to determine whether a specific court opinion is binding based on the stare decisis doctrine. If a paralegal is researching a case in the Florida Fourth District Court of Appeal, a prior decision from the Florida Supreme Court is mandatory, while a decision from the Georgia Supreme Court is merely persuasive.
Dissecting Primary Legal Sources
Federal and State Case Law Research
When conducting paralegal research and writing, case law often forms the bulk of the interpretive legal framework. The CP exam assesses a candidate's knowledge of the reporter system and the mechanics of finding judicial opinions. This includes understanding the difference between official and unofficial reporters. Official reporters are those published by the government or by a publisher designated by the court, such as the United States Reports (U.S.). Unofficial reporters, like the Supreme Court Reporter (S. Ct.), are published by private entities and often include helpful editorial enhancements like headnotes and key numbers. Candidates must be familiar with the "West Key Number System," which categorizes legal concepts into specific topics and subtopics, allowing researchers to find cases across different jurisdictions that address the same legal point. Knowing how to use a citator, such as Shepard’s or KeyCite, is also essential to ensure that a case remains "good law" and has not been overturned or vacated.
Statutory and Regulatory Research
Statutory research involves navigating the progression of a law from a bill to a codified statute. The process begins with slip laws, which are the first official publications of a new law. These are then compiled chronologically into Session Laws (such as the United States Statutes at Large). Finally, the laws are organized by subject matter into a code, such as the United States Code (U.S.C.). The exam tests the ability to distinguish between these forms and the importance of using an annotated code. Annotated codes provide the text of the statute along with brief summaries of court cases that have interpreted that statute. Similarly, regulatory research involves the Federal Register, where proposed and final rules are published daily, and the Code of Federal Regulations (CFR), where regulations are codified by subject. Understanding this lifecycle is crucial for verifying that the most recent version of a statute or regulation is being applied to a client's case.
Constitutional Provisions and Local Ordinances
Constitutional research requires a specialized approach, as the language of constitutions is often broad and subject to evolving judicial interpretation. Candidates should be prepared to identify which amendment or article governs specific rights, such as the Fourth Amendment regarding search and seizure or the Commerce Clause regarding federal regulatory power. Beyond federal and state levels, local ordinances represent the most granular form of primary law. These are laws passed by municipal bodies, such as city councils or county commissions. While they are lower in the hierarchy, they are often the most relevant in cases involving zoning, local licensing, or public nuisances. The exam may ask how to locate these, which usually involves searching a municipal code. Recognizing that local ordinances must not conflict with state or federal law is a fundamental principle of preemption often addressed in the assessment.
Utilizing Secondary Sources and Practice Aids
Legal Encyclopedias and Treatises
Secondary sources serve as the starting point for how to research case law for NALA candidates. Legal encyclopedias, such as American Jurisprudence 2d (Am Jur 2d) and Corpus Juris Secundum (CJS), provide broad overviews of legal topics. They are organized alphabetically by subject and are useful for obtaining a general understanding of an unfamiliar area of law. However, they are not intended for deep analysis. For more specialized and in-depth information, researchers turn to treatises. A treatise is a scholarly work written by an expert in a specific field, such as Prosser on Torts or Williston on Contracts. These works provide critical analysis, historical context, and citations to seminal cases. On the CP exam, candidates should know that while encyclopedias offer breadth, treatises offer the depth required for complex legal questions and are often more highly regarded as persuasive authority in court filings.
American Law Reports (ALR) and Restatements
The American Law Reports (ALR) is a unique secondary source that provides "annotations" on very specific, narrow legal issues. These annotations summarize cases from across the country to show how different jurisdictions have handled a particular problem. This is particularly useful when dealing with an issue of first impression in a specific state. Another vital tool is the Restatements of the Law, published by the American Law Institute. Restatements are highly influential because they represent a distillation of the common law by leading judges and scholars. They attempt to "restate" what the law is and, in some cases, what it should be. While not binding, many courts adopt sections of the Restatements as their own law. Candidates must recognize that citing a Restatement carries significantly more weight than citing a general encyclopedia entry due to the prestige of the authors and the rigor of the drafting process.
Legal periodicals, including law reviews and bar journals, offer contemporary analysis of emerging legal trends and specific case critiques. These are often the first places where new legal theories are proposed or where recent landmark decisions are deconstructed. For practical application, paralegals rely heavily on form books. These are collections of templates for legal documents, such as complaints, motions, and contracts. Using a form book ensures that a document contains all necessary jurisdictional elements and standard clauses. However, the exam emphasizes that forms must be customized to the specific facts of a case; "canned" language should never be used without verification of its current legal validity. Understanding when to use a procedural manual versus a substantive form book is a distinction that demonstrates a candidate's readiness for high-level legal support tasks.
Legal Citation Fundamentals for Paralegals
Components of a Case Citation
Legal citation for paralegals is a technical skill that ensures transparency and allows others to locate the sources referenced in a legal document. A standard case citation consists of several key elements: the case name (usually in italics or underlined), the volume number, the reporter abbreviation, the page number where the case begins, and the year of the decision in parentheses. For example, in the citation Brown v. Board of Education, 347 U.S. 483 (1954), "347" is the volume, "U.S." is the reporter (United States Reports), and "483" is the starting page number. If a specific quote is used, a pincite must be included to direct the reader to the exact page of the quote. The NALA exam tests the ability to identify these components and to recognize when a citation is missing essential information, such as the court of decision when it is not implied by the reporter name.
Citing statutes and regulations follows a different logic than case law. Federal statutes are typically cited to the United States Code. A standard citation includes the title number, the abbreviation "U.S.C.," and the section number (e.g., 28 U.S.C. § 1332). The exam requires candidates to understand that when citing a statute, the year of the code edition is often required in the parenthetical, especially if the statute has been amended. For regulations, the Code of Federal Regulations is the standard source, cited by title, "C.F.R.," and section (e.g., 21 C.F.R. § 101.1). Proper use of symbols, such as the section symbol (§) and the paragraph symbol (¶), is expected. Candidates must be able to differentiate between a citation to a session law (like a Public Law number) and a codified statute, as the latter is the preferred form for citing current law in most legal proceedings.
Common Citation Errors to Avoid
Accuracy in citation is a hallmark of professional paralegal work. Common errors tested on the NALA exam include the incorrect abbreviation of reporters, the omission of necessary parentheticals (such as the jurisdiction or court), and the failure to update a citation for subsequent history. For instance, if a case has been reversed on appeal, the citation must reflect that fact using signals like "rev'd" or "vacated." Another frequent mistake is the improper use of signals like See, But see, or Cf., which indicate the relationship between the proposition being made and the authority cited. Candidates should also be aware of the "Bluebook" or "ALWD" rules regarding the use of Id. and Supra. Id. is used when citing the immediately preceding authority, but it cannot be used if the previous citation contained multiple sources. Mastering these nuances prevents the loss of credibility that occurs when legal writing contains technical citation flaws.
Strategies for Effective Research Planning
Developing a Research Question and Plan
Effective research begins before a single book is opened or a database is searched. The first step is to identify the legal issue and the relevant facts. Candidates are taught the TARP method (Things, Action, Relief, Parties) or similar frameworks to categorize facts and brainstorm search terms. A well-defined research question prevents "rabbit holes"—the tendency to get distracted by interesting but irrelevant legal points. For the CP exam, candidates must demonstrate the ability to draft a research plan that prioritizes primary authority and identifies the correct jurisdiction. This involves determining whether the issue is governed by federal law, state law, or both. A structured plan includes a list of search terms, a list of potential secondary sources for background, and a timeline for completing the task, ensuring that the research is both thorough and efficient.
While online research is now the standard, the NALA exam still recognizes the value of print resources, especially for conceptual overviews. A researcher must decide whether a specific task is better suited for a digital database or a physical library. For instance, browsing a table of contents or a physical index in a treatise can sometimes reveal related concepts that a keyword search might miss. Conversely, online tools are indispensable for searching across vast quantities of case law or for using citators to check the current status of a law. The exam may present scenarios where a candidate must choose the "best" tool for a task, such as using a specialized database for tax law or a government website for the most recent administrative rulings. Understanding the strengths and weaknesses of each medium—such as the "pay-per-search" costs of some professional databases versus the free but potentially unverified nature of general internet searches—is a key competency.
Documenting Your Research Process
Documentation is a critical component of the research process that is often overlooked. A paralegal must maintain a "research log" that records the databases searched, the search strings used, the dates the research was conducted, and the specific authorities reviewed. This serves two purposes: it prevents the duplication of effort and it provides an audit trail should the research ever be questioned. On the exam, questions may focus on the ethical and professional necessity of keeping accurate records. This includes noting which versions of a statute were reviewed, which is vital in cases involving retroactivity. Proper documentation also facilitates the transition of research into the writing phase, as it ensures that all necessary citations and quotes are readily available. In a professional setting, this record-keeping is often required for billing purposes and for maintaining the firm’s internal knowledge base.
Computer-Assisted Legal Research (CALR) Concepts
Keyword and Boolean Search Techniques
Computer-Assisted Legal Research (CALR) requires a mastery of logic-based searching. Boolean operators—such as AND, OR, and NOT—allow a researcher to refine results by including or excluding specific terms. For example, searching for "medical AND malpractice" will only return documents containing both terms, while "medical OR malpractice" will return documents containing either. The use of proximity connectors, such as /p (within the same paragraph) or /s (within the same sentence), provides even greater precision. The NALA exam tests the ability to construct these search strings to find relevant cases without being overwhelmed by thousands of irrelevant hits. Candidates should also understand the use of wildcards and root expanders (like the asterisk or exclamation point) to find different variations of a word, such as "negligen*" to find negligence, negligent, or negligently.
Evaluating Online Search Results
Not all information found online is reliable. The exam emphasizes the critical evaluation of search results, particularly when using non-proprietary websites. A paralegal must be able to verify the authenticity and currency of a digital document. This involves checking the source of the website (e.g., .gov vs. .com), looking for "last updated" stamps, and cross-referencing findings with official reporters or codes. Even when using professional databases, results must be evaluated for relevance. A common pitfall in CALR is relying on a "snippet" of a case without reading the full opinion, which can lead to taking a quote out of context. Candidates must demonstrate the analytical skill to look beyond the search ranking and determine if the legal principle discussed in a result truly applies to the facts of their specific research problem.
Cost-Effective Research Practices
In a law firm environment, CALR can be expensive. Many databases charge based on the time spent or the number of searches performed. Consequently, the NALA exam assesses a candidate's awareness of cost-effective research strategies. This includes performing preliminary research in free or low-cost sources (like a law library's print collection or Google Scholar) before moving to premium databases. Once in a paid database, a researcher should work efficiently by using "folders" to save documents rather than re-running the same search multiple times. Understanding how to use filters—such as limiting results by date, jurisdiction, or court level—saves both time and money. Professionalism in research involves balancing the need for exhaustive information with the duty to minimize client expenses, a balance that reflects the practical realities of paralegal work.
Applying Research to Legal Analysis and Writing
Synthesizing Research into a Memorandum
The ultimate goal of research is its application in a legal memorandum or brief. Synthesis is the process of combining rules from multiple cases to form a single, cohesive legal principle. For the NALA exam, this often involves the IRAC method (Issue, Rule, Application, Conclusion). A candidate must be able to state the legal issue clearly, extract the relevant rule from their research, apply that rule to the client's facts, and reach a logical conclusion. Synthesis requires looking for patterns in the law: Do the courts consistently rule in favor of the plaintiff when a certain fact is present? Are there conflicting opinions between different appellate districts? A well-written memorandum does not just list cases; it explains how those cases interact to create the legal landscape the client is currently navigating.
Supporting Legal Arguments with Authority
A legal argument is only as strong as the authority supporting it. When writing, a paralegal must choose the most persuasive and relevant authority available. This means prioritizing mandatory primary authority over persuasive or secondary sources. If a direct precedent does not exist, the writer must use analogical reasoning to show why a case with similar facts should be followed, or distinguishing reasoning to show why an unfavorable case does not apply. The exam tests the ability to select the "best" case from a list of options based on its level of court, its factual similarity, and its age. Furthermore, every assertion of law in a document must be followed by a citation. This "attribution of authority" is not just a stylistic choice but a requirement of legal ethics and court rules, ensuring that every claim is grounded in established law.
Ethical Considerations in Legal Research
Ethics play a significant role in the research process. A paralegal has an ethical duty of competence, which includes the ability to perform thorough and accurate research. This means that failing to find a recent case that overturns a client's position could be considered a breach of professional responsibility. Additionally, there is the duty of candor toward the tribunal. While a paralegal does not directly argue in court, they assist the attorney who does. This duty requires the disclosure of adverse mandatory authority; if your research uncovers a binding case that hurts your client's position, you must inform the attorney so it can be addressed. The NALA exam frequently includes questions regarding these ethical dilemmas, emphasizing that the goal of research is not just to "win" but to provide the attorney and the court with a complete and honest picture of the law.