Beruflich Dokumente
Kultur Dokumente
Chapter 1
AN INTRODUCTION TO LEGAL RESEARCH
Legal research is the process oI identiIying and retrieving the law-related inIormation, necessary
to support legal decision making. In its broadest sense, legal research includes each step oI a course oI
action that begins with an analysis oI Iacts oI a problem and concludes with the application and
communication oI the results oI the investigation.
Many types oI inIormation are needed to support legal decision-making. Although this book
Iocuses on inIormation sources that are concerned explicitly with law, legal decisions cannot be made out
oI their economic, social, historical, and political contexts. Today, legal decisions oIten involve business,
scientiIic, medical, psychological, and technological inIormation. Consequently, the process oI legal
research oIten involves investigation into other relevant disciplines.
1he knowledge and ability to use fundamental legal research tools and to implement an
effective and efficient research plan must be inherent in every lawyer's training so he can not only
represent his client in a legal proceeding, but also uphold the standards of the legal profession.
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This chapter, an introduction to legal research, explains why researchers seek certain types oI
inIormation. This chapter explains the basic jurisprudential model upon which legal resources are
designed, created, and collected, and introduces materials that are covered more comprehensively in
subsequent chapters.
SECTION A. SOURCES OF LAW
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1he Philippine law like the law oI other countries, comes Irom a variety oI sources. 1he
Philippine legal system is cognizant and comprised of civil laws, common laws, Islamic laws,
Indigenous laws, judicial decisions, and customs.
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There are two primary sources oI law; Statutes or
statutory laws deIined as the written enactment oI the will oI the legislative branch oI the government
rendered authentic by certain prescribed Iorms or solemnities are more also known as enactment oI
congress. Generally they consist oI two types, the Constitution and legislative enactments and;
1urisprudence or case law deIined as cases decided or written opinion by courts and by persons
perIorming judicial Iunctions. Also included are all rulings in administrative and legislative tribunals such
as decisions made by the Presidential or Senate or House Electoral Tribunal. For Muslim law, the primary
source oI Shariah are Quran, Sunnaqh, Ijma and Qiyas. Jainal D. Razul in his book Commentaries and
Jurisprudence on the Muslin Law oI the Philippines (1984) Iurther stated there are new sources oI law,
which some jurists rejected such as Istihsan or juristic preIerence; Al-Masalih, Al Mursalah or public
interest; Istidlal (custom) and Istishab. (deduction based on continuity or permance). In the context oI
legal research, the term 'sources oI law can reIer to three diIIerent concepts. In one sense, the term
'sources oI law reIers to the origins oI legal concepts and ideas. Custom, tradition, principles oI
morality, and economic, political, philosophical, and religious thought may maniIest themselves in law.
Legal research Irequently must extend to these areas, especially when historical or policy issues are
involved.
The term sources oI law can also reIer to the governmental institutions that Iormulate legal rules.
1he political system of the Philippines is composed of one State which acts through its government to
promote the welfare of the people. Such government is composed of three divisions of legislative,
executive and judicial authority. Although by virtue of the separation of powers which provides that
one branch of the government cannot perform acts other than what has been mandated by the
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onstitution, it must be recognized that the State intends to harmonize the three powers for the
fulfillment of its objectives. 1hus, all three branches can be regarded as sources of law in a manner not
contrary to the State's purpose
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.ecause all three branches oI government 'make law and create legal
inIormation that is the subject oI legal research, researchers must understand the types oI inIormation
created by each branch and the processes through which that inIormation is created.
Finally, sources oI law can reIer to the published maniIestations oI the law. Printed sources
include the onstitution, statutes, court decisions, administrative rules and scholarly commentaries
which can aid in legal decision making. Publications, which include treatises, commentaries, and
encyclopedias, that discuss or analyze legal doctrines are considered secondary materials that are
persuasive sources of laws. PHIL1URIS and LEX LIBRIS, two comprehensive and competing
computer-based legar research systems, provide the capability to search for sources of laws.
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The
books, electronic databases, microIorms, optical disks (CD-ROMs and DVDs), and other media that
contain legal inIormation are all sources oI law.
. The Nature of Legal Authority
Legal authority is any published source oI law setting Iorth legal rules, legal doctrine, or legal
reasoning that can be used as a basis Ior legal decisions. In discussions about legal research, the term
authority is used to reIer both to the types oI legal inIormation and to the degree oI persuasiveness oI
legal inIormation.
When the term is used to describe types oI inIormation, legal authority can be categorized as
primary or secondary. Primary authorities are authorized statements oI the law Iormulated by
governmental institutions. Such authorities include the written opinions oI courts (case law),
constitutions, legislations, rules oI court, and the rules, regulations, and opinions oI administrative
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agencies. Secondary authorities are statements about the law and are used to explain, interpret, develop,
locate, or update primary authorities. Treatises, articles in law reviews and other scholarly journals,
Philippine Law Reports annotations, Supreme ourt Reports annotated and SAD are examples of
secondary authorities.
When the term is used to describe the degree oI persuasiveness oI legal inIormation, authority is
an estimation oI the power oI inIormation to inIluence a legal decision. In this sense, authority can be
termed binding (also called mandatory), meaning that a court or other decision-maker believes the
authority applies to the case beIore it and must be Iollowed; or authority can be considered persuasive,
meaning that a decision-maker can, iI so persuaded, Iollow it.
Only primary authority can be binding; but some primary authority will be merely persuasive,
depending on the source oI the authority and its content. Secondary authority can never be binding, but
can be persuasive. The application oI legal authority to individual problems is a complex and oIten
controversial process. Variations in the Iacts oI individual cases enable judges, inIluenced by their own
philosophies and perspectives, to exercise wide discretion in interpreting and applying legal authority.
. The Civil Law Tradition
1he Philippine legal system is a mixture of both the civil law and common law systems
although some authorities would insist that it is predominantly civil law. Its civil law elements were
derived primarily from Spanish laws which were transplanted into Philippine soil during the Spanish
colonization of the Islands; while its common law elements come from Anglo-American law brought by
the United States during its 4 year rule of the country.
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Most of the present system's civil law elements can be found in the Aew ivil ode of the
Philippines, the Revised Penal ode, as well as in the various provisions of the Rules of ourt which
also descended from the provisions of the ode of ivil Procedure under Spanish law.
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1he common law elements on the other hand can be found in areas such as the Philippine
onstitution, the Rules of ourt, orporation ode, the Aegotiable Instruments Law and even in the
present ivil ode on the provisions relating to estoppel which are of common law origin. Perhaps the
most obvious manifestation of common law in the legal system of the Philippines is the doctrine of
Stare Decisis, a doctrine of law that commands courts to abide by rules and by previous decision or
rulings made of the Supreme ourt. But unlike traditionally common law countries, however, courts in
the Philippines cannot make law, a characteristic which is very civil law in nature, and the Supreme
ourt en banc can abandon principles laid down in previous rulings which, in its own evaluation, no
longer apply to present circumstances or to facts brought before it.
Cenerally there are no common law crimes in the Philippines. Because if there is no law punishing an
act or omission for which a person is charged, the court must dismiss the case.
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. Case law and the doctrine of precedent
a. $tructure of the Court $ystem. On the national level, and in the regions, there are hierarchical
judicial systems in which some courts have jurisdiction, or control over other courts. 1he typical court
structure consists of four levels,
and it is important to understand what types oI inIormation are created at
each level and where that inIormation can be Iound.
Trial courts are courts oI original jurisdiction that make determination oI law and oI Iact, with the
judge, a provincial city prosecutor or a public prosecutor
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often making the determination of facts in
criminal cases, and assessors and commissioners in civil cases
b. State 1urisdiction of the Supreme ourt. 1he Supreme ourt has the power to review on appeal or
certiorari final judgments and order of lower courts in certain cases such as when errors or questions
of law are invoked and where the onstitution or validity of statutes are involved. It has original
jurisdiction over petitions for certiorari, prohibition, mandamus, quo warranto, and habeas corpus.
c. Precedent. Having been under American rule, the Philippines although primarily a "civil law
country" has adopted the doctrine of precedent or stare decisis.
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Stare decisis, literally "the stand on
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what has been decided, is the principle that the decisions of a court is a binding authority on the court
that issued the decisions and on lower courts for the disposition of factually similar controversies."
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1his is in adherence to Art. 8 of the A.
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The doctrine oI precedent is closely related to three other concepts represented by the Latin terms
stare decisis, ratio decidendi and dictum.
$tare Decisis, literally 'to stand at what has been decided, is the principle that the decision oI a
court is binding authority on the court that issued the decision and on lower courts in the same jurisdiction
Ior the disposition oI Iactually similar controversies. Every final decision of the Supreme ourt has two
effects: 1) as an authoritative settlement of the particular controversy before it; and 2) as a precedent
for future cases. Res 1udicata to its effect as to settlement of the immediate controversy and stare
decisis to the impact of the decision as precedent.
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Appellate courts can bind themselves and lower
courts over which they have appellate jurisdiction but appellate courts cannot bind other appellate courts
at the same level.
The ratio decidendi is the holding or the principle oI law on which the case was decided. It is the
ratio decidendi that sets the precedent and is binding on courts in the Iuture. Unlike legislature,
Philippine courts do not promulgate general provisions oI law, nor do they respond to hypothetical
questions. Rather, courts decide actual cases and controversies and the rules they announce are tied to
speciIic Iactual situations. ThereIore, the ratio decidendi, or rule oI the case, must be considered in
conjunction with the Iacts oI the case.
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ArL8 !udlclal declslons applylng or lnLerpreLlng Lhe laws or Lhe ConsLlLuLlon shall form parL of Lhe legal sysLem
of Lhe hlllpplnes
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In contrast, dictum (or obiter dictum) is a language in an opinion that is not necessary to the
decision. Dictum comes Irom the Latin verb decite, 'to say, and reIers to what is 'said by the way, that
which is not essential to the holding oI the court. ith that being said though, dictum shouldnt be the law
researchers mind because dictum sometimes can be persuasive in their most powerful time. As impliedly
said in many law research papers, yesterdays dictum might be the presents doctrine.
It is oIten diIIicult to distinguish the ratio decidendi oI a case Irom dictum. The determination oI what
is ratio decidendi, and what is dictum, is a Iocus oI much legal analysis and is oIten the critical point oI
legal argument.
Courts in their very own way, Iind a way in reading cases that will help them make right decision by
looking at the precedent. Only the decisions of the Supreme ourt establish jurisprudence or doctrines
in this jurisdiction. However, this does not prevent that a conclusion or pronouncement of the ourt of
Appeals which covers a point of law still undecided in our jurisdiction may serve as juridical guide to
the inferior courts, and that such conclusion or pronouncement be raised as a doctrine if after it has
been subjected to test in the crucible of analysis and revision, the Supreme ourt should find that it has
merits and qualities sufficient for its consecration as a rule of jurisprudence.
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Policy considerations supporting the doctrine oI precedent include the resulting Iairness, as it
encourages similar cases to be treated similarly; the predictability and stability it encourages within the
legal system; and its eIIiciency in terms oI time and energy as it enables decision-makers to take
advantage oI previous eIIorts and prior wisdom. Critics argue that a reliance on precedent can result in a
rigid and mechanical jurisprudence that can Iorce us to treat unlike cases as iI they were similar; that the
doctrine oI precedent can perpetuate outmoded rules; and that its inherently conservative nature can
impede the law Irom being responsive to new social needs.
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otwithstanding these criticisms, the doctrine oI precedent remains the Ioundation upon which our
models oI legal research are constructed. The written opinions oI courts, particularly appellate courts, are
the 'stuII` oI legal argument and the major source oI legal doctrine. Consequently, they are the primary,
but certainly not the only, objects oI legal research. Law libraries and legal electronic databases are Iilled
with published court opinions, along with secondary sources and index tools to help researchers Iind,
interpret, and update opinions that are relevant to particular Iact patterns.
. Legislation and the Interpretation of Statutes
a. egislation. A statute is defined as the written enactment of the will of the legislative branch
of the government rendered authentic by certain prescribed forms or solemnities, are more also known
as enactment of congress.
1he Philippine legal system may be considered as a unique legal system because it is a blend of
civil law (Roman), common law (Anglo-American), muslim (Islamic) law and indigenous law
Statutes, and collections oI statutes arranged by subject called codes, have become very important in
common law systems. In the Philippines, statutory law includes constitutions, treaties, statues proper or
legislative enactments, municipal charters, municipal legislation, court rules administrative rules and
orders, legislative rules, and presidential/executive issuances.
. Evaluating legal resources
When inspecting a legal resource or paper as it may be relevant in giving a right and just decision,
it is important to know iI the resource is reliable. It is important to determine and understand the purposes
the resources were designed to serve. An awareness oI the Iunctions, Ieatures, interrelationships,
strengths, and weaknesses oI resources, whether they are traditional paper resources or electronic
resources, is valuable Ior eIIectively conducting legal research. With all the cases at hand that needs
decisions, because as the saying goes, "justice delayed is justice denied" it is imperative for the law
researcher to know if the resource will give strength to the court's decision.
Sometimes, judges, ask their researchers to look in the internet or other updated resources new
laws or relevant decisions to give strength in their verdict. However, with all the compiling papers that
is sometimes an eyesore when one walks in a court room, the researcher does not see time as its friend
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so researchers must be vigilant it the source is applicable in a case at hand.
A researcher must continually ask himself if the author, editor or publisher has credibility to
give influence in a case. With all the many resources that a researcher may find, it is a must that the
researcher shall know the accuracy, the credibility and the currency of the research material so that it
can give strength and influence in a given case.
SECTION C. AN ESSENTIAL SKILL
A lawuer is required to provide competent representation to a client. ompetent representation
requires the legal knowledge, skill, thoroughness, and preparation reasonably necessary for
the representation. learly, a lawyer must be able to research the law to provide competent
representation. In addition to requirements of professional responsibility, questions relating to
competency in legal research may arise in suits for damages, arising from legal incompetence
or claims for malicious prosecution. 1he knowledge and ability to use fundamental legal
research tool and to implement an effective and efficient research plan must become part and
parcel of every lawyer's training for him or her to provide competent representation and
uphold the standards of the legal profession.
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Chapter
THE LEGAL RESEARCH !ROCESS
Legal research is as much art as science; it calls Ior strategy as well as serendipity. There are
many approaches to legal research, and there is no single, or best way to conduct legal research. Methods
vary according to the nature oI the problem and depend on the researchers subject expertise and research
skills.
Approaches to legal research also may be shaped by the availability oI research materials.
Knowledge oI alternative research tools is valuable, because researchers do not always have access to all
oI the diIIerent paper, microIorm, or electronic resources described in this book. moreover, preIerred
resources do not, at times, produce the expected results.
Regardless oI one`s level oI expertise in a particular Iield oI law, a lawyer encounters problems
involving unIamiliar subjects. The capacity to solve legal problems rapidly and accurately is developed
best by constructing a systematic approach to legal research.
The processes oI legal research and legal writing are closely related. Legal research is oIten
wasted iI the results are not communicated eIIectively. Legal research inIorms legal writing, and legal
writing is meaningless without accurate content. Many diIIering viewpoints exist about how the
disciplines oI legal research and legal writing interrelate. Some researchers preIer to conduct most oI their
research beIore beginning to write. Others preIer to write as they conduct their research.
This chapter presents a general approach to legal research that can be modiIied and applied to
most problems and can be merged with various approaches to legal writing. The approach is resource-
neutral in that it can be applied to research in books, electronic resources, or a combination oI media. In
the end, researchers must develop research and writing methodologies that are most eIIective Ior their
needs.
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A GENERAL A!!ROACH TO LEGAL RESEARCH
A general approach to legal research, which can be modiIied to accommodate most problems, can
be broken down into Iour basic steps. 1his systematic approach to legal research will help in solving
legal problems accurately and comprehensively
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. These are:
STEP 1. IdentiIy and analyze the signiIicant Iacts.
STEP . Formulate the legal issues to be researched.
STEP . Research the issues presented.
STEP 4. Update.
This discussion Iocuses on each oI these steps individually; each step, however, is closely related
to the others. Legal research, moreover, is rarely a linear process. It oIten is necessary to revisit previous
steps and revise and reIine previous work.
. STE! Identify and Analyze the Significant Facts
The researcher`s Iirst task is to identiIy and analyze the Iacts oI the problem. some Iacts have
legal signiIicance; others do not. The process oI legal research begins with compiling a descriptive
statement oI legally signiIicant Iacts. It is oIten diIIicult Ior a beginner to identiIy signiIicant problem in
an unIamiliar area oI the law, it is usually best to err on the side oI over-inclusion rather than exclusion.
Factual analysis is the Iirst step in identiIying the legal issues that will be researched. Factual
analysis also enables a researcher to locate access points to the available resources. Which volumes are
relevant? Which subjects should be consulted in indexes and tables oI contents? Which words should be
used in an initial search oI an electronic database? Which websites should be examined? An experienced
researcher is able to identiIy issues and appropriate subjects; the beginning researcher, who does not have
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the experience to examine a Iact pattern and readily categorize it and Iormulate legal issues, needs to
devote more time and attention to this activity.
Inexperienced legal researchers might tend to skim over the Iacts and immediately begin
researching. o productive research can be done outside a particular Iact pattern. Most controversies are
over Iacts, not law; and cases are most oIten distinguished on their Iacts. Rules stated by courts are tied to
speciIic Iact situations, and they must be considered in relation to those Iacts. ecause the Iacts oI a legal
problem control the direction oI research, the investigation and analysis oI Iacts must be incorporated into
the research process. Taking the time to identiIy relevant Iacts and writing them down in some narrative
Iorm is usually a worthwhile investment oI time and energy.
%he %ARP Rule. A useIul technique is to analyze Iacts according to the Iollowing Iactors:
T- Thing or subject matter;
A- Cause oI action or ground oI deIense;
R- RelieI sought;
P- Persons or parties involved in the problem
Thing or subject matter. The place or property involved in a problem or controversy may be
important. Thus, when a consumer is harmed aIter taking a prescription drug, the drug becomes an
essential Iact in the dispute.
Cause oI action or ground oI deIense. IdentiIy the claim that might be asserted or the deIense that
might be made. For example, the cause oI action might involve a breach oI contract, negligence,
intentional inIliction oI emotional distress, or some other legal theory giving rise to litigation.
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RelieI sought. What is the purpose oI the lawsuit? It might be a civil action in which the party
bringing the suit is seeking monetary damages Ior an injury, or an action in which a party is asking the
court to order another party to do a speciIic act or to reIrain Irom doing a speciIic act. Alternatively, the
litigation may be a criminal action brought by the state.
Persons or parties involved in the problem; their Iunctional and legal status and relationship to
each other. The parties or persons might be individuals, or might be a group that is signiIicant to the
solution oI the problem or the outcome oI the lawsuit. Similarly, the relationship between the parties, such
as exists between husband and wiIe or employer and employee, might be oI special importance.
. STE! Formulate the Legal Issues to Be Researched
This is the initial intellectual activity that presumes some knowledge oI the relevant substantive
law and, consequently, the point at which inexperienced legal researchers are most likely to have trouble.
The goal is to classiIy or categorize the problem into, Iirst general, and then increasingly speciIic, subject
areas and to begin to hypothesize legal issues. For example, is this a matter oI civil, criminal law or
administrative law? Does the litigation involve contracts or torts, or both? II torts, is it a products liability
or a negligence case? Problems are oIten not easily compartmentalized; problems can Iall into more than
one category, and categories aIIect each other.
a. et an Overview. To assist in Iormulating issues, it is useIul to consult general secondary
sources Ior an overview oI relavnt subject areas. 1hese sources can include national legal
encyclopedias, a state encyclopedia, treatises, looseleaf services or one or more subject periodicals or
journals. 1he best choice varies according to the researcher's background, bu it is wise to start with the
most general and work to the more detailed and specific.