Informal Litigation Charts by uia20000

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									                                                            CONTENTS

Preface                                                   xxvii



PART I: INVESTIGATING            AND    PLANNING   THE   LITIGATION
CHAPTER 1: INTRODUCTION TO LITIGATION                        3
Chapter Objectives                                           4
A. Introduction                                              4
B. The Litigation Process                                    4
     1. Sources of law                                       5
         a. Statutes                                         5
         b. Court cases                                      6
         c. Constitutions                                    6
     2. The court system                                     7
     3. Overview for litigation cases                        9
     4. Remedies                                            11
C. The Paralegal’s Role                                     13
D. Use of Computers in Litigation                           14
E. Ethical Considerations                                   15
Chapter Summary                                             16
Key Terms                                                   17
Review Questions                                            17
Additional Resources                                        18



CHAPTER 2: INFORMAL FACT GATHERING
AND INVESTIGATION                                           19
Chapter Objectives                                          20
A. Introduction                                             20


                                                                      xi
xii   Contents


                 B.   Structuring Fact Investigations                21
                      1. What facts do I need to get?                22
                      2. How do I structure my fact investigation?   23
                          a. Use of a litigation chart               23
                          b. How to structure a litigation chart     23
                      3. What are the likely sources of proof?       25
                      4. How much time should I spend?               28
                      5. What sources should I investigate?          28
                 C. Client Interviews                                30
                      1. Client attitudes and disclosure             30
                      2. Interview preparation                       31
                      3. Initial client interview                    33
                          a. Liability                               37
                          b. Damages                                 37
                          c. Client background                       38
                          d. Parties                                 38
                          e. Defenses and counterclaims              39
                          f. Statutes of limitation                  39
                          g. Witnesses                               40
                          h. Records                                 40
                          i. Physical evidence                       40
                          j. Other law firms                         41
                          k. Client goals                            41
                          l. Next steps                              41
                      4. Sample interview checklist                  42
                      5. Follow-up client interviews                 43
                 D. Exhibits Acquisition                             44
                      1. Scene                                       44
                      2. Physical evidence                           46
                      3. Records                                     47
                 E. Witness Interviews                               49
                      1. Who and when to interview                   50
                      2. Locating witnesses                          50
                      3. Purposes of the interview                   52
                      4. Arranging the interview                     53
                      5. Structuring the interview                   54
                      6. Recording the interview                     56
                      7. Interviewing techniques                     57
                      8. Evaluating witnesses                        58
                 F. Expert Reviews                                   59
                 G. Computerized Fact Gathering                      60
                 Chapter Summary                                     62
                 Key Terms                                           62
                 Review Questions                                    63
                 Additional Resources                                63
                                                                       Contents   xiii

CHAPTER 3: CASE EVALUATION
AND STRATEGY                                                      65
Chapter Objectives                                                66
A. Introduction                                                   66
B. Establishing the Terms of the Attorney-Client Agreement        66
    1. Work covered                                               67
    2. Lawyer’s fee                                               67
    3. Retainers                                                  68
    4. Costs                                                      69
    5. Billings                                                   70
    6. Authorization to file suit                                 70
    7. Conflicts of interest                                      70
    8. Next steps                                                 70
C. Declining Representation                                       75
D. Planning the Litigation                                        75
    1. Reevaluate the client’s objectives, priorities, and cost
        constraints                                               77
    2. Define the client’s litigation objectives                  77
    3. Develop a ‘‘theory of the case’’                           77
    4. Plan the pleadings                                         78
    5. Plan the discovery                                         78
    6. Plan the dispositive motions                               79
    7. Plan the settlement approach                               80
    8. Develop a litigation timetable                             80
E. Example of Litigation Planning:
    Novelty Products, Inc. v. Gift Ideas, Inc.                    81
    1. Reevaluate the client’s objectives, priorities,
        and cost constraints                                      83
    2. Define the client’s litigation objectives                  83
    3. Develop a ‘‘theory of the case’’                           84
    4. Plan the pleadings                                         85
    5. Plan the discovery                                         85
    6. Plan the dispositive motions                               86
    7. Plan the settlement approach                               86
    8. Develop a litigation timetable                             86
F. Prefiling Requirements                                         87
    1. Statutory notice requirements                              87
    2. Contract requirements                                      88
    3. Mediation, arbitration, and review requirements            88
    4. Administrative procedure requirements                      88
    5. Appointment of legal guardian                              88
    6. Discovery before suit                                      89
xiv   Contents


                      7. Demand letters                          89
                 Chapter Summary                                 90
                 Key Terms                                       91
                 Review Questions                                91
                 Additional Resources                            91



                 CHAPTER 4: PARTIES AND JURISDICTION             93
                 Chapter Objectives                               94
                 A. Introduction                                  94
                 B. Parties to the Action                         95
                 C. Joinder of Parties and Claims                 96
                      1. Real party in interest                   96
                      2. Capacity to sue                          97
                      3. Required joinder of parties              97
                      4. Permissive joinder of parties            99
                      5. Special pleading rules                   99
                      6. Joinder of claims                       100
                 D. Subject Matter Jurisdiction                  100
                      1. Case or controversy                     101
                      2. Federal question jurisdiction           101
                          a. ‘‘Arising under’’                   102
                          b. Specific grants of jurisdiction     102
                          c. Pendent jurisdiction                103
                          d. The United States as a party        104
                      3. Diversity jurisdiction                  104
                          a. ‘‘Citizenship’’ requirement         105
                          b. Complete diversity requirement      106
                          c. Jurisdictional amount requirement   106
                      4. Ancillary jurisdiction                  108
                      5. Removal jurisdiction                    108
                 E. Personal jurisdiction                        110
                      1. Due process requirements                111
                      2. Service-of-process requirements         113
                 F. Federal Versus State Court                   114
                 G. Venue                                        115
                      1. Determining venue                       115
                      2. Change of venue                         117
                 H. Choice of Court Based on Choice of Law       117
                 Chapter Summary                                 118
                 Key Terms                                       119
                 Review Questions                                119
                 Additional Resources                            120
                                                                         Contents   xv



PART II: PRETRIAL LITIGATION
CHAPTER 5: PLEADINGS                                               123
Chapter Objectives                                                 124
A. Introduction                                                    124
B. General Pleading Requirements                                   125
    1. General ‘‘notice’’ requirements for claims                  125
    2. Alternative and inconsistent pleadings                      126
    3. Format requirements                                         126
        a. Caption                                                 126
             i.    File number                                     126
             ii. Parties to the action                             127
        b. Designation                                             128
        c. Signing pleadings                                       128
    4. Rule 11                                                     129
    5. Service and filing                                          130
C. Complaints                                                      131
    1. Subject matter jurisdiction                                 132
        a. Federal question jurisdiction                           132
        b. Diversity jurisdiction                                  133
    2. Statement of claims                                         134
        a. Use plain English                                       134
        b. Keep it simple                                          135
        c. Plead ‘‘special matters’’ with particularity            136
        d. Use separate paragraphs                                 136
        e. Use separate counts                                     137
        f. Use exhibits                                            138
    3. Prayer for relief                                           139
    4. Jury demand                                                 139
    5. Filing and service of summons                               140
        a. Issuing the summons                                     141
        b. Summons content                                         141
        c. Persons who may serve the summons                       142
        d. Methods of service                                      142
             i.    Individuals                                     142
             ii. Infants and incompetents                          144
             iii. Corporations, partnerships, and associations     144
             iv. Officers and agencies of the United States, and
                   state and municipal government organizations    144
        e. Waiver of service                                       144
        f. Territorial limits of service                           145
             i.    The 100-mile ‘‘bulge’’ rule                     145
             ii. State long-arm statutes                           145
xvi   Contents


                            iii. Federal statute or court order   146
                            iv. The Hague Convention              146
                        g. Timeliness of service                  146
                        h. Proof of service                       146
                        i. Informal service                       147
                 D. Rule 12 Responses                             147
                    1. Motion to strike                           148
                    2. Motion for a more definite statement       149
                    3. Motion to dismiss under Rule 12(b)         149
                        a. The one motion requirement             150
                        b. Rule 12(b) defenses                    150
                        c. Waiver                                 151
                        d. Practice approach                      151
                 E. Answers                                       154
                    1. Timing                                     154
                    2. General requirements                       154
                    3. Responses                                  155
                    4. Rule 12(b) defenses                        158
                    5. Affirmative defenses                       159
                    6. Practice approach                          160
                 F. Counterclaims                                 160
                    1. Compulsory counterclaims                   161
                    2. Permissive counterclaims                   162
                    3. The United States as plaintiff             162
                    4. Statutes of limitation                     163
                    5. Waiver and amended pleadings               163
                    6. Practice approach                          163
                 G. Replies                                       164
                 H. Cross-Claims                                  165
                    1. Discretionary pleading                     166
                    2. Subject matter                             166
                    3. Timing                                     166
                    4. Jurisdiction, venue, and joinder           167
                    5. Cross-claims against the United States     167
                    6. Practice approach                          167
                    7. Responses to cross-claims                  168
                 I. Third-Party Practice (Impleader)              168
                    1. Discretionary pleading                     169
                    2. Subject matter                             169
                    3. Jurisdiction and venue                     170
                    4. Statutes of limitation                     170
                    5. Practice approach                          170
                    6. Third-party defendant responses            171
                    7. Original plaintiff responses               173
                                                                 Contents   xvii

J.   Interpleader                                          173
     1. Rule 22 interpleader                               174
     2. 28 U.S.C. §1335 interpleader                       174
     3. Practice approach                                  175
K. Intervention                                            175
     1. Intervention of right                              175
     2. Permissive intervention                            177
     3. Timing                                             178
     4. Jurisdiction                                       178
     5. Practice approach                                  179
L. Class Actions                                           180
     1. General class requirements                         180
     2. General facts requirements                         181
     3. Jurisdiction                                       182
     4. Procedure                                          183
M. Amendments of Pleadings and Supplemental Pleadings      183
     1. Amendments by right                                183
     2. Amendments by leave of court                       184
     3. Statutes of limitation and ‘‘relation back’’       184
         a. Changing facts and theories                    185
         b. Changing parties                               185
     4. Supplemental pleadings                             186
     5. Practice approach                                  186
Chapter Summary                                            186
Key Terms                                                  188
Review Questions                                           188
Additional Resources                                       189



CHAPTER 6: LAW AND MOTIONS                                 191
Chapter Objectives                                         192
A. Introduction                                            192
B. General Requirements for Motions                        192
    1. Form                                                193
    2. Notice, service, and filing                         193
    3. Content of the motion                               196
    4. Responses to motions                                197
    5. Hearing and argument                                198
    6. Order                                               200
C. Extensions of Time and Continuances                     200
D. Substitution of Parties                                 201
E. Removal                                                 202
    1. Should you remove?                                  203
    2. What are the procedural requirements for removal?   203
xviii   Contents


                            a. Timing                                            203
                            b. Notice of removal                                 204
                            c. Filing a notice in state court                    205
                            d. Further proceedings                               205
                   Chapter Summary                                               206
                   Key Terms                                                     206
                   Review Questions                                              206
                   Additional Resources                                          207



                   CHAPTER 7: MOTION PRACTICE                                    209
                   Chapter Objectives                                            210
                   A. Introduction                                               210
                   B. Judgment on the Pleadings                                  211
                   C. Summary Judgment                                           212
                        1. When made                                             212
                        2. Standards and matters considered                      213
                        3. Hearing, order, and appealability                     214
                        4. Practice approach                                     214
                        5. Opponent’s responses                                  217
                   D. Dismissals and Defaults                                    217
                        1. Voluntary dismissals                                  217
                        2. Involuntary dismissals                                219
                        3. Defaults                                              220
                   E. Consolidation and Separate Trials                          222
                        1. Consolidations                                        222
                        2. Separate trials                                       223
                   Chapter Summary                                               223
                   Key Terms                                                     224
                   Review Questions                                              224
                   Additional Resources                                          224



                   CHAPTER 8: PROVISIONAL REMEDIES                               225
                   Chapter Objectives                                            226
                   A. Introduction                                               226
                   B. Temporary Restraining Orders and Preliminary Injunctions   227
                       1. Temporary restraining orders                           227
                           a. Law                                                227
                           b. Practice approach                                  228
                                i.    Complaint and summons                      229
                                ii. Application for TRO and preliminary
                                      injunction                                 229
                                                                          Contents   xix

             iii. Attorney’s certificate regarding notice           231
             iv. Witness affidavits                                 231
             v. Security for costs                                  232
             vi. Order and service                                  233
     2. Preliminary injunctions                                     233
         a. Law                                                     233
         b. Practice approach                                       235
C. Writs of Attachment                                              236
     1. The law                                                     237
     2. Practice approach                                           237
D. Writs of Possession                                              238
     1. The law                                                     238
     2. Practice approach                                           239
E. Lis Pendens                                                      239
Chapter Summary                                                     240
Key Terms                                                           241
Review Questions                                                    241
Additional Resources                                                241



CHAPTER 9: EVIDENCE                                                 243
Chapter Objectives                                                  244
A. Introduction                                                     244
B. The Paralegal’s Role                                             245
C. Relevance                                                        246
    1. Character traits                                             247
    2. Habit evidence                                               247
    3. Policy exclusions                                            248
D. Hearsay                                                          248
    1. Is it a ‘‘statement’’?                                       249
    2. Was the statement made ‘‘out of court’’?                     249
    3. Is the out-of-court statement ‘‘offered to prove the truth
        of the matter asserted in the statement’’?                  250
E. Hearsay Exceptions                                               250
    1. Admission of a party opponent                                251
    2. Prior statements by witnesses                                251
    3. Statements against interest                                  252
    4. Former testimony                                             253
    5. Present sense impressions                                    254
    6. Excited utterances                                           254
    7. Statement of present or past conditions for
        medical diagnosis                                           255
    8. Statement of present state of mind                           256
    9. Dying declarations                                           256
xx   Contents


                     10. Records exceptions                                   257
                     11. Other exceptions                                     258
                F. Witnesses, Exhibits, Judicial Notice, and Objections       258
                     1. Witnesses                                             259
                         a. Competency                                        259
                         b. Impeachment                                       259
                     2. Expert witnesses                                      262
                     3. Exhibits                                              262
                         a. Real evidence                                     263
                         b. Demonstrative evidence                            263
                         c. Writings                                          263
                         d. Business records                                  263
                         e. Public records                                    264
                     4. Best evidence rule                                    264
                     5. Judicial notice                                       265
                G. Privileges                                                 265
                     1. Attorney-client privilege                             265
                     2. Work product privilege                                266
                     3. Physician-patient privilege                           266
                     4. Marital privileges                                    267
                Chapter Summary                                               267
                Key Terms                                                     268
                Review Questions                                              268
                Additional Resources                                          269



                CHAPTER 10: DISCOVERY                                         271
                Chapter Objectives                                            272
                A. Introduction                                               272
                B. Discovery Overview                                         273
                    1. Types of discovery                                     273
                    2. The paralegal’s role                                   275
                    3. Computerized litigation support                        275
                        a. Conducting research                                275
                        b. Locating information about parties and witnesses   276
                        c. Organizing discovery                               276
                C. Scope of Discovery                                         277
                    1. Relevance                                              277
                    2. Insurance agreements                                   278
                    3. Statements                                             278
                    4. Experts                                                278
                    5. Privileges                                             279
                        a. What privilege law applies?                        280
                                                                          Contents   xxi

         b.  What is the applicable federal or state
             privilege law?                                         280
     6. Trial preparation materials                                 280
D.   Discovery Strategy: A Seven-Step Process                       281
     1. What facts are needed in order to establish a winning
         case on the client’s claims (or to defeat the opponent’s
         claims)?                                                   281
     2. What facts already have been obtained through
         informal fact investigation?                               281
     3. What ‘‘missing’’ facts must still be obtained through
         formal discovery?                                          281
     4. What discovery methods are most effective for
         obtaining the missing facts?                               282
     5. What facts and witnesses, already identified through
         informal investigation, must be pinned down by formal
         discovery?                                                 283
     6. What restrictions does the client’s litigation budget
         place on the discovery plan?                               283
     7. In what order should the discovery proceed?                 284
         a. When should discovery start?                            284
         b. In what order should discovery be carried out?          286
E.   Interrogatories                                                287
     1. Law                                                         288
     2. Practice approach                                           290
         a. Topics: what information should I seek?                 291
         b. Drafting the interrogatories                            293
             i.   Headings                                          293
             ii. Definitions and instructions                       293
             iii. Interrogatory style                               296
             iv. Signing, serving, and filing                       299
         c. Responses to interrogatories                            301
             i.   Researching and preparing answers                 301
             ii. Objections                                         302
             iii. Answers                                           303
             iv. Signing, serving, and filing                       307
F.   Requests to Produce Documents and Subpoenas                    309
     1. Law                                                         309
     2. Practice approach                                           310
         a. Timing                                                  310
         b. Organization                                            311
         c. Drafting requests to produce                            311
             i.   Heading                                           311
             ii. Definitions                                        312
             iii. Requests format                                   312
             iv. Signing, serving, and filing                       314
xxii   Contents


                         d. Responses to requests to produce             315
                             i.    Researching and preparing responses   315
                             ii. Objections                              317
                             iii. Answers                                318
                             iv. Signing, serving, and filing            320
                     3. Document requests and subpoenas to nonparties    320
                     4. Document productions                             320
                  G. Depositions                                         322
                     1. Law                                              323
                         a. Timing                                       323
                         b. Notice                                       324
                         c. Location                                     325
                         d. Persons present                              325
                         e. Recording                                    325
                         f. Signing, correcting, and filing              326
                         g. Objections                                   326
                     2. Practice approach                                327
                         a. Scheduling the deposition                    327
                         b. Preparing for the deposition                 332
                         c. Preparing the client for deposition          335
                         d. Taking notes at the deposition               339
                         e. Summarizing the deposition                   339
                             i.    Chronological summary                 340
                             ii. Subject matter summary                  341
                             iii. Topic index                            341
                             iv. Narrative summary                       342
                  H. Physical and Mental Examinations                    342
                     1. Law                                              343
                     2. Practice approach                                344
                  I. Requests for Admission                              346
                     1. Law                                              347
                     2. Practice approach                                348
                         a. Timing                                       348
                         b. What to request                              349
                         c. Drafting the requests                        349
                         d. Choosing a response                          351
                         e. Requesting party’s responses                 353
                  J. Discovery Motions                                   353
                     1. Protective orders                                354
                     2. Orders compelling discovery                      355
                     3. Sanctions for abuse                              359
                  K. Electronically Stored Information                   360
                     1. Types of electronically stored information       361
                     2. Location of electronically stored information    361
                                                                  Contents   xxiii

     3. Sanctions for abuse                                 362
     4. Practice pointers                                   362
Chapter Summary                                             363
Key Terms                                                   364
Review Questions                                            364
Additional Resources                                        365

PART III: SETTLEMENT, TRIAL,               AND    POST-TRIAL
CHAPTER 11: SETTLEMENTS                                     369
Chapter Objectives                                          370
A. Introduction                                             370
B. Preparing a Settlement Brochure                          371
C. Settlement Contracts                                     371
     1. Releases, covenants not to sue, and loan receipts   372
     2. Drafting the agreement                              373
     3. Structured and installment settlements              377
     4. Terminating the suit                                379
     5. Offers of judgment                                  379
     6. Evidence rules                                      383
     7. Insurer good faith requirements                     384
Chapter Summary                                             385
Key Terms                                                   385
Review Questions                                            386
Additional Resources                                        386



CHAPTER 12: TRIAL PREPARATION, TRIAL,
AND APPEAL                                                  387
Chapter Objectives                                          388
A. Introduction                                             388
B. The Paralegal’s Role                                     388
C. Pretrial Conferences                                     389
D. Organization of Files                                    396
E. Trial Materials                                          397
    1. Divider method                                       397
    2. Trial notebook method                                398
        a. Facts                                            398
        b. Pleadings                                        398
        c. Discovery                                        399
        d. Motions                                          399
xxiv   Contents


                           e. Jury selection                             399
                           f. Charts                                     400
                           g. Direct examinations (your case-in-chief)   402
                           h. Cross-examinations (opponent’s case)       402
                           i. Closing arguments                          403
                           j. Jury instructions                          403
                           k. Research                                   403
                  F. Theory of the Case                                  404
                  G. Preparation of Witnesses                            404
                  H. Preparation of Exhibits                             407
                  I. Order of Trial                                      408
                  J. Assistance During Trial                             409
                       1. Planning for the courtroom                     409
                       2. Voir dire                                      410
                       3. The trial                                      411
                  K. The Paralegal’s Conduct During Trial                412
                  L. Appeal                                              412
                       1. The appellate process                          412
                       2. The record on appeal                           414
                       3. Written briefs                                 415
                       4. The paralegal’s role                           416
                  Chapter Summary                                        418
                  Key Terms                                              419
                  Review Questions                                       419
                  Additional Resources                                   420



                  CHAPTER 13: ENFORCEMENT OF JUDGMENTS                   421
                  Chapter Objectives                                     422
                  A. Introduction                                        422
                  B. Demand Letter                                       422
                  C. Abstracts of Judgment                               423
                  D. Writs of Execution                                  424
                       1. The till tap                                   424
                       2. The keeper                                     426
                       3. The bank levy                                  426
                  E. Wage Garnishments                                   427
                  F. Locating Assets                                     427
                  Chapter Summary                                        428
                  Key Terms                                              429
                  Review Questions                                       429
                  Additional Resources                                   429
                                        Contents   xxv

CHAPTER 14: ALTERNATIVE DISPUTE
RESOLUTION                        431
Chapter Objectives                432
A. Introduction                   432
B. Mediation                      433
C. The Arbitration Process        434
D. Preparing for Arbitration      435
E. The Arbitration Hearing        437
Chapter Summary                   438
Key Terms                         438
Review Questions                  438
Additional Resources              439


Litigation File: Jones v. Smith   441

Glossary                          485
Index                             000

								
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