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Preface xxix

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 7 2. The court system 7 3. Overview for litigation cases 10 4. Remedies 12 C. The Paralegal’s Role 13 D. Use of Computers in Litigation 14 E. Ethical Considerations 15Chapter Summary 17Chapter Checklist 17Review Questions 18Case for Discussion: Hodge v. UFRA-Sexton, LP 19Research Questions 20Additional Resources 21

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CHAPTER 2: INFORMAL FACT GATHERING AND INVESTIGATION 23

Chapter Objectives 24 A. Introduction 24 B. Structuring Fact Investigations 25 1. What facts do I need to get? 26 2. How do I structure my fact investigation? 27 a. Use of a litigation chart 27 b. How to structure a litigation chart 28 3. What are the likely sources of proof? 30 4. How much time should I spend? 32 5. What sources should I investigate? 33 C. Client Interviews 35 1. Client attitudes and disclosure 35 2. Interview preparation 36 3. Initial client interview 37 a. Liability 43 b. Damages 43 c. Client background 44 d. Parties 44 e. Defenses and counterclaims 45 f. Statutes of limitation 45 g. Witnesses 46 h. Records 46 i. Physical evidence 46 j. Other law firms 46 k. Client goals 47 l. Next steps 47 4. Sample interview checklist 47 5. Follow-up client interviews 50 D. Exhibits Acquisition 50 1. Scene 51 2. Physical evidence 52 3. Records 53 E. Witness Interviews 56 1. Whom and when to interview 56 2. Locating witnesses 57 3. Purposes of the interview 58 4. Arranging the interview 60 5. Structuring the interview 60 6. Recording the interview 63 7. Interviewing techniques 64 8. Evaluating witnesses 65

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F. Expert Reviews 66 G. Computerized Fact Gathering 67Chapter Summary 69Chapter Checklist 70Review Questions 71Case for Discussion: Poitra v. Sch. Dist. No. 1 in Cnty. of Denver & Colo. 72Research Questions 73Additional Resources 74

CHAPTER 3: CASE EVALUATION AND STRATEGY 75

Chapter Objectives 76 A. Introduction 76 B. Establishing the Terms of the Attorney-Client Agreement 76 1. Work covered 77 2. Lawyer’s fee 77 3. Retainers 79 4. Costs 79 5. Billings 80 6. Authorization to file suit 80 7. Conflicts of interest 81 8. Next steps 82 C. Declining Representation 85 D. Planning the Litigation 86 1. Reevaluate the client’s objectives, priorities, and cost

constraints 87 2. Define the client’s litigation objectives 87 3. Develop a “theory of the case” 88 4. Plan the pleadings 88 5. Plan the discovery 89 6. Plan the dispositive motions 90 7. Plan the settlement approach 90 8. Develop a litigation timetable 90 E. Example of Litigation Planning: Novelty Products,

Inc. v. Gift Ideas, Inc. 91 1. Reevaluate the client’s objectives, priorities,

and cost constraints 93 2. Define the client’s litigation objectives 94 3. Develop a “theory of the case” 95 4. Plan the pleadings 95 5. Plan the discovery 95

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6. Plan the dispositive motions 96 7. Plan the settlement approach 96 8. Develop a litigation timetable 97 F. Prefiling Requirements 98 1. Statutory notice requirements 98 2. Contract requirements 98 3. Mediation, arbitration, and review requirements 98 4. Administrative procedure requirements 99 5. Appointment of legal guardian 99 6. Discovery before suit 100 7. Demand letters 100Chapter Summary 102Chapter Checklist 102Review Questions 103Case for Discussion: In re Petition for Distribution of Attorney’s Fees 103Research Questions 105Additional Resources 105

CHAPTER 4: PARTIES AND JURISDICTION 107Chapter Objectives 108 A. Introduction 108 B. Parties to the Action 109 C. Joinder of Parties and Claims 110 1. Real party in interest 110 2. Capacity to sue 111 3. Required joinder of parties 112 4. Permissive joinder of parties 114 5. Special pleading rules 115 6. Joinder of claims 115 D. Subject Matter Jurisdiction 115 1. Case or controversy 117 2. Federal question jurisdiction 117 a. “Arising under” 117 b. Specific grants of jurisdiction 118 c. Pendent jurisdiction 119 d. The United States as a party 119 3. Diversity jurisdiction 120 a. “Citizenship” requirement 121 b. Complete diversity requirement 121 c. Jurisdictional amount requirement 122 4. Ancillary jurisdiction 123 5. Removal jurisdiction 124

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E. Personal jurisdiction 126 1. Due process requirements 127 2. Service-of-process requirements 129 F. Federal Versus State Court 130 G. Venue 131 1. Determining venue 131 2. Change of venue 132 H. Choice of Court Based on Choice of Law 133Chapter Summary 133Chapter Checklist 134Review Questions 135Case for Discussion: International Shoe v. Washington 135Research Questions 137Additional Resources 137

Part II: PretrIal lItIgatIon

CHAPTER 5: PLEADINGS 141

Chapter Objectives 142 A. Introduction 142 B. General Pleading Requirements 143 1. General “notice” requirements for claims 143 2. Alternative and inconsistent pleadings 144 3. Format requirements 144 a. Caption 144 i. File number 145 ii. Parties to the action 145 b. Designation 146 c. Signing pleadings 146 4. Rule 11 147 5. Service and filing 149 C. Complaints 150 1. Subject matter jurisdiction 150 a. Federal question jurisdiction 150 b. Diversity jurisdiction 151 2. Statement of claims 153 a. Use plain English 153 b. Keep it simple 154 c. Plead “special matters” with particularity 155 d. Use separate paragraphs 155 e. Use separate counts 156 f. Use exhibits 157

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3. Prayer for relief 158 4. Jury demand 158 5. Filing and service of summons 159 a. Issuing the summons 160 b. Summons content 160 c. Persons who may serve the summons 161 d. Methods of service 163 i. Individuals 163 ii. Infants and incompetents 163 iii. Corporations, partnerships, and associations 163 iv. Officers and agencies of the United States, and

state and municipal government organizations 164 e. Waiver of service 164 f. Territorial limits of service 164 i. The 100-mile “bulge” rule 165 ii. State long-arm statutes 165 iii. Federal statute or court order 165 iv. The Hague Convention 165 g. Timeliness of service 166 h. Proof of service 166 i. Informal service 167 D. Rule 12 Responses 167 1. Motion to strike 168 2. Motion for a more definite statement 169 3. Motion to dismiss under Rule 12(b) 169 a. The one motion requirement 170 b. Rule 12(b) defenses 170 c. Waiver 171 d. Practice approach 171 E. Answers 174 1. Timing 174 2. General requirements 174 3. Responses 175 4. Rule 12(b) defenses 178 5. Affirmative defenses 178 6. Practice approach 179 F. Counterclaims 180 1. Compulsory counterclaims 180 2. Permissive counterclaims 181 3. The United States as plaintiff 182 4. Statutes of limitation 182 5. Waiver and amended pleadings 183 6. Practice approach 183 G. Replies 184 H. Cross-Claims 185

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1. Discretionary pleading 185 2. Subject matter 185 3. Timing 186 4. Jurisdiction, venue, and joinder 186 5. Cross-claims against the United States 187 6. Practice approach 187 7. Responses to cross-claims 188 I. Third-Party Practice (Impleader) 188 1. Discretionary pleading 188 2. Subject matter 189 3. Jurisdiction and venue 189 4. Statutes of limitation 190 5. Practice approach 190 6. Third-party defendant responses 191 7. Original plaintiff responses 193 J. Interpleader 193 1. Rule 22 interpleader 193 2. 28 U.S.C. §1335 interpleader 194 3. Practice approach 195 K. Intervention 196 1. Intervention of right 197 2. Permissive intervention 197 3. Timing 198 4. Jurisdiction 198 5. Practice approach 199 L. Class Actions 200 1. General class requirements 200 2. General facts requirements 201 3. Jurisdiction 202 4. Procedure 203 M. Amendments of Pleadings and Supplemental Pleadings 203 1. Amendments by right 203 2. Amendments by leave of court 204 3. Statutes of limitation and “relation back” 205 a. Changing facts and theories 205 b. Changing parties 205 4. Supplemental pleadings 206 5. Practice approach 206Chapter Summary 207Chapter Checklist 208Review Questions 209Case for Discussion: Pace v. Timmermann’s Ranch and

Saddle Shop, Inc. 210Research Questions 212Additional Resources 213

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CHAPTER 6: LAW AND MOTIONS 215

Chapter Objectives 216 A. Introduction 216 B. General Requirements for Motions 216 1. Form 217 2. Notice, service, and filing 217 3. Content of the motion 221 4. Responses to motions 222 5. Hearing and argument 224 6. Order 224 C. Extensions of Time and Continuances 225 D. Substitution of Parties 227 E. Removal 228 1. Should you remove? 228 2. What are the procedural requirements for removal? 229 a. Timing 229 b. Notice of removal 229 c. Filing a notice in state court 231 d. Further proceedings 231Chapter Summary 232Chapter Checklist 232Review Questions 233Case for Discussion: Energy Management Services, LLC. v. City of

Alexandria 233Research Questions 235Additional Resources 235

CHAPTER 7: MOTION PRACTICE 237

Chapter Objectives 238 A. Introduction 238 B. Judgment on the Pleadings 239 C. Summary Judgment 240 1. When made 241 2. Standards and matters considered 242 3. Hearing, order, and appealability 242 4. Practice approach 243 5. Opponent’s responses 246 D. Dismissals and Defaults 247 1. Voluntary dismissals 249 2. Involuntary dismissals 251 3. Defaults 252

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E. Consolidation and Separate Trials 255 1. Consolidations 255 2. Separate trials 255Chapter Summary 256Chapter Checklist 256Review Questions 257Case for Discussion: Celotex v. Corp. v. Catrett 257Research Questions 259Additional Resources 260

CHAPTER 8: PROVISIONAL REMEDIES 261

Chapter Objectives 262 A. Introduction 262 B. Temporary Restraining Orders and Preliminary Injunctions 263 1. Temporary restraining orders 263 a. Law 263 b. Practice approach 265 i. Complaint and summons 266 ii. Application for TRO and preliminary injunction 266 iii. Attorney’s certificate regarding notice 268 iv. Witness affidavits 268 v. Security for costs 269 vi. Order and service 270 2. Preliminary injunctions 272 a. Law 272 b. Practice approach 273 C. Writs of Attachment 274 1. The law 275 2. Practice approach 275 D. Writs of Possession 276 1. The law 276 2. Practice approach 277 E. Lis Pendens 277Chapter Summary 278Chapter Checklist 279Review Questions 279Case for Discussion: Amacker v. Amacker 280Research Questions 283Additional Resources 283

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CHAPTER 9: EVIDENCE 285

Chapter Objectives 286 A. Introduction 286 B. The Paralegal’s Role 287 C. Relevance 287 1. Character traits 289 2. Habit evidence 289 3. Policy exclusions 289 D. Hearsay 290 1. Is it a “statement”? 291 2. Was the statement made “out of court”? 291 E. Hearsay Exceptions 292 1. Admission of a party opponent 292 2. Prior statements by witnesses 294 3. Statements against interest 294 4. Former testimony 295 5. Present sense impressions 297 6. Excited utterances 297 7. Statement of present or past conditions for medical

diagnosis 298 8. Statement of present state of mind 299 9. Dying declarations 299 10. Records exceptions 300 11. Other exceptions 302 F. Witnesses, Exhibits, Judicial Notice, and Objections 302 1. Witnesses 302 a. Competency 303 b. Impeachment 303 2. Expert witnesses 306 3. Exhibits 306 a. Real evidence 307 b. Demonstrative evidence 307 c. Writings 307 d. Business records 307 e. Public records 308 4. Best evidence rule 308 5. Judicial notice 309 G. Privileges 309 1. Attorney-client privilege 309 2. Work product privilege 310 3. Physician-patient privilege 310 4. Marital privileges 311

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Chapter Summary 311Chapter Checklist 312Review Questions 313Case for Discussion: Schering v. Pfizer, Inc. 313Research Questions 318Additional Resources 318

CHAPTER 10: DISCOVERY 319

Chapter Objectives 320 A. Introduction 320 B. Discovery Overview 321 1. Types of discovery 321 2. The paralegal’s role 323 3. Computerized litigation support 323 a. Conducting research 324 b. Locating information about parties and witnesses 324 c. Organizing discovery 324 C. Scope of Discovery 325 1. Relevance 325 2. Insurance agreements 326 3. Statements 326 4. Experts 327 5. Privileges 327 a. What privilege law applies? 328 b. What is the applicable federal or state

privilege law? 328 6. Trial preparation materials 328 D. Discovery Strategy: A Seven-Step Process 329 1. What facts are needed in order to establish a winning

case on the client’s claims (or to defeat the opponent’s claims)? 329

2. What facts already have been obtained through informal fact investigation? 329

3. What “missing” facts must still be obtained through formal discovery? 329

4. What discovery methods are most effective for obtaining the missing facts? 330

5. What facts and witnesses, already identified through informal investigation, must be pinned down by formal discovery? 331

6. What restrictions does the client’s litigation budget place on the discovery plan? 331

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7. In what order should the discovery proceed? 332 a. When should discovery start? 332 b. In what order should discovery be carried out? 334 E. Interrogatories 336 1. Law 336 2. Practice approach 340 a. Topics: What information should I seek? 340 b. Drafting the interrogatories 342 i. Headings 342 ii. Definitions and instructions 343 iii. Interrogatory style 345 iv. Signing, serving, and filing 349 c. Responses to interrogatories 349 i. Researching and preparing answers 349 ii. Objections 352 iii. Answers 352 iv. Signing, serving, and filing 356 F. Requests to Produce Documents and Subpoenas 358 1. Law 358 2. Practice approach 360 a. Timing 360 b. Organization 360 c. Drafting requests to produce 361 i. Heading 361 ii. Definitions 361 iii. Requests format 362 iv. Signing, serving, and filing 364 d. Responses to requests to produce 364 i. Researching and preparing responses 366 ii. Objections 366 iii. Answers 368 iv. Signing, serving, and filing 369 3. Document requests and subpoenas to nonparties 370 4. Document productions 370 G. Depositions 373 1. Law 373 a. Timing 373 b. Notice 374 c. Location 374 d. Persons present 375 e. Recording 375 f. Signing, correcting, and filing 376 g. Objections 377 2. Practice approach 377 a. Scheduling the deposition 378 b. Preparing for the deposition 383

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c. Preparing the client for deposition 386 d. Taking notes at the deposition 390 e. Summarizing the deposition 391 i. Chronological summary 392 ii. Subject matter summary 392 iii. Topic index 393 iv. Narrative summary 393 H. Physical and Mental Examinations 394 1. Law 394 2. Practice approach 396 I. Requests for Admission 399 1. Law 399 2. Practice approach 401 a. Timing 401 b. What to request 402 c. Drafting the requests 403 d. Choosing a response 404 e. Requesting a party’s responses 405 J. Discovery Motions 406 1. Protective orders 408 2. Orders compelling discovery 409 3. Sanctions for abuse 414 K. Electronically Stored Information 415 1. Types of electronically stored information 415 2. Location of electronically stored information 416 3. Sanctions for abuse 416 4. Practice pointers 417Chapter Summary 418Chapter Checklist 418Review Questions 420Case for Discussion: Gunn v. Gunn 420Research Questions 423Additional Resources 424

Part III: settlement, trIal, and Post-trIal

CHAPTER 11: SETTLEMENTS 427

Chapter Objectives 428 A. Introduction 428 B. Preparing a Settlement Brochure 429 C. Settlement Contracts 429 1. Releases, covenants not to sue, and loan receipts 430 2. Drafting the agreement 431

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3. Structured and installment settlements 436 4. Terminating the suit 437 5. Offers of judgment 437 6. Evidence rules 442 7. Insurer good faith requirements 442Chapter Summary 443Chapter Checklist 444Review Questions 444Case for Discussion: McGinnis v. Cox 445Research Questions 448Additional Resources 448

CHAPTER 12: TRIAL PREPARATION, TRIAL, AND APPEAL 449

Chapter Objectives 450 A. Introduction 450 B. The Paralegal’s Role 450 C. Pretrial Conferences 451 D. Organization of Files 458 E. Trial Materials 459 1. Divider method 460 2. Trial notebook method 460 a. Facts 460 b. Pleadings 460 c. Discovery 461 d. Motions 461 e. Jury selection 461 f. Charts 462 g. Direct examinations (your case-in-chief) 463 h. Cross-examinations (opponent’s case) 465 i. Closing arguments 465 j. Jury instructions 465 k. Research 465 F. Theory of the Case 466 G. Preparation of Witnesses 467 H. Preparation of Exhibits 470 I. Order of Trial 471 J. Assistance During Trial 471 1. Planning for the courtroom 471 2. Voir dire 472 3. The trial 473 K. The Paralegal’s Conduct During Trial 474

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L. Appeal 475 1. The appellate process 475 2. The record on appeal 476 3. Written briefs 478 4. The paralegal’s role 479Chapter Summary 480Chapter Checklist 481Review Questions 483Case for Discussion: Skilling v. United States 483Research Questions 486Additional Resources 486

CHAPTER 13: ENFORCEMENT OF JUDGMENTS 487

Chapter Objectives 488 A. Introduction 488 B. Demand Letter 488 C. Abstracts of Judgment 489 D. Writs of Execution 490 1. The till tap 492 2. The keeper 492 3. The bank levy 493 E. Wage Garnishments 493 F. Locating Assets 494Chapter Summary 494Chapter Checklist 495Review Questions 496Case for Discussion: Big M, Inc. v. Texas Roadhouse Holding, LLC 496Research Questions 498Additional Resources 499

CHAPTER 14: ALTERNATIVE DISPUTE RESOLUTION 501

Chapter Objectives 502 A. Introduction 502 B. Mediation 503 C. The Arbitration Process 504 D. Preparing for Arbitration 505 E. The Arbitration Hearing 507Chapter Summary 508Chapter Checklist 508

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Review Questions 509Case for Discussion: Hercules & Co. v. Shama Restaurant 509Research Questions 511Additional Resources 512

CHAPTER 15: SOCIAL MEDIA IN LITIGATION 513

Chapter Objectives 514 A. Introduction 514 B. Use of Social Media in Discovery 515 C. Use of Social Media Sites as Evidence in Court 516 D. Social Media Sites and Courts 517 E. Ethical Considerations 518Chapter Summary 519Chapter Checklist 520Review Questions 520Case for Discussion: Forman v. Henkin 520Research Questions 522Additional Resources 523

Litigation File: Jones v. Smith 525

Glossary 569Index 589