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STUDYGUIDE

Ifyouaretakingthiscourseinyourfirstyearoflawschool,youwillbedevelopingstudytechniques thatare likelydifferent fromthoseyouused inpreviouseducational settings.Moreover,evenwithinlawschool,differentcoursesmayrequiredifferentapproaches.

Onelearningtechniquethathastraditionallybeenfundamentaltolawschoolisapplyingthe“Socraticmethod”tojudicialopinions.Underthismethodology,studentsreadcases,usuallyappellatecases,withtheprofessorthenaskingquestionsaboutthecases.Thequestionsaredesigned to drawout the important principles and the underlying policies and tensions.Althoughlearningtoreadcasesisanextremelyimportant,ifnotessential,skilltoacquireinyourfirstyearoflawschool,itcanalsobeaninefficientwaytolearnthesubstantiveconceptsembeddedinthecases.CivilProcedureisdifferentfrommostfirstyearclasses,inthatsubstantialportionsoftheclassarebasedoncodifiedrules,notjustcaselaw.Accordingly,thisbooktakesadifferentapproach.AspartoftheLearningSeries,thisbookde-emphasizescasesandfocusesmoreon explanation and short hypotheticals, illustrations, or problems. The visionbehindLearning Civil Procedureis that because Civil Procedure is in significantmeasurebasedoncodifiedrules,itispreferabletoteachitbyexplainingtheconcepts,thenallowingstudents toexplore thecontoursandparametersof thoseconcepts throughstudying therules and illustrative examples, rather than distilling the concepts from cases.Notwithstandingthede-emphasisofcases,therearetimeswhenthestudyofcasesmaybetheoptimal learning tool. Inaddition, therearesomeclassic,key,or famouscases thataliterate lawyer should know.Consequently, this book at times includes case excerpts forstudy.

Civil Procedure is also an opportunity to focus on how to read and construe statutorylanguage, another critical skill for lawyers in almost everydiscipline.Accordingly, ratherthanreferyoutoasupplement,thisbooksetsforththekeylanguageofmajorFederalCivilRulesandimportantproceduralstatutesintext.Sowhileyoutrytodevelopandhoneyourskillsinreadingcasesinyourotherclasses,youcanfocusonreadingstatutorylanguageinthisclass.Asyouanalyzethecases,statutesandrulespresentedthroughoutthisbook,youalsoshouldbegintoassesstheoverallfairnessandefficiencyoftheAmericanciviljusticesystem.

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OrganizationofThisBook

LearningCivilProcedurestartswithsomegeneralconceptsthatapplytocivillitigation,thenproceedsthroughthestagesofalawsuit.Lookatthetableofcontentstoseetheprogression

throughthismaterialindetail,andalsoattheflowchartattheendofthebook,whichdepictsthegeneralizedflowofacivildisputethroughitsvariousstages.

Theinitialconceptsinclude:•subject-matterjurisdiction(thetypesofcasesthatcourts—andparticularlyfederalcourtsoflimitedjurisdiction—arepermittedtohandle);

•personal jurisdiction(the ability of a court in one state to force a defendant toparticipateintheproceedings);

•notice(the manner in which a defendant must be served with the paperscommencinglitigation);

•venue(the rules controlling which courts are appropriate and convenient forhandlingalawsuit,andfortransferringalawsuittomoreconvenientcourts);and

•theErieDoctrine(whichdetermineswhetherfederalorstate lawappliestocasesproceedinginfederalcourt).

Thebookthenproceedstocover:•thecommencementofalawsuitandframingoftheissuesthroughthecomplaintandanswer;

•earlymotionstodisposeofacase;

•rulescontrollingwhichclaimsandpartiesmaybejoinedinasinglelawsuit;

•amendingpleadings;•thediscoveryprocess(wherethepartiescanseekinformationandevidencerelatingtotheclaimsanddefenses);

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•motionstodisposeofacaseafterdiscovery;

•trials,includingtherighttoajury;

•post-trialmotions;

•appeals;and

•the effects of the results of the case on future cases involving related issues andparties.

Eachchapteraddressingthesetopicsfollowsthesameorganizationalstructure.

ThechaptersstartwithalistoftheKeyConcepts.Thislistidentifiestheimportantconceptscontainedinthechapter.Asyoureadthechapter,makesureyouareunderstandingthesekeyconcepts.

The chapters next contain anIntroduction,whichprovides an overviewof the conceptscoveredinthechapterandputsthoseconceptsincontext.

TheRule.Periodically,importantportionsoftherulesandstatutesarereprintedincoloredboxes.Key language in the rules and statutes is set forth in bolded text. Be sure to lookcarefully at thisbolded language to see the role itplays in the ruleor statuteand in theexplanationthatfollows.

Defendants

Persons … may be joined in one action as defendant if: (A) any right to relief is asserted against them jointly, severally, or in the alternative with respect to

or arising out of the same transaction or occurrence, or series of transactions or occurrences; and

(B) any question of law or fact common to all defendants will arise in the action. xl

ExamplesandAnalysis.OneofthefundamentalaspectsoftheapproachinLearningCivilProcedureis themany problems found throughout the text. Some of these problems arefollowedbytheanswers,intheExamplesandAnalysissections.Theseproblemsor“hypos”are designed to illustrate how the concepts in question apply in different contexts orsituations.Lookattheexample,conductyourownanalysisandreachyourownconclusions,thenlookattheanalysis.

Example:ParkersellshishousetoDanfor$100,000.Danpaysbycheck,andthecheckbounces.ParkersuesDaninfederalcourt.TwomonthsafterDanisproperlyserved,hestillhasnotansweredthecomplaintorfiledanypapers.CanParkertakeadvantageofRule55default,andifsohow?

Sua sponte means that the court did something on its own. It did not respond to a party’s motion or request, but instead spotted an issue and requested the parties to respond.

TextBoxes.Whenwordsorconceptsarediscussedinthetextthatmightbeunfamiliar,orthatwarrant some“sidebar”discussion, look to the textboxesnearby for thatadditionalcontent.Typically,thewordstiedtothetextboxwillbeprintedinthesamecolorasthetextboxbackground.

FromtheCourt.AlthoughLearningCivilProcedurede-emphasizescases,judicially-createddoctrinesandinterpretationformanimportantpartofthelawgoverningcivillitigation.Wehaveexcerptedportionsofcasesthatareparticularlydefiningorotherwiseimportantintheevolutionthisareaofthelaw.Thosecasesaresetoutinboxesandcontainthecaptionor“style” of the case at the beginning. Other cases that are important but do not warrantreprintingaredescribedinthetext.

IN PRACTICE

This content gives you a window into how the rules and concepts in civil procedure work in practice, in the real world. Often, lawyers and judges routinely handle procedures in a manner that is not necessarily intuitive from the text of the rules themselves. Learning Civil Procedure includes authors with extensive experience in civil litigation who can tell you how things really work.

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Additional Exercises.Near the end of each chapter,we list additional questions. In thissection,theanswersarenotprovided.Youshouldtestyourunderstandingofthematerialbyattemptingtoanalyzeandanswerthesequestions,andyoushouldbepreparedtodiscusstheminclass.

Quick Summary.Finally, each chapter ends with aQuick Summaryof theimportantprinciplesfromthechapter.Thissectionwillnotcontaineverythingyouneedtoknowfromthechapter,butyoushouldmakesureyouhavemasteredtheseconcepts.

1.HowtoPrepareforClass

The key to picking up the concepts inLearning Civil Procedurelies in the hypotheticalspresentedintheExamplesandExercises.Theexplanationoftheconceptsinthetextisquiteimportant,ofcourse,buttheessenceoflegalthinkingisapplyinglegalprinciplestodifferentfactpatterns.SoitisthroughtheExamplesandExercisesthatyoucantestyourabilitytoapplytheprinciplesexplainedinthetext.Studyafterstudyhasshownthatactivelearningismoreeffectivethanpassivelearning.Inotherwords,ifyousimplyreadthematerialinthebookandlisteninclass,youmayhaveadifficult time comprehending and recalling the material. In contrast, if you process theinformationactively,bypreparingoutlines,participatinginstudygroupswhereyoudiscussthe concepts, andbyworking through sampleproblems, youaremuchmore likely tobesuccessful.

Accordingly,whenpreparingforclass,donotjustpassivelyreadthetextandtheExamplesandExercises.Rather,testyourselfwiththeExamplesandExercises.IntheExamplesandAnalysis section, cover the provided Analysis and conduct your own, then review theanalysistocheckyourunderstanding.WiththeAdditionalExercises,conductyouranalysisandbepreparedtopresentitinclass.

TheseExerciseswillhelpyoudevelopa fullerunderstandingof thematerial,prepare foryourexams,andultimatelybecomeabetterlawyer.

2.HowtoPrepareforExams

Bothforyourexamincivilprocedureandeventuallyforthebarexam,properpreparationandstrategyareinstrumentalinyoursuccess.Lawschoolexamstypicallymeasureyourknowledgeofthevariousrulesanddoctrinesthatyoulearninclassandintheclasstext,andyourabilitytoapplythosexliirulesanddoctrinestofactpatterns,someofwhichmaybeclosecallsorinthe“grayarea.”

TheKeyConceptsandQuickSummarysectionsshouldgiveyouabigpicturesummaryoftheconceptsforwhichyouwillberesponsible.Makesureyouunderstandtheseissuesandthe underlying analysis that is discussed in this book and during class. If you create anoutline,whichmanystudentsfindhelpful,theissuesidentifiedinthesesectionsareagoodstartingpoint.Also,payattentiontothelanguagethat isboldedinthetextoftherules—thesearekeyphrasesthatyoushouldbefamiliarwithandthatyoumaywanttouseinyouranswers.Youroutline and theKeyConcepts andQuickSummarywill helpyou to getprepared todiscusstherulesanddoctrines,buthowdoyoupreparetoapplythoserulesanddoctrinestothehypotheticalsinyourexamquestions?ThatiswheretheExamplesandExercisescomein.IfyoucanabsorbhowtherulesapplyinthedifferentcontextspresentedintheExamplesandExercises,youwillbewellonyourwaytounderstandinghowtherulesworkinpracticeindifferentcontexts.Therearealsomanygoodsourcesofadditionalquestionsandanswersifyouwantmorepractice.

Thewaythatyoupresentyourknowledgeisalsoimportant.Alogicalpresentationoftheinformation, following the IRAC (Issue, Rule, Analysis, and Conclusion) approach (orwhateverlegalwritingapproachyourlawschoolteaches)canmakeabigdifferenceinhowyourexamanswersarereceivedandgraded.Finally,besuretofollowgeneraltesttakingadvice:takeadeepbreathandrelaxattheoutsetof the exam; read the instructions carefully and make sure you follow them; read thequestions carefully and make sure you answer the actual question; review the issuespresentedinclassandmakesureyouaddressallissuesraisedbythequestions;considerallthe facts in the question, and make sure to address the facts that work against yourconclusionaswellasthosethatfavorit;andbudgetyourtime.EnjoyyourstudyofCivilProcedure.Itcanbefascinatingandrewarding,evenifyouarenotheadedtoacareerinthecourtroom.

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AnOverviewofCivilLitigationandDisputeResolution

A.TheStudyofCivilProcedure

Civil Procedure is regarded by many as the most difficult course in law school.Notwithstandingsomepossibleimplicitbiastowardthisview,wethinkthisperceptionislargely accurate. Civil Procedure is toughbecause it involves learning anew languageofproceduraljargonandanunfamiliarsetofproceduralrulesaswellasunfamiliardoctrinalrulesandnotionsofpublicpolicyandjurisprudence.Whileall lawschoolcoursesinvolvethistosomedegree,CivilProcedureseemstodomoreofthis.Because it involves the litigation process, Civil Procedure, also often intertwines withquestionsofevidence,aswellastouchingondisputeresolutiongenerally,whichbringstobear another body ofwork regardingAlternativeDispute Resolution (“ADR”) (discussedfurtherbelow).Ourgoalinthiscoursebookistodemystifythematerialbypresentingit inthecontextofboththerulesandthepracticeoflaw.Webelievethiscoverageallowsabetterandmorepractical understanding of litigation and the role civil procedure plays in the litigationprocess.Althoughtheremaybemomentsinclassorpassagesintheassignedreadingthatseemtoo“ivorytower,”rememberthatyouwillbe inthehurley-burlyof lawpracticeandtherealworldsoonenough.Takethistimeinlawschooltolearnnotonlytheconcepts,technicalities,andmechanicsofcivillitigation,butalsotoappreciatethelargerhistorical,economic,social,political,andpsychologicalcontextofdisputing.Inthatvein,thisbookwilloccasionallyciteto important secondary literature that you can consult for further reading either in thiscourseorlaterinlawschoolorinpractice.

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B.ProceduralRulesandtheRulemakingProcess

Rulesoflitigationprocedure,suchastheFederalRulesofCivilProcedure,alsohavetheforceof law and are in effect statutes governing a specialized field. The Federal Rules of CivilProcedure are the statute-like law of Civil Procedure. There are also Federal Rules ofAppellateProcedure,Evidence,Bankruptcy,andCriminalProcedure.Theyshouldbereadandappliedinthemannerinwhichyouwouldreadandapplystatuteseventhoughtheygenerallycomeintobeinginamannerdifferentthandoesastatute.The Federal Rules are not usually enacted by Congress (although Congress can passlegislation to establish, alter, or abolish a procedural rule applicable in federal courts).Rather,theyresultfromaprocessinwhichanAdvisoryCommitteestudiesissuesrelatedto

anaspectofprocedureanddraftsaneworamendedrule.TheAdvisoryCommitteemembersareappointedbytheChiefJustice.

TheproductofaparticularAdvisoryCommittee(e.g.,ontheCivilRules,theAppellateRules,theEvidenceRules, etc.) is in turn reviewedby the StandingCommitteeonPractice andProcedure of the U.S. Judicial Conference. Then comes review by the entire JudicialConference(abodycomposedoftheChiefJudgeofeachCircuitCourtandaselectedDistrictJudgefromadistrictwithineachCircuit).TheproposedRuleorAmendmentisthenreportedtotheSupremeCourt,whichinturnmaypromulgatetheRuleorAmendmenttoCongress.IfCongressdoesnotactwithin180daystostoporalterthepromulgatedrule,itbecomeslawas apart of theRulesofProcedure.Ordinarily, it takes four to fiveyears for aproposedAmendmenttorunthegauntletofthevettingprocessandbecomepartoftheRules.ThisprocessisestablishedbytheRulesEnablingAct(28U.S.C.§2072),originallyenactedin1934.TheconceptoftheEnablingActwasthatthejudiciary,asthegroupmostfamiliarwithcourtoperations,shouldhaveprimaryauthorityforpropoundingtherulesthatwouldgovern court operations. But to ensure that judicially-promulgated Rules were not tooinsularanddidnotfavorjudicialinterestsattheexpenseofotherinterests,theEnablingActprovidedamechanismbywhichCongresscouldstepinandstoppromulgationofaRuleorreviseapromulgatedRule.

Forthemostpart,Congresshasnotintervenedandtherulemakingprocesshasremainedlargely theprovinceof the judiciary.Arguably, the rulemakingprocesshasbecomemorejudge-centricovertheyears.LawyersandlawprofessorswereheavilyrepresentedontheoriginalCivilRulesAdvisoryCommitteeanditsReporter,799CharlesClark,deanoftheYaleLawSchool,alongwithUniversityofMichiganLawProfessorEdsonSunderlandwerehighlyinfluential;Clarkregardingpleading,joinder,andmotionswhileSunderlandwasthe“father”ofthediscoveryrules.

Today,althoughtheReporters(personschargedwithdraftingtheparticularsofaRuleandaccompanyingCommitteenotes)ofAdvisoryCommitteescontinueusuallytobelawfaculty,almostallcurrentCommitteemembersare judges,withonly fouror fivepractitionersorprofessors on what is usually a 15-member Committee. Some have criticized thisdevelopment,whichhasheldswayfor30yearsorso.Forthepast30years,asaresultof1988legislation, therulemakingprocess itselfhasbeenveryopen,withmandatedpublichearingsandrecordsofthehearingsandsubmissionsbyinterestedparties.

C.TheHierarchyofConstruingtheFederalRules

Because theFederalRulesofCivilProcedureareessentiallystatutesgoverning litigation,interpreters(lawyers,judges,lawprofessors,policymakers)generallyapproachthemasifconstruingastatute.ThoseseekingtoapplyorunderstandaCivilRuleconsider:The Text of the Rule. As with statutes, the language of the Rule is the primary source for determining its meaning. But as with statutes, language can be indeterminate, inconsistent, or ambiguous. For the most part, however, a careful reading of the text of the Rules will reward you with a good understanding of the Rules. For beginning law

students, there will be some difficulties presented by technical language in the Rules that cannot be well understood until students become more familiar with the history and traditional application of a textual term in the Rules. The “Legislative” History of the Rule. Conveniently, each Rule of Civil Procedure is accompanied by notes of the Advisory Committee concerning the Rule, beginning with the notes accompanying the Rule’s original promulgation and including notes accompanying all subsequent amendments. Sometimes, these notes are short and merely state that an amendment made technical but non-substantive changes. But many of the Committee Notes provide an extensive explanation of the background of the Rule and its meaning. In addition, the records of public 800hearings and the commentary received by the rulemakers are also part of the history and background of the Rule but are less authoritative than the Committee notes. The Purpose and Objective Underlying the Rule. In addition to the intent of the drafters reflected in the Committee Notes and official record of the Committee, other evidence of the purpose and intent of the rules may be reflected by the context surrounding the drafting of a rule, particularly the perceived problem to which a Rule amendment was responding. Caselaw Construing the Rule. To the extent that Rule text and drafting history does not provide a definitive construction of the Rules, caselaw interpreting the Rules takes on particular importance. Once established, the cases construing the Rules become, at least as a practical matter, almost as important as the text of the Rules, even more so for parts of the Rules that are not clear on their face. Now that the Civil Rules are more than 75 years old, there is so much interpretive caselaw that precedent has to a large extent supplanted the type of de novo analysis of text and drafting history that would normally be important when construing rules or statutes for which there is comparatively little caselaw. For some Civil Rules (e.g., discovery rules) that are not often the subject of appellateopinions,trialcourtdecisionscantakeonparticularimportance.Wherethebulkofcaselawistrial-based,thisalsohastheeffectofflatteninghierarchybecausedistrictcourtsarenotbound by the opinions of one another. But because there is not a formal hierarchy, theprominenceofparticulartrialjudgescantakeonadditionalimportanceindeterminingtheimpact of a district court decision construing a Rule. In addition, informal custom andpractice inagivenlegalcommunitymaybeparticularly important indeterminingwhatarule“means”andhowitisappliedinlitigation.

Where an issue is new or novel and there is little existing precedent, early trial courtdecisions on the matter become especially influential. For example, in early 2012, aMagistrateJudge’sdecisionondocumentproductionreceivedsubstantialattentionbecauseit was the first opinion approving of the use of predictive coding for801the review ofelectronically stored information that is the subject of a document request.SeeMoore v.PublicisGroupe,287F.R.D.182(S.D.N.Y.2012).

For those interested in further examination of approaches to interpretation, leadingstatutory interpretation texts can be very helpful because the Federal Civil Rules areessentiallystatutesandbecausemanyimportantCivilProcedureissuessuchasjurisdictionandvenuearegovernedbystatute.

D.FederalProceduralStatutes

NationalstatutesarefoundintheU.S.Code(whichisthegovernment’sofficialpublication)andintheU.S.CodeAnnotated,aWestpublication.Becausethelatteralsoincludescitationstocases interpretingCodeprovisionsandreferencetodraftinghistory, lawyersgenerallyfind this more helpful than merely reading the Code alone. The Code is organized intonumbered“Titles” thatdealwithparticulartopics.Title28governs federalcivil litigationprocedure.Whenyouseeacitationsuchas28U.S.C.§1331youknowitisaproceduralstatutejustasyouwillcometoknowthatsectionsinTitle42dealwithcivilrightsandthoseinTitle29deal with labor law. The rules and statutory supplement assigned for this course inconjunctionwiththistextbookwillalmostcertainlyincludeselectedprovisionsofTitle28.

There aremany good sources of information regarding approaches to interpreting laws,rules,andotherlegalwritings.See,e.g.:

•AntoninScalia&BryanA.Garner,READINGLAW:THEINTERPRETATIONOFLEGALTEXTS(2012);

•LindaD.Jellum&DavidCharlesHrcik,MODERNSTATUTORYINTERPRETATION:PROBLEMS,THEORIES,ANDLAWYERINGSTRATEGIES(2ded.2009);

•WilliamD.Popkin,MATERIALSONLEGISLATION:POLITICALLANGUAGEANDTHEPOLITICALPROCESS(5thed.2009);and

•WilliamN.Eskridge,Jr.,INTERPRETINGLAW:APRIMERONHOWTOREADSTATUTESANDTHECONSTITUTION(2016).

WhatyoulearnaboutcontractinterpretationcanalsobeappliedtoconstruingtheFederalRules and procedural statutes.See, e.g., Joseph M. Perillo, CALAMARI802&PERILLOONCONTRACTS(6thed.2009);E.AllanFarnsworth,CONTRACTS(4thed.2004).

E.TheCriminal-CivilDifference

Thisisacourseincivildisputeresolution,notcriminallaworprocedure.Criminalcasesnotonly involve the obvious difference of prosecution by the government but also involvedifferent standards of proof (“beyond a reasonable doubt”rather than civillitigation’s“preponderance of the evidence”standard) and potential implication ofdifferentconstitutionalissues(e.g.,righttocounsel,againstself-incrimination,andagainstunreasonablesearchesorseizuresincriminallitigationvs.righttojurytrialanddueprocessincivillitigation,althoughdueprocessisoftenanissueincriminallitigationaswell).

F.BurdensofProofandStandardsofProof

Beforelaunchingintothespecificsofcivillitigation,ithelpstohaveagoodgraspofsomebasic concepts that are often tossed around but also may be insufficiently explained,especiallyforthosenewtothefield.Theburdenofproofisanimportantconceptinlawandlogic.Lawgenerallyisreluctanttodepartfromthestatusquounlessthepartyseekingthedepartureshoulderstheburdenofprooftojustifytheaffirmativereliefsought(e.g.,aninjunctionormoneyjudgment).Inmostcases,itisprettyclearthatthepersonbringingthelawsuithastheburdenofproofbecausethislitigant(the“plaintiff”)isseekingsomethingfromtheopposingparty(the“defendant”).Forexample,ifthedefendanthasbreachedacontractwiththeplaintiff,thestatusquomaybethatthedefendanthasthemoneyandtheplaintiffisunpaid.Theplaintiffmaybeentitledtopaymentforworkdoneorgoodssupplied,buttheplaintiffwillneedtoprovethatthisisthecasebeforeacourtwillorderthedefendanttopayfundstotheplaintiff.Similarly,thedefendantmayhavenegligentlydriventhrougharedlightandhittheplaintiffinacrosswalk.Buttheplaintiffwillhavetoprovethistothesatisfactionofthelegalsystem—andwillhavetoproveuptheamountofdamagescausedbythedefendant’snegligence—inordertogainajudgmentinitsfavor.Moretechnically,burdenofproofinlawreferstotwodistinctconcepts.Oneistheburdenofproduction—ofcomingforwardwithinformationorevidence,oratleastaresponse.Forexample,ifadefendantmakesaproperlysupportedmotion803forsummaryjudgmentasdescribedinChapter16,theplaintiffhasaburdenofproductiontorespondtothemotion.Ifitfailstodoso,themotionmaybegranted.

Theother sense inwhich thephrase is usedmeans theburdenofpersuasion,which isusuallywhatlaypersonsmeanwhentheytalkabouttheburdenofproof.Thepartyseekingachangefromthestatusquohastheburdenofpersuasion.Unlessitshouldersthisburden,nochangeinthestatusquowillbeorderedandhencenorelieffortheplaintiff.Theburdenofpersuasiondiffersinlawdependingonthetypeofcaseorclaimatissue.Lawrecognizesthreebasicburdensofpersuasion.

•PreponderanceoftheEvidence.Underthisstandard,theburdenofpersuasionismetsolongasthepartybearingtheburdenhasproducedatleastsomewhatmoreevidenceontheissuethanthepartythatdoesnotbeartheburden.

Thepreponderancestandard isoftendescribedasone inwhich theburden issatisfied ifthere is even a feather’sworthmore evidence on the side of the partywith the burden.Imaginethemetaphorofthescalesofjusticeandthattheevidenceoneachsideofaquestionis inequipoise.Theadditionofasingle featheronthescaleof thepartywiththeburdensatisfiesthepreponderancestandard.Usingtheyardstickofpercentages,thepreponderancestandardis50percentplusafeather.

Thepreponderancestandardistheonemostwidelyusedincivillitigation.Itappliestotortclaims based on negligence, breach of contract disputes, property disputes, and moststatutoryclaims.

•Clear and Convincing Evidence.Under this standard, the party with the burden ofpersuasionmustshowbyclearandconvincingevidencethatitisentitledtoprevail.

Theclearandconvincingstandardmeansthatthepartywiththeburdenmusthavemorethanaslightadvantagewhencomparingevidenceforandagainstitsposition.Imagineonceagainthescalesofjustice.Tosatisfytheclearandconvincingstandard,thescalesmustnotonly be uneven but also must tilt distinctly in favor of the party with the burden ofpersuasion.Usingtheyardstickofpercentages,theclearandconvincingstandardisusuallyexpressedas60–70percentcertainty,althoughthereisnouniformagreementforusingthismeasuringstick.

Theclearandconvincingstandardisappliedtocivilclaimswherethelegalsystemismoreconcernedthanusualaboutwrongfullyholdingthedefendantresponsible804andtendstobeapplied inclaims thatareeitherdisfavored forpublicpolicy reasons (e.g.,defamationbecause it chills free speechor requests forpunitivedamagesbecause thismayblur thecivil/criminaldistinction)orhasparticularlybadconsequencesforalosingdefendant(e.g.,fraudclaimsthatcanwreckareputationaswellascreatingtortliabilityinwhatotherwisewouldhavebeenamerebreachofcontractsuit).

•BeyondaReasonableDoubt.Thisstandard,usedincriminalprosecutions,requiresthatthefactfinderhavenoseriousdoubtsabouttheguiltofdefendant.

Juriesincriminalcasesarecommonlyinstructedthatareasonabledoubtisonethatwouldmakeapersonhesitateaboutanimportantdecision.Ifyou’renotsurethatahousehasasturdyroofandbackoutofbuyingforthatreason,youhaveareasonabledoubtaboutthehome’sconstruction.Areasonabledoubtdoesnotrequirethattherebenodoubtatall,onlythatthedoubtbesufficienttoforgoordelayaction.Prosecutors typically have good conviction rates despite this heightened burden ofpersuasion.Forexample, itmightbepossiblethat thecriminaldefendantrunningfromamurder scene holding a blood-soaked knife and showing signs of a scuffle was not theperpetratorbutabsentotherevidence(e.g., thedefendantwasseenscufflingwithotherstryingtoprotectthevictim),ajurorwouldbeunlikelytoharborreasonabledoubtaboutthisdefendant’sguilt.Expressedasapercentage,beyondareasonabledoubtconnotessomethinglike90percentorbettercertainty,althoughthereisnouniversalagreementonthispoint.

G.DisparatePositions,DisparateResources,andTheirImpactonLitigation

Anunfortunateaspectoflitigationandlawisthemaldistributionoflegalresources.Aswithmosteverythingelse, legalresourcesandadvantagearedisproportionatelydistributedinsociety.Certainlegaldevicessuchasthecontingencyfeemaypartiallyleveltheplayingfield,buttheplayingfieldremainsfairlyslantedinfavorofsociety’s“haves”(and“havemores”)ratherthanthe“havenots”(orthosewhohaverelativelyless).

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Decadesago,anow-prominent lawprofessorcaptured thisconceptwell inanowfamousarticle.

See Marc Galanter, Why the “Haves” Come Out Ahead: Speculations on the Limits of Legal Change, 9 L. & SOC’Y. REV.95 (1974). This article has been cited in more than 800 scholarly articles; it’s a true classic in that it has affected the thinking of many later writers and has been the subject of its own seminar.

Hearguedthatevenwheretherearelegalrulesfavorabletohave-notlitigants(suchastheminimalrequirementsforpleadingacaseprovidedbyFederalRule8),the“haves”wouldnonetheless do well in litigation because they tend to be“repeat players”who havesubstantial ongoing experience with litigation while the “have nots” tend to be“oneshot”playerswholitigateperhapsaslittleasonceinalifetime.Asaresult,therepeatplayersdevelopanexpertise,economyofscale,andsavvythatpermitsthemtodobetterinlitigationthanonemightexpectjudgingsolelyfromthemeritsofacaseortheoverallstructureoftherulesorthesubstanceoftheapplicablelaw.This insight, once novel, is now widely accepted. Different socioeconomic and politicalgroups react differently to it, however. Repeat players see nothing amiss and point topotentiallycountervailingconditionssuchassympathyfortheunderdog.Oneshotplayersandtheiralliesfinditaregrettableaspectofthestatusquoinwhichinequalitiesarenotonlythenormbutarecumulative.Thatis,thosewithlessmoneyalsotendtohavelesseducation,lesspoliticalpower,andfeweroptions.Whilethiscoursebookisnotintendedtobeapoliticalscreed,neitherareweblindtotheobviousrealitiesofmodernsociety.Inassessingtheutilityofcivillitigationandconsideringanyreformorassessingcaseoutcomes,oneshouldalwaysbecognizantofthedistributionalaspectsofalaw,rule,case,doctrine,orsystem.Wesaythisasgroupofauthorswithmixedpolitical attitudes. As individuals, we may have our preferences about Democrat vs.Republican,regulationvs.markets,andminimalgovernmentvs.comprehensiveregulation.But as lawyers and teachers,we all agree that civil litigation should aspire to apply thesubstantivelawaccurately(evenifitissubstantivelawthatsomeofusmightindividuallydislike),thatlitigationprocedureshouldfacilitatethis,andthatunequallitigantresourcesshouldnotinterferewiththesegoals.ThisconceptiscapturedwellintheveryfirstFederalRuleofCivilProcedure.

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Scope and Purpose

These rules … should be construed, administered, and employed by the court and the parties to secure the just, speedy, and inexpensive determination of every action and proceeding.

Relatedly, students should realize that theRulesofCivil Procedure, like all legal rules ofwhichweareaware,arerulesofreason.Theyarenotintendedtobeappliedinisolationbutasawhole.Theyarenottobereadsohyper-literallyastobringaboutanabsurdresult.Neither should theRules produce litigation activity and expense disproportionate to thedisputeinquestioninlightoftheinterestsofthelitigantsandthejusticesystem.Asenseofproportionalityisrequiredwhenconstruingandapplying theRules.Forexample, thescope of discovery is broad, extending to anything relevant to any claimor defense in acase—but the courtshave substantial power to control and to restrict discoveryof evenrelevantmatterinordertoapplytherulesinawayappropriatetothecontroversyathand.

H.AssessingtheCaseandMappingOutaStrategy

Afterprospectiveclientintake,investigation,andresearchchecksout,theprospectiveclientbecomesanactualclientrepresentedbycounsel.Nowit’stimetostrategizeaboutthecaseandtodeterminehowbesttoproceed.Initialstrategicconsiderationsarediscussedbelow.

•Figuringoutwhat thecase isabout.Everygood lawyer thinks it is important tohave a“theory of the case”—a view as to what really happened, what the lawrequires or permits under such circumstances, how best to explain thematter tojudgesandjurors(andperhapstotheoutsideworldifthecaseisnewsworthy),andwhatreliefwillbesought.Agoodtheoryofthecaseinvolvesagoodnarrative.

ANoteonStorytelling.Lawyershavetobeabletotellacompellingstoryonbehalfoftheirclients.Wedon’tmean“story”inthenegativesensesometimesassociatedwiththeterm(asin“that’sjustastory,”ora“storybook”descriptionthatdefiesreality).Wemeanarealisticaccountofthematterthatmakesnarrative807sensesothatthoseunfamiliarwiththematter(like judges, jurors,opponents, and insuranceadjusters) canunderstandwhathappened,appreciateyourclient’sposition,andagreewithitinspiteoftheadversarialopposition.Agoodtheoryofthecaseisnotblindlyone-sidedorself-servingbutshouldtellacompellingstorythatmakesthejudgeorjurywantyourclienttoprevail.Aneffectivenarrativedoesnotoverstatethecasebutappreciatesboththestrengthsandtheweaknessesoftheclient’sclaimandadjuststhenarrativeandtheplannedproofaccordinglytohighlightthestrongpointsoftheclaimordefenseandattemptstodefusetheweakpointsasmuchaspossible.

•Whether to sue.This includes not only a comparison of civil litigation and itsalternatives (see thediscussionofalternativedisputeresolutionbelow)butalsoadetermination of whether the matter is reasonably susceptible of a negotiatedresolutionwithouttakingthestepofsuing.Inadditiontothetacticalandlogisticalconsiderationsofdisputeresolution,counselshouldevaluatethemeritsofthecases,availableremediesandthedegreetowhichtheymatchclientobjectives,andthecostsof litigationascompartedtoalternatives. Incalculating thecost,considernotonlymonetaryexpendituresbutalsotheemotionaltollontheclientandaffiliatedpersonsaswellasthetime,disruption,andinconvenienceoflitigation.

Counselmaybeabletoresolvethematterwithaphonecallora“demandletter”settingforththeclient’ssituationandsuggestedresolutionof theclaim.Theremayevenbe insuranceadjustersorotherrepresentativesofaprospectivedefendantalreadytryingtoachieveaninformalsettlement.

Partofthemarkofagoodlawyerisappreciatingthedegreeofformalityanddetailrequiredforeachcaseoreachstageofthecase.Onegoalofeffectivelawpracticeistodeliverthebestoutcomefortheclientinrelationtothestakesinvolvedandcostexpended.Itwouldnotbegoodlawyeringtospenddayscraftingandsupportingadetaileddemandletterandexhibitsifthedefendantwaswillingtoofferthesamesettlementmerelyuponreceivingaphonecall.

•WhatToSeekinRelief.Intakingacase,counselmusthaveatleastaroughideaofwhattheclientwants.Itcouldbemoney,changedbehavior,protection,adefinitivestatementastofault,orsomecombinationofallofthese.Usuallyaclientisprimarily

interested in compensation. But the client may also be interested in an orderremoving the neighbor’s swing set fromhis land or an affirmation that she is theowner of a green 2010808Toyota, or that the fired employee stay away from theworkplaceandnotinterferewiththeongoingworkofothers.Sometimes,theclientmaywantsomethingassimpleasanapology—inwhichcaseinformalactionmaybemore successful than full dress litigation.Chapter 20discussesremediesin moredetail.

I.StagesofDisputeResolutionandtheLitigationProcess

Disputessometimesliedormantorunrecognizedforalongwhile,perhapssolongthattheapplicablestatuteoflimitationshasexpiredandnoclaimcanbemade.Butonceadisputeisrecognized, its processing and resolution generally follow a pattern beginning withinvestigation, informal negotiation, perhaps exploring ADR devices (e.g., arbitration,mediation), and then moving to litigation, although in many cases, commencement oflitigationiswhatservesforpromptnegotiationanduseofADR.

Litigationgenerallyfollowsapatternandproceedsinthefollowingstages:•Pleading.Litigation always involves the exchange of acomplaint(Rule 8)andanswer(also Rule 8) and often acounterclaim(Rule 13) and reply to thecounterclaim.Wheretherearemultipleplaintiffsordefendants,theseco-partiesmayhavecross-claims(Rule13)againstoneanotheraswell,withanswerstothecross-claims. In addition, an existing defendant may implead a third-party defendantthroughathird-partycomplaint(Rule14).Rule11placescertainobligationsonthepleadings as well as motions and other papers. Rule 10 governs the captions ofpleadingswhileRule15dealswithamendmentstopleadings.

•“Early”MotionPractice.Amotionisarequestthatthecourtenteranorder.Motionpracticeisasubstantialpartofcontemporarycivillitigation.Rule12providesalistofcommonmotionstodismissorothermotionsattackingthepleadings.Inaddition,there are a variety of possiblediscovery motionssuch as forprotectiveordersrestrictingdiscoveryormotionstocompeldiscovery.

•DisclosureandDiscovery.Disclosureanddiscoveryistheexchangeofinformationbymeansotherthaninformalinvestigation,reviewoftheopposition’sdisclosures,orthe conducting of one’s own discovery. Discovery devices (Rules 26–37)includeinterrogatories,document requests,depositions, andrequests for anadmission.

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•Additional Post-Discovery Motion Practice.After discovery concludes, anotherroundofmotionpracticetypicallyensues.Summaryjudgmentmotions(governedbyRule56)areacommonfeatureofpretriallitigation.Ontheeveoftrial,theremaybemotions“inlimine”(Latinforatthethreshold)forpretrialevidencerulings.As

trial approaches, there is typically a final pretrial conference with the judge andadoptionofafinalpretrialordertogoverntheproceedings.

•Trial.At trial, there typically isjury selection,opening statements,directexaminationofwitnesses,cross-examinationofthewitnesses,closingargument,andjurydeliberationpriortorenderingaverdict.Attrial,therulesofevidenceandthecustomandpracticeoftrialconductplayanimportantrole.Inajurytrial,thejuryrendersaverdictafteritconcludesitsdeliberations.Inabenchtrial,thecourtroomproceedings simply adjourn and the judge in the privacy of chambersauthorsfindingsoffactandconclusionsoflawpursuanttoRule52.Attrial,theremaybemanymotionsregardingtheevidenceortrialprocedure(certainlytherewillbeobjections). In addition, the parties may move forjudgment as a matter oflaw(Rule50(a)),fortheadoptionofparticularjuryinstructions,andsoon.Aftertrialandverdictorfindings,ajudgmentisentered.

•Post-TrialMotions.Aftertrial,commonpost-trialmotionsmayseekajudgmentasamatterof law(Rule50(b)), impositionofcosts(Rule54and28U.S.C.§1920)andcounselfees(pursuanttovariousstatutesorcommonlawdoctrinethatdonotapplyin most cases because, in general, each side bears its own legal fees), or anewtrial(Rule 59). Further after trial, a party may move tovacate or modify ajudgment(Rule 60). Posttrial motions under Rules 50 or 59 make the judgmentinoperativeuntilthecourthasruledonthemotions.Oncethesemotionsareresolved,alosingpartymayappealbutmustdosowithin30daysofthejudgmentinordertobetimely.Thejudgmentmaybeforeithermonetaryrelieforinjunctiverelieforsomecombinationofthetwo.Thewinnermayengageinthejudgmentcollectioneffortsdesignedtoforcepaymentifpaymentisnotmadevoluntarily.AsdiscussedinChapter20,entryoffinaljudgmentoperatestoprecluderepetitivesubsequentlitigationbythepartiesorthosesufficientlyalignedwiththeparties.

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J.LitigationPlanning—AttheBeginning,ConsidertheEnd

Oncefocusedonlitigation,counselneedstoaddressanumberofconcerns.Inmappingoutastrategy,counselshoulddeterminewhattheclientwantsattheendoftheprocessandhowtheclient’srequestedreliefwillbeimplemented.Onceenvisioningthegoalsandformofafinaljudgment,counselcanthink“backward”aswellas“forward”bymakingsurethatthereisaplantoachieveeachstepnecessarytoobtaintherequiredresult.

Forexample,ifthegoalisalargemoneyjudgmenttocompensateforbreachofacontract,counselshouldconsider:

•whatthejudgmentwilllooklike;•whatthejuryverdictformandanswerswilllooklike;whatclosingargumentsshouldbemade;

•whatjuryinstructionsshouldbegiven;

•whatevidenceshouldbeintherecord;

•whatdiscoveryisnecessarytoobtainthatevidenceandavoidpretrialdismissal;

•howthepleadingsshouldbecraftedtofacilitatethatdiscovery;and

•whatinformalinvestigationisnecessarytocraftthosepleadingssatisfactorily.

Whiledoingthis,counselshouldalsohaveinmindpotentiallyeffectivemeansofsettlingthedispute, including “win-win” situations in which the defendant can provide satisfactoryrecompense to the client in a relatively painless manner. For example, if the breach ofcontractwasshrinkageoftheclient’ssalesterritory,perhapstheclientwouldbebetteroffwith a reinstated, redrawn or expanded territory, something the defendant iswilling toprovidebecause thisallows it toavoidhaving to immediatelypaycash toyourclient.Orperhapsatortplaintiffwillacceptaseriesofcompensatorypayments,whichiseasierforthedefendanttoafford,ratherthaninsistingonlumpsumcompensation.

With these long-term perspectives, counsel then can better execute the following stepsrequiredforpursuingclientgoalsthroughcivillitigation.

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1.DeterminingWhotoSue

Thisisoftennotaseasyasitsounds.Sure,youknowwhogenerallywrongedtheclient.Butwhat is the legal entity that owns or operates the sandwich shop that engaged indiscriminatoryhiringorleftthefloorinadangerousconditionresultingintheclient’sfalland injury? Presumably, counsel has traced the relevant business records and identifiedrelevantindividualsororganizationsatfault.Buttheremaybegapsinknowledgethatcanonlybeclosed,ifatall,withtheaidthelitigationprocessanddiscovery.Somedefendantsmayneedtobenamedas“JohnDoe”or“JaneDoe”partiesuntilyougetenoughinformationtoidentifythem.

Evenwhenyouknowwhoeveryoneis,youstillmightnotwanttosueeveryone.Forexample,some arguably culpable peoplemight be importantwitnesses that can incriminatemoreculpablepeople.Whysuethebarpatronwhosimplyfailedtoshout“duck”andriskmakinghimdefensivewhenwhatyoureallywantisforhimtoimplicatetheotherbarpatronwhohittheclientwithabeerbottle?Likewise,youmightwishtoconcentrateonpartieswithinsuranceorsufficientwealthtocompensatetheclient.Forexample, inabarroombrawlcase,yourbesttargetfinanciallyisoftenthebarthatfailedtoprovideadequatesecurityorserved liquortoobviouslydrunkpatrons.Thebarordinarilyhasmore liability insuranceandmoremoneythanthephysicalperpetratoroftheassault.Conversely,youmayinsomecasesmakeaspecialefforttosuesomepartiesnotbecausetheyareespeciallyculpableorwealthybutbecausetheirpresenceinthecaseconferscertainprocedural advantages. For example, as youwill see inChapter1, in a state court actionnamingadefendantfromthesamestateastheplaintiffcanpreventout-of-statedefendantsfromremovingthelawsuitfromstatecourttofederalcourt.Plaintiffswhopreferstatecourtto federal court frequentlydo this—and it isperfectlyethicalas longasyourdecision to

namethein-statedefendantcomportswithFed.R.Civ.P.11(SeeChapter5)evenifthein-statedefendantisnotyourprimarytargetonthemerits.

2.DeterminingWheretoSue

Forumselection(oftendiscussedunderthepejorativeof“forumshopping”)isasignificantpart of lawyering. In many cases, a prospective plaintiff may sue in more than onejurisdiction(e.g.,stateorfederal,NewYorkorNewJersey).Inchoosingbetweendifferentstates,counselneedstoconsiderthedegreetowhichcertainpossibleforumslacksufficientcontact with certain defendants (Chapter 2on personal jurisdiction fleshes this out).Assuming that several different stateswould all bepermissible locations for the lawsuit,counselmustthenconsiderpracticalfactors812suchasthecompositionofthebenchandjurypoolaswellasthevenuewithinthestatethatwouldobtain(e.g.,ruralv.urban).Someplacesaremoreplaintifffriendlyandotherstendtobemoresupportiveofdefendants.Somejurypoolsareknownforhighawardsandothersarestingy.

StateCourtstendtobeorganizedonacountybasis.Urbanstatecourtdistrictsareusuallyonecounty,butsomestatecourtdistrictsinruralareascanencompassseveralcounties.Buteventhelargeststatecourtdistrictsareusuallynotaslargeasfederalcourtdistricts.Thismeansthatthefederaljurywillusually,butnotalways,bedrawnfromalargergeographicarea.Becausestatecourtdistrictsareusuallysmallerandmorecompact,youhaveabetterideaofthedemographiccharacteristicsofthejurypoolandwhethertheymatchupwiththedemographyyouwouldpreferforajurythathearsyourclient’scase.Federalcourtjudgesareappointed.Districtcourttrialjudgesandappellatecourtjudgesareappointedforlifeandcanonlyberemovedformisbehaviorsuchasconvictionofacrime.Bankruptcyjudgesandmagistratejudges(whooftenpresideoverdiscoverydisputesandotherpretrialmatters)areappointedforatermofyearsratherthanforlifebutotherwiseenjoysimilarjobsecurity.Statecourtjudicialselectionvaries.Althoughseveralstatesfollowsomethingclosetothefederalmodel,80percentofthestateshavejudicialelectionsofsometypeandinperhaps20statesjudicialelectionsseemclosetoindistinguishablefrommodernelectoral politics. State judges, having less insulation from electoral politics,may be lessindependentandlawyersalwayshaveconcernsthatajudge’srulingsmaybeinfluencedbythepower,prominence,andwealthofalitigantorcounsel—particularlyifthelitiganthasbeenasubstantialcontributorinthepastorcanretaliateagainstadislikedjudgeatthenextelectionthroughcampaigncontributions,attackadsontelevision,andthelike.

And,ofcourse,theremaybedifferencesintherulesofprocedureandtheirapplication.If,for example, state rules of civil procedure provide broader discovery and you are at aninformational disadvantage relative to the defendant, youmay prefer state court. Or thefederalproceduralrulesmaypermityoutojoinmoreclaimsanddefendantsinoneactionthandothestaterules.Ifyouwanttoensurethateveryoneconnectedwiththedisputeisbroughtintotheactionandthatallclaimsareaired,thisweighsinfavorofselectingfederalcourt—providedtherearenototherfactorsweighingmoreheavilyinfavorofstatecourt.OrstatelawprecedentmaymakeiteasierforaplaintifftosurviveaRule12dismissalmotionorasummaryjudgmentmotion.

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3.Judgevs.Jury

Oncewithinachosenforum,oneneedstodecidewhetherabenchtrialwiththejudgenotonlypresidingovercasepresentationbutalsomakingfindingsoffactispreferabletoajurytrial,assumingthatyouotherwisehaverighttoajurytrial(SeeChapter16).Ifoneoftheother parties to the case demands its right to jury trial, your desire for a bench trial isineffective. Inspiteofbilateralismof theright to jury trial, theremaybeagreementonabenchtrial(oratleastafailuretomakeatimelydemandforajurytrial).Theconventionalwisdomisthatplaintiffswantjurieswhiledefendantsareinclinedmoretowardjudges—butagain,becarefuloftheconventionalwisdom.Considerthetypeofcase,thejurypool,andthecharacteristicsofthebench.Youmayevenknowtheidentityofthespecificjudgeassignedtothebeforethetimefordemandingjurytrialhaslapsed.

4.ConsiderationsofApplicableLaw

Courtsdonotordinarilyapplygenerallegalprinciplesbutusuallyapplyspecificfederallaworthelawofaparticularstate.Theapplicablestatelawmaynotbethatofthecourt’shomestatebutindecidingwhatlawtouse,thecourtwillusethe“choiceoflaw”approachofthestateinwhichthecourtislocated.Inaddition,theconventionalwisdomisthatiftheissueisclose,mostjudgesoptforapplyingforumstatelawbecauseitisthelawwithwhichtheyaremorefamiliarandcomfortableandbecausethiscreateslessworkandreducedriskoferror(e.g,agoodjudgecanlearnalotaboutadifferentstate’slawinarelativelyshorttimebutwillalmostcertainlybemoreproficient inapplying familiar law). Inmanycases,stateto-statedifferencesinlawareminimal.Butwheretherearematerialdifferencesinpotentiallyapplicablestatelaw,counselmustthinkharderaboutwhichlawwillapplyandwhetherthechoiceoflawrulesofonecourtaremorelikelytoyieldfavorablelawthanthoseofanothercourt.

5.DecidingWhatClaimstoBring

AfterhavinginvestigatedandconductedaRule11analysis,youknowwhatclaimsyouarepermittedtobring.Butdoyouwanttobringallofthem?Somemaycreatesideissuesyoudon’twant.Ortheymaybeweaker,thusconsumingyourresourcesordetractingfromyourstrongclaims.Ontheotherhand,asdiscussedinChapter12,thescopeofdiscoveryinfederalcourtandmanystatecourtsislinkedtotheclaimsanddefensesthathavebeenpleaded.Ifyoudon’tpleadaclaim,youmaybedenieddiscoverythatisgenerallyhelpfultoyourcase.

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Realizeaswellthatyouarenotrequiredtogiveeachclaimthesameattention.Youcanpleadaclaimandthenleaveitrelativelyundeveloped.Forthatreason,mostlawyerspleadallnon-frivolousclaims,atleastattheoutset.Lateron,youmightamendthecomplaintanddeletesomeclaimsorstipulatetodismissal.Butyoudonotwanttounwittinglyomitaclaimandthenlaterrealizeitwasastrongbasisforrecovery.AsnotedinChapter20’sdiscussionofclaim preclusion, if a claim is not brought, it often cannot be brought later after theconclusionofthematter.

6.DraftingtheComplaint

Havingthoughtthroughthematterinlightofinvestigationandresearch,youarenowreadyto draft the complaint. In addition to determining the claims youwillmake, think aboutwhetheryouwantabarebonesdocument(asdiscussedinChapter6,relativelylittledetailisrequiredinmostcases)oronethatprovidesmoreofanarrativeorevena“settlementbrochure”foropposingcounsel.Or,ifwhatyoureallywantisadetaileddocumentlikelytopromptasettlementofferfromtheopponent,thismightbemoreeffectivelydonethroughawell-drafted (and not excessively bellicose) letter containing supporting documentationtabbedforeasyreading.

7.CraftingDisclosures

AsyouwilllearninChapter13,federalcourtsrequireeachpartytomakebasicdisclosuresat the outset of the case regarding information such as witnesses, documents, damagessought,andapplicable insurance.Oneadvantageofbeingaplaintiff is thatyouknowthelawsuitiscomingandcanbeginpreparation.Bycontrast,thedefendantusuallymustwaituntilitreceivesthecomplaintandthenbeginreactingtotheclaim.Plaintiffs’pre-complaintinvestigationwillrevealagooddeal—butnoteverything.Plaintiffsmustalsobereadytoexaminedefendants’initialdisclosures(requiredunderFed.R.Civ.P.26asdiscussedinChapter13)forconfirmationandstudythenewinformationprovidedbythedisclosures.

8.SeekingDiscovery

Afterassessingthedisclosuresontopoftheinformationyouacquiredinformally,youwillknowwhatinformationyoustillneedandcancraftadiscoveryplanforattainingit.Willyouneedexpertconsultantsorwitnessesinordertoprevail inthematter?Thisispartofthediscovery youmust provide but it helps to think about815retention and deployment ofexpertsinthecontextoftheoveralldiscoveryplans(andbattles)ofthecase.

Insimilar fashion,youcanvisualize theothersideof thecaseandanticipatedefendant’sinformationrequestsandpreparetorespond.Oftentheresponsewillbesimplytoprovidewhatisrequested.Buttherearedifferentmeansofprovidingrequestedinformation.Selectthetypethatismosteconomicalforyourclientandreflectspositivelyonyourclient—butrememberthatyouhaveethicalobligations.Youcannotdistortordestroyinformationthatisvalidlysubjecttodiscovery.

Finally,alongtheselines,considerwhethertoseekprotectiveorderslimitingdiscoveryaswellasmotionstocompeldiscoveryyouwishtoobtain.Thinkaboutwhichprotectiveordersare likely to be necessary. What types of protective orders? How do you support yourposition?Willadditionalresearchberequired?

9.ThePotentialUtilityofPretrialMotions

Asaplaintiff,thepracticalgoalinmostcasesistoavoidpretrialdismissalortrimmingofthecaseandtoobtainasettlementorjudgmentaftertrial.Defendantstypicallyhopeforpretrialdismissal of at least some claims and thuswill domore planning of Rule 12motions todismiss,Rule56motionsforsummaryjudgment,andthelike,whileplaintiffswilldevoteeffortstoplanningthedefenseofsuchmotions.Remember,however, thatnoteverycase

requiresextensivemotionpractice.Thismaynotbecosteffective,particularlyifamotionisnotlikelytosucceed.

10.AssemblingtheLegalTeam

Should you retain co-counsel for the case? On that note, should you prosecute the caseyourself—oristhisthetypeofcaseonwhichyoushouldaffiliateco-counselorevenreferthemattertoothercounsel?TheRulesofProfessionalConduct inmostcasespermit fee-sharingbetweenreferringcounselandtrialcounselsoit is lessexcusablethaneverforalawyertotakeonaclientifthelawyerisnotcompetenttohandlethematter.Inthepastwhenreferralfee-sharingwasbanned,lawyershadafinancialincentivetoholdontocasesthatmightbeoutsidetheircompetenceandresourcelevel.Buttoday,alawyercanserveasanintakelawyer,refermatterstospecializedcounselifnecessary,andstillbecompensatedprovidedtheclientconsentsandotherconditionsofABAModelRuleofProfessionalConduct1.5aresatisfied.

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11.LitigationasaSubsetofCivilDisputeResolution

Disputes often arise and are resolved without invocation of the courts. Although civillitigationremainsanoptionwhenlessformalmethodsfail,itisimportanttorememberthatmostdisputesareresolvedthroughinformalmethodssuchasshruggingoffsmallslightsandinjuries,negotiated resolution, administrative tribunals, mediation, arbitration, oranotherformofADR.

“Alternative” Dispute Resolution (ADR).Many in the legal profession (and laypersonsinvolved in dispute resolution) may object to our labeling non-litigation outcomes as“alternative”disputeresolutionandarguethatthecorrecttermis“disputeresolution”soasnottoimplicitlyfavororpromotelitigationasthedisputeresolutionnorm,whichtosomeextentoccurswheneverwelabelanythingbutlitigationtobethe“alternative.”

Althoughwe understand the sentiment and concede thatmost dispute resolution in theworlddoesnotinvolvecompleteadjudication,wecontinuetobelievethatADRisthecorrecttermbothbecauseofitshistoricalroots(thenon-adjudicatorydisputeresolutionmovementaroseasaproposedalternativepromotedbycriticsoflitigation)andbecauseinmostcaseslitigationisinfactthedefaultmethodofresolvingdisputeswhenthedisputantscannotagreeonanothermethod.Further,muchsuccessfulADRoccurs“intheshadowofthelaw”touseamemorablephrasepopularizedbytwoearlyADRscholars.When upsetwith the conduct of another person or entity, the “victim” has a number ofoptions ranging from simple endurance or forgiveness to full scale litigation. The mostprevalentformofADRisdirectnegotiationleadingtocompromiseandresolution.Wherethedisputantsareunabletoreachanaccommodationbythemselves,theymayinvoketheaidofaneutralthird-partyformediationoftheirdisputes.Ortheymaysubmitthemattertoarbitration,alessritualizedformofadjudication.Arbitrationmayalsobeagreeduponbycontractpriortothearisingofanactualdispute.Inaddition,thereareseveralcommonvariantsorhybridsofthesemajorADRdevices.

Negotiationis themost common formofdispute resolution. Just as thename implies, itinvolvesdisputantsdiscussingmeansofresolvingtheirdisputewithoutresorttotrialortrialsubstitutes. There is a substantial emerging literature regarding effective negotiation,mediation,arbitration,andotherADRmethodsthatiswellworthconsultingforanylawyer.

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ThebookinauguratingthemodernnegotiationdisciplineisRogerFischer&WilliamUry’sGetting to Yes: Negotiating Agreement without Giving In (1981), a classic, with severalsubsequentorrevisededitions.Keyinsightsofthebookarethatpeople(notonlydisputantsbutprospectivecollaborators)shouldbargainoverinterestsratherthanpositionsandthatmoreinformationandgreatertrustoftenimprovestheoddsforsuccessfulnegotiation.

Theillustrationtheyusedwasoneoftwopersonsfightingovertherightstoanorange.Ifbargainingoverpositions,thelikelyoutcomeissplittingtheorangedownthemiddle,aresultthatgetseach50percentofwhattheywant.Butwhatifitturnsoutthatonewantstheorangeforthepulptomakejuicewhiletheotherwantsitfortherindtobakeapie?Ifthepartiesknowthis,theycaneachget100percentofwhattheywant,atruewin-winsituation.Buttodevelop this information, the partieswill need enough trust and candor to produce thisinformationthatcanleadtoabetterresult.Limitsofclasstimewillpreventmostcivilprocedureinstructorsfromdoinganythingmorethan touching on negotiation theory or particular ADR techniques. Excellent sources forfurtherinformationinclude:

•StephenJ.Ware&ArianaLevinson,PRINCIPLESOFARBITRATIONLAW(2017);•MaureenArellanoWeston&StephenK.HUBER,ARBITRATION:CASESANDMATERIALS(3ded.2011);

•CarrieMenkel-Meadow,etal.,DISPUTERESOLUTION:BEYONDTHEADVERSARIALMODEL(2ded.2012);

•LeonardRiskin,etal.,DISPUTERESOLUTIONANDLAWYERS(5thed.2014);

•StephenJ.Ware,PRINCIPLESOFALTERNATIVEDISPUTERESOLUTION(3ded.2016);•JamesJ.Alfini,etal.,MATERIALONMEDIATIONTHEORYANDPRACTICE(3ded.2013);and

•RobertH.Mnookin,etal.,BEYONDWINNING:NEGOTIATINGTOCREATEVALUEINDEALSANDDISPUTES(2000).

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Important to negotiation is each respective party’s“BATNA” (best alternative to anegotiated agreement). For most disputants, this means the realistic range of likelyoutcomesifthematterisfullylitigated.Determiningthisrequirescounseltoassessboththechancesofwinning,thelikelydamagesawardedattrial,anyproportionalassignmentoffaultthatmayaffecttheaward,andadditionalpotentialitemsofrecoverysuchasprejudgmentinterest,costs,counselfees,orpossiblepunitivedamages.Inaddition,counselmustassesstherealisticoddsofcollectinga judgmentfromtheopponent.Iftheopponentistrending

towardbankruptcy,a“birdinthehand”settlementnowmightbebetterthanalargerawardaftertrialthatbecomesuncollectibleorreducedbecauseofbankruptcy.

Acommonapproachtoevaluatingacaseistocalculatethelikelyamountofdamagesthatcanbeprovenat trialmultipliedby theprobabilityofwinningon themerits regardinganegligence, contract breach, or statutory violation claim. For example, an unperformedcontractmayhave cost plaintiff $100,000 in lost revenue but there is a 50–50 shot thatdefendantcanpersuadeajudgeorjurythatthenonperformancewasexcusedbythe“forcemajeure”eventsbeyonditscontrol.Assuminga50–50shotatwinningattrial,thevalueoftheclaimis$50,000.If, however, the breach of contract is clear and there is no defensewith a possibility ofsucceedingandthecontractcontainsaliquidateddamagesclausestipulatingthat in theeventofbreach,$100,000willbepaid,theplaintiffappearstohaveaclaimwithanalmostironcladvalueof$100,000.Buteveninsuchcases,thevalueoftheclaimmayneedtobediscounted by the costs of pursuing the claim to even an almost certainly successfuljudgment,thepossibilitythatcollectingthejudgmentwillbedifficult(e.g.,ifthedefendantheadstoaforeigncountrythatrefusestohonorU.S.legalclaimsorfilesbankruptcy),andthepossibility,howeverminiscule,thatevenwhentheclaimisverystrong,thingscouldgowrongattrial.

Inacasethisstrong,plaintiffwouldordinarilynottakemuchofadiscount—butasalways,thetotalityofthecircumstancesisimportant.

Mediationinvolvesuseofaneutralthirdpartytofacilitatediscussionbetweenthepartiesandattempttoachieveanegotiatedresolutionthroughtheaidofthemediator.Althoughitiscontroversialinsomeacademiccircles,mostpractitionersagreethatitispermissibleforthemediator to express viewsabout the relative strengthof variouspartypositions andargumentssothattheycanbettergaugethelikelyoutcomesfromlitigationifthemediationisnotfruitful.

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Mediatorsaddvaluebymeetingseparatelywiththepartiestobuildtrustandhelpdevelopinformation in order to improve the odds for settlement. They can also (unless it isprohibited as too evaluative) provide a useful, arms-length assessment of the claim inservingasasoundingboardforthedisputants.

This divide over apt approaches to mediation is generally labeled a clash between “facilitative” mediation (the type most favored by most ADR scholars) and “evaluative” mediation, which appears to be common and perhaps even dominant in practice. Some have argued that the best mediation is inherently “eclectic” and should combine and alternate between the two styles as demanded by the needs of the case.

EarlyNeutralEvaluationinvolvesanexpresslyevaluativeprocessbyaneutralthirdparty,onewhoadvisesthepartiesastotheneutral’s impressionsofthecase.Thisprovidesthepartieswith a dose of reality that can be useful in dialing down the expectations of theparties. Forexample, aplaintiffmaynotbe impressed thatdefendant thinks the claim isworthless.ButifformerJudgeSmith,servingasaneutralevaluator,tellstheplaintiffthathis

damageestimateistoohigh,thisislikelytobringtheplaintiff’sdemandstoalowerrangethatmayinturnencourageaseriousofferbythedefendant.

Arbitrationisadeterminationof thedisputeconductednotby judgeand jurybutbyanarbitratororapanelofarbitrators.Asinglearbitratormustbeneutral.Wherethere isapanelofarbitrators(usuallythree),allmaybeneutralortheproceduremaycallforeachdisputant to select a“partyappointed”arbitrator, with these arbitrators subsequentlyselectinganeutral“umpire.”Arbitrationoperates inpracticemuch likeabench trialbutwithrelaxedevidentiarystandards.Inaddition,theRulesofEvidencedonotasatechnicalmatterapplytoarbitrationsalthoughtheymaybeusedasaguidetoadmissibility.Also,arbitrationproviderssuchastheAmericanArbitrationAssociation(AAA)and JudicialArbitration&MediationServices (JAMS)oftenhavetheirownrulesofprocedureandevidencethatdifferfromthoseapplicableincourt.

PursuanttotheFederalArbitrationAct,9U.S.C.§§1–16,arbitrationawardscanbeturnedintoenforceable judgmentsuponproperpresentationtothecourts.Anarbitrationawardmay also be vacated ormodified, but only according to the provisions of the Act,whichprovidesforfarnarrowerandmoredeferentialreviewthanonefindsinanappealfromadistrictcourttrial.StateversionsoftheUniformArbitrationActaretothesameeffect.

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TheseActsprovide thatagreements toarbitrateare specificallyenforceableand that thepartiestosuchagreementcanbecompelledtoarbitrate.Sincethe1980s,theU.S.SupremeCourthasshownstrongsupportforcompellingarbitrationevenwhenthearbitrationclausein question was contained in a standardized, complex contract that was not expresslynegotiatedorperhapsnotunderstoodbyoneormoreofthepartiestothecontract.

MixedMethodsorHybrids.Avarietyofcombinationmethodsofdisputeresolutionexist.•High-lowarbitrationinvolvesthepartiesstipulatingtoarangeofacceptableawardsandthearbitratorsmakingadecisionwithinthatrange.Thetypeofarbitrationusedin Major League Baseball requires the arbitrators to chose either the player’sproposedsalaryorthatoftheowner.Theideaisthatthisshouldencouragebothsidesto be reasonable rather than taking extreme positions in an effort to anchor thearbitrator’sthinkingononeendoranotherofthecontinuum.

•Somecourtshavefoundsuccesswithasummaryjurytrialinwhichpersonsfromthejurypoolarebroughtin(andusuallynottoldthattheirverdictwillnotbebinding)andpresentedwithopeningarguments,awitnessandkeydocumentsfromeachside,andthenclosingarguments.Thejury’sexperimentalverdictisthenusedinamannersimilartoearlyneutralevaluationtoattempttomakethepartiesreasonableintheirnegotiationpositions.

•InMed-Arb(shortformediationcombinedwitharbitration),themediatorattemptsafacilitatednegotiatedsettlementbutintheeventofdisagreementispermittedtomorphintoanarbitratoranddecidesomeorallofthedispute.