Litigation and Alternative Dispute Resolution

Litigation and Alternative Dispute Resolution

Professor Shanon Quinley

Courtroom Players

Parties

  • Plaintiff:

    • Definition: The party that brings a civil lawsuit to recover monetary damages or to stop a legal wrong.

  • Defendant:

    • Definition: The party responding to a civil lawsuit or the party being charged with a crime in criminal court.

  • Pro Se (or Pro Per):

    • Definition: Litigants who represent themselves without the assistance of an attorney.

Attorneys

  • Requirements:

    • Must pass the bar exam in the state where they wish to practice and be licensed by that state.

  • Ethical Obligations:

    • Attorneys are bound by a professional code of ethics overseen by the Supreme Court of the state of their licensure.

  • Attorney-Client Privilege:

    • Protects communications between the attorney and client.

    • Exception: Exists if a client reveals intent to harm themselves or others.

  • Prohibited Actions:

    • Attorneys cannot assert legal claims or arguments that are not well founded under existing law or through modification or expansion of existing law.

Jury

  • Role:

    • The jury acts as the trier-of-fact, determining the truth after each side presents its case.

  • Grand Jury:

    • Composition: A group of citizens convened by the prosecution in serious criminal cases.

    • Functions: Determines if probable cause exists to believe that a crime has occurred and if it's more likely than not that the defendant committed the crime.

    • Outcome: If they find probable cause, the government may bring charges against the defendant.

  • Petit Jury:

    • Definition: A jury empaneled for a specific trial to determine guilt/innocence in criminal cases or liability in civil cases.

    • Composition: Consists of 6-12 members.

    • Verdict Requirement: Must be unanimous in criminal cases only.

When Can Someone File a Lawsuit?

Criteria for Bringing a Lawsuit

  • Standing:

    • Defined as “Actual Case or Controversy.”

    • Requirement: The plaintiff must demonstrate an actual stake in the litigation or something of value that would be lost if they lose the case.

Jurisdiction and Venue

Jurisdiction

  • Definition:

    • The power and authority of a court to hear a type of case and the amount in controversy, rendering a legally binding decision over the parties involved.

  • Sources of Jurisdiction:

    • Comes from Federal and State constitutions and statutes.

    • A court must have both subject matter jurisdiction and personal jurisdiction over the parties involved for a valid decision.

Federal Court Subject Matter Jurisdiction

  • Federal Question Jurisdiction:

    • Federal courts have jurisdiction over civil actions that “arise under the Constitution, laws, or treaties of the United States.”

    • Examples include:

    • Immigration

    • Bankruptcy

    • Patent

    • Copyright

    • Maritime

    • Civil Rights

  • Diversity of Citizenship Jurisdiction:

    • Applies when the plaintiff and defendant are from different states and the amount in controversy exceeds $75,000.

    • If there are multiple plaintiffs and defendants, no plaintiff can be from the same state as any defendant.

State Court Subject Matter Jurisdiction

  • General Jurisdiction:

    • Criminal felonies

  • Limited Jurisdiction:

    • Criminal misdemeanors

    • Infractions

    • Felony preliminaries

  • Civil Disputes:

    • Amounts greater than $25,000 (unlimited jurisdiction civil)

    • Amounts less than $25,000

    • Juvenile cases

    • Small claims

    • Family law cases

    • Traffic violations

    • Mental health cases

    • Probate cases

    • Appellate cases

Personal Jurisdiction

  • Factors:

    • If the defendant is a nonresident in the jurisdiction, constitutional issues may arise concerning personal jurisdiction under the due process clause of the Fourteenth Amendment.

  • Requirements for Personal Jurisdiction:

    • Personal jurisdiction over a nonresident should not be claimed without fulfilling various tests such as minimum contacts and the “purposeful availment” test.

Establishing Personal Jurisdiction over a Defendant

  • Methods:

    • Service of Process:

    • The defendant must be served with the lawsuit to establish notice of the claims.

    • Constitutionally Sufficient Basis:

    • Examples include:

      • Physical presence in-state when served

      • Domicile or business place in the state

      • General appearance in court

      • Agreement (usually contractual)

      • State long-arm statutes

      • Minimum contacts as determined in International Shoe v. Washington

      • Large corporations doing business in many states are typically subject to jurisdiction only in states where they do substantial business and are “at home.”

      • Courts examine the volume of business conducted within the state relative to business conducted elsewhere.

      • Must not violate “traditional notions of fair play and substantial justice.”

Venue

  • Definition:

    • The geographic district where a lawsuit may be properly heard.

  • Determining Proper Venue:

    • The plaintiff must identify the proper county based on where the defendants reside at the time of the action.

    • In cases of personal injury, property damage, or wrongful death, the proper venue is either where the defendants reside or where the injury or death occurred.

Pre-Trial Procedures

Pleadings

  • Complaint:

    • The first legal document filed in a civil case outlining:

    • Who the parties are

    • Facts of the case

    • Relevant laws violated by the defendant

    • Prayer for relief from the court

  • Summons:

    • An official notice served on the defendant, which includes a copy of the complaint.

  • Answer:

    • The defendant's response to the complaint, which admits or denies allegations and may include affirmative defenses and counterclaims.

Discovery

  • Definition:

    • The principal fact-gathering method in formal litigation allowing each party to uncover the facts on the opposition's case.

  • Purpose:

    • Prepares each party for trial and highlights the strengths and weaknesses of their cases.

    • Aids in settlement discussions by revealing the true “value” of the case.

Six Tools of Discovery

  • Interrogatories:

    • Written questions sent from one party to another.

  • Requests/Demands for Production:

    • Written requests for copies of records, documents, and tangible items.

  • Depositions:

    • Live question-and-answer sessions where a lawyer questions witnesses under oath.

  • Physical and Mental Examinations:

    • Conducted by a doctor chosen by the requesting party if physical or mental condition is at issue.

  • Requests for Admission:

    • Written requests compelling a party to admit or deny facts or the genuineness of documents.

  • Exchange of Expert Trial Witness Information:

    • A request for lists and reports of expert witnesses and relevant testimony information.

Motions

  • Definition:

    • Written requests made to a judge for rulings on specific issues or claims.

Common Motions in Civil Court

  • Motion for Default Judgment:

    • Filed by the plaintiff if the defendant is served but does not respond, requesting judgment in favor of the plaintiff.

  • Motion to Dismiss for Failure to State a Claim:

    • Filed by the defendant arguing that even if the facts in the complaint are true, legal relief is not warranted; includes statute of limitations arguments.

  • Motion for Judgment on the Pleadings:

    • Seeks court determination on whether a material issue exists or if the case should be dismissed, often related to jurisdiction or insufficient denial in the answer.

  • Summary Judgment:

    • When granted, indicates there are no lawful or factual matters upon which reasonable people might disagree; typically filed after discovery and prior to trial; this is a final and appealable order.

Trial and Appeal

Trial

  • Voir Dire:

    • The process of selecting a jury.

  • Opening Statements:

    • Attorneys inform the jury about what they plan to prove during the trial.

  • Direct and Cross Examination:

    • Witnesses are questioned in direct and cross-examination phases.

  • Closing Arguments:

    • Attorneys summarize their cases for the jury and provide concluding arguments.

  • Jury Instructions:

    • The judge instructs the jury on applicable law.

  • Jury Deliberation:

    • The jury applies the law to the facts per the jury instructions.

  • Burden of Proof:

    • Civil Cases: Preponderance of the evidence—more likely than not; minimum standard is 51% or more.

    • Criminal Cases: Beyond a reasonable doubt—higher standard of proof.

  • Verdict:

    • The jury's decision; results in a mistrial if no consensus is reached.

Judgment & Appeal

  • Judgment/Order:

    • The findings of fact, conclusions of law, and prescribed relief or remedy.

  • Appeal:

    • When the losing party requests a higher court review alleged judicial errors made by the trial court.

    • The appellate court reviews the record to assess whether a prejudicial error occurred during the trial.

Alternative Dispute Resolution

Alternative Means of Resolving Disputes

  • Negotiation:

    • An alternative dispute resolution method wherein parties retain control to resolve their dispute without an outside decision-maker. They define the conflict and agree to an outcome, often as a compromise.

  • Mediation:

    • Involves experienced mediators who assist disputing parties in resolving differences. Recommendations made by the mediator can be accepted or rejected by either party.

  • Arbitration:

    • A process wherein disputing parties agree to utilize an arbitrator or panel (typically three), resulting in a final and binding award, which can be enforced in court if needed.