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Rev. 2, 11/12

PREPARING FOR TRIAL IN

FEDERAL COURT

Third Edition

Contact us at (800) 440-4780 or www.jamespublishing.com

Related TextsHandling Federal DiscoveryFederal Trial Evidence

Copyright © 2012 James Publishing, Inc.ISBN: 0-938065-91-2

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Managing EditorJames Publishing

3505 Cadillac Avenue, Suite HCosta Mesa, CA 92626

First Edition, 4/94Rev. 1, 6/95Second Edition, 6/96Rev. 1, 5/97Rev. 2, 3/98Rev. 3, 3/99Rev. 4, 2/00Rev. 5, 4/01Rev. 6, 2/02Rev. 7, 2/03Rev. 8, 4/04Rev. 9, 4/05Rev. 10, 4/06Rev. 11, 5/07Rev. 12, 4/08Rev. 13, 12/09Third Edition, 12/10Rev. 1, 11/11Rev. 2, 11/12

Staff Lisa J. Dunne, Managing Editor

Rebecca Aranda, Production EditorAmanda Winkler, Production Manager

Preparing for Trial in Federal Court F-2

Rev. 2, 11/12

Author of the Second Edition

Phillip J. Kolczynski wrote the Second Edition of Preparing for Trial in FederalCourt in 1996 and wrote the annual supplements to the work through 2008. He prac-tices in federal and state courts and specializes in aviation, product liability and othercomplex civil litigation involving technical and scientific issues. He is licensed to prac-tice in California, Ohio and the District of Columbia, and is admitted before many fed-eral district and circuit courts.

Phillip Kolczynski received his J.D. from Case Western Reserve School of Law, Cleve-land, Ohio, where he was Notes Editor of the Journal of International Law. He received hisundergraduate education at Marquette University, Milwaukee, Wisconsin where he held afull Navy ROTC scholarship.

Mr. Kolczynski has published numerous law review and professional journal articleson federal civil litigation and trial practice and is a frequent lecturer on the procedural andsubstantive areas in which he specializes.

F-3 About the Author

Forms ContributorBenjamin E. Griffith, Esq.

Michael S. CarrGriffith & Griffith

Cleveland, Mississippi

Additional Forms Contributed by:Andrew J. Schatkin, Esq.

Law Offices of Andrew J. SchatkinBayshore, NY

Eric L. Siegel, Esq.Henrichsen SiegelWashington, D.C.

Konrad L. Trope, Esq.Callahan & Blaine

Santa Ana, California

Editorial Advisory BoardAdrienne Berry, Esq.

Segal, Isenberg, Sales, Stewart, Cutler & TillmanLouisville, Kentucky

Elizabeth J. Cabraser, Esq.Lieff, Cabraser, Heimann & Bernstein

San Francisco, California

Milford W. Dahl, Esq.Rutan & Tucker

Costa Mesa, California

Paul H. Dawes, Esq.Latham & Watkins


John S. Hoff, Esq.Law Offices of John S. Hoff, P.C., and Associates

Chicago, Illinois


Rev. 2, 11/12

Mark O. Kasanin, Esq.McCutchen, Doyle, Brown & Enersen


Marc S. Klein, Esq.Sills Cummis Zuckerman Radin Tischman Epstein & Gross

Newark, New Jersey

Louise A. LaMothe, Esq.Riordan & McKinzie

Los Angeles, California

Juanita Madole, Esq.Speiser, Krause, Madole & Cook

Irvine, California

Wallace C. Magathan, III, Esq.Burd, Downs & Magathan

Miami, Florida

R. Wayne Olmsted, Esq.Balfour, MacDonald, Mijuskovic & Olmsted

Costa Mesa, California

Joseph J. Ortego, Esq.Rivkin, Radler & KremerUniondale, New York

Debra E. Pole, Esq.Brobeck, Phleger & Harrison

Los Angeles, California

Edward Reich, Esq.Reich & Reich

Brooklyn, New York

James W. Wester, Esq.Underwood, Wilson, Berry, Stein & Johnson

Amarillo, Texas

F-5 Contributors

TABLE OF CONTENTS

Chapter 1 ORGANIZATION AND STRATEGYI. APPLICABLE RULES

§1:01 Generally§1:02 Timing and Deadlines§1:03 Local Rules§1:04 Individual Judges’ “Rules” and Standing Orders§1:05 Significant Specific Local Rules and Standing Orders

§1:05.1 Settlement Rules§1:05.2 Rules Regarding Stipulations§1:05.3 Rules Regarding Motion Hearings§1:05.4 Rules Regarding Briefs and Exhibits§1:05.5 Rules Regarding Case Management Conferences§1:05.6 Disclosure Requirements§1:05.7 Rules Regarding the Format and Timing of Summary Judgment

Motions and Opposing Papers§1:05.8 Rules Regarding the Format, Timing, and Opposition to General

Motions§1:06 Sanctions for Failure to Comply With Local Rules and Standing[§§1:07-1:09 Reserved]

II. AUDIT AND ORGANIZE THE FILE§1:10 Generally§1:11 Timing§1:12 Review and Organization[§§1:13-1:14 Reserved]

III. COLLECT AUTHORITY

IV. DEVELOP A THEME AND LITIGATION PLAN§1:15 Develop a Case Theme§1:16 Analyze the Pleadings§1:17 Create a Proof Outline[§§1:18-1:19 Reserved]

V. CHOOSING A MAGISTRATE OR SPECIAL MASTERA. Consenting to a Magistrate Judge

§1:20 Magistrate Authority§1:21 Weighing the Advantages and Disadvantages§1:22 Procedure for Consenting§1:23 Practice Pointers

B. Working With a Special Master§1:24 Generally§1:25 Types of Special Masters

§1:25.1 Consent Masters§1:25.2 Trial Masters§1:25.3 Pretrial and Post-Trial Masters

§1:26 Expanded Role for Masters Who Are Not Magistrates§1:27 Advantages and Disadvantages of Special Masters


Rev. 2, 11/12

FORMS1-01 Quick Reference Notebook Index1-02 Proof Outline1-03 Detailed Proof Outline1-04 Notice, Consent, and Reference of a Civil Action to a Magistrate Judge1-05 Notice, Consent, and Reference of a Dispositive Motion to a Magistrate Judge

Chapter 2 PLEADING PRACTICEI. THE COMPLAINT

§2:01 Generally§2:02 Level of Detail§2:03 Particular Matters That Require Detailed Pleadings§2:04 The Plausibility Standard

II. THE ANSWER§2:05 Generally§2:06 Special Matters§2:07 Affirmative Defenses[§§2:08-2:09 Reserved]

III. COUNTERCLAIMS OR CROSS-CLAIMS§2:10 Generally

§2:10.1 Counterclaims§2:10.2 Cross-Claims

§2:11 Procedure§2:12 Practice Pointers[§§2:13-2:14 Reserved]

IV. THIRD PARTIES§2:15 Generally§2:16 Procedure[§§2:17-2:19 Reserved]

V. JOINDERA. Compulsory Joinder

§2:20 Necessary Parties§2:21 Indispensable Parties§2:22 Strategy for Addressing Joinder Issues

B. Permissive Joinder§2:23 When Joinder Is Permitted§2:24 Advantages and Disadvantages of Permission Joinder§2:25 Procedure[§2:26-2:29 Reserved]

VI. AMENDING PLEADINGS§2:30 When and How to Amend Pleadings§2:31 Relation Back of Amendments§2:32 Motions to Amend the Pleadings§2:33 Opposing Motions to Amend Pleadings[§2:34 Reserved]

F-7 Table of Contents

VII. DECLARATORY RELIEF§2:35 Generally§2:36 Controlling Law and Jurisdiction§2:37 Advantages and Disadvantages of Actions for Declaratory Relief§2:38 When and How to Seek Declaratory Relief§2:39 Frequent Recurring Issues§2:40 Review or Appeal

FORMS2-01 Civil Case Cover Sheet2-02 Summons in a Civil Action2-03 Notice of a Lawsuit and Request to Waive Service of a Summons2-04 Waiver of the Service of Summons2-05 Plaintiff’s First Amended Complaint2-06 Answer, Affirmative Defenses2-07 Stipulation and (Proposed) Order Extending Time for Defendant to Answer2-08 Affirmative Defenses2-09 Motion to Amended Complaint2-10 Stipulation and Order Allowing Plaintiff to Amend Complaint2-11 Opposition to Motion to Amended Complaint2-12 Motion for More Definite Statement2-13 Motion for Extension of Time to Answer or Defend2-14 Stipulation and Order Extending Deadline to Respond to Amended Consolidated

Class Action Complaint2-15 Tolling Agreement

Chapter 3 PLANNING CONFERENCES AND INITIAL DISCLOSURES

I. PLANNING CONFERENCE WITH OTHER PARTIES§3:01 Purpose§3:02 Timing of the Conference§3:03 Procedure for Conference and Report§3:04 Practice Tips

II. SCHEDULING CONFERENCE WITH COURT§3:05 Generally§3:06 Timing§3:07 Procedure§3:08 Practice Tips[§3:09 Reserved]

III. INITIAL DISCLOSURES§3:10 Generally§3:11 Timing of Disclosures§3:12 Procedure for Disclosures§3:13 Practice Tips

FORMS3-01 Joint Status Report and Discovery Plan3-02 Initial Disclosures3-03 Plaintiff’s Initial Disclosures


Rev. 2, 11/12

3-04 Plaintiff’s Supplement to Initial Disclosures3-05 Motion to Amend Case Scheduling Order3-06 Defendants’ Response to Plaintiff’s Third Motion to Amend Case Management

Order3-07 Motion to Amend Case Scheduling Order3-08 Conference and Scheduling Deadlines Chart

Chapter 4 DISCOVERYI. THE DISCOVERY PLAN

A. Establishing Goals§4:01 Note the Purpose of Discovery§4:02 Recognize That It Is Important to Be Efficient§4:03 Determine the Goals

B. Formulating the Plan§4:04 How to Begin§4:05 Use Consultants and Experts§4:06 Consider Informal Discovery§4:07 Craft an Efficient Plan §4:08 Preserve Evidence§4:09 Set Settlement Goals Along With Discovery Goals

C. Preparing a Deposition Schedule§4:10 Goals§4:11 Sources for Deponents§4:12 Number of Depositions§4:13 Order of Depositions§4:14 Scheduling Issues

§4:14.1 Estimate the Length of Each Deposition§4:14.2 Create a Specific Schedule

§4:15 Practice TipsD. Docket Internal Discovery Schedule

§4:16 Purpose§4:17 Timing—When to Create the Schedule§4:18 How to Prepare the Schedule §4:19 Strategic Issues§4:20 Sample Order of Discovery Devices

E. Prepare Final Phase Discovery Plan§4:21 Importance of a Final Phase Plan§4:22 Timing§4:23 Prepare Final Phase Discovery Plan§4:24 Consider Admissibility§4:25 Practice Tips[§§4:26-4:29 Reserved]

II. INFORMAL DISCOVERY§4:30 When Authorized and Used§4:31 Timing§4:32 Procedure§4:33 Practice Tips[§§4:34-4:39 Reserved]


III. GOVERNMENT RECORDS§4:40 Authority§4:41 When to Obtain Government Records§4:42 Procedure

§4:42.1 Determine Your Needs§4:42.2 How to Obtain Records§4:42.3 Obtaining Records Under FOIA or a State Records Law

§4:43 Challenging FOIA Decision§4:44 Practice Tips[§§4:45-4:49 Reserved]

IV. FORMAL WRITTEN DISCOVERYA. Interrogatories

§4:50 General Rules and Requirements§4:51 Timing§4:52 Procedure for Drafting and Serving Interrogatories§4:53 Procedure for Responding to Interrogatories§4:54 Practice Tips

B. Requests to Produce and/or Inspect§4:55 Purpose of Rule 34§4:56 Preventing Spoliation§4:57 Timing§4:58 Procedure for Making Requests§4:59 Procedure for Responding and Objecting§4:60 Practice Tips

C. Requests for Admission§4:61 Rules and Requirements§4:62 Timing§4:63 Procedure for Drafting and Serving Requests for Admission§4:64 Procedure for Objecting and Responding to Requests for Admission§4:65 Practice Tips[§§4:66-4:69 Reserved]

V. NONPARTY SUBPOENAS FOR RECORDS AND INFORMATION§4:70 Purpose and Effect of Subpoenas§4:71 When to Issue a Subpoena§4:72 Procedures

§4:72.1 Procedure for Obtaining Records from a Nonparty§4:72.2 Procedure for Issuing the Subpoena§4:72.3 Serving the Subpoena§4:72.4 Quashing the Subpoena

§4:73 Challenging a Subpoena§4:73.1 Mechanisms§4:73.2 When to Challenge a Subpoena§4:73.3 Procedure§4:73.4 Determining Whether to Object

§4:74 Enforcing a Subpoena§4:74.1 Subpoena to a Foreign Entity§4:74.2 When to Enforce a Subpoena§4:74.3 Procedure

§4:75 Producing and Inspecting Nonparty Documents Pursuant to Subpoena§4:75.1 Deadlines for Producing Documents§4:75.2 Procedure for Producing Documents§4:75.3 Obligations of Requesting Party §4:75.4 Protecting the Nonparty


Rev. 2, 11/12

[§§4:76-4:79 Reserved]

VI. REQUESTS FOR PHYSICAL AND MENTAL EXAMINATIONS§4:80 Rules Governing Examinations§4:81 Timing§4:82 Procedure for Requesting and Obtaining an Examination§4:83 Procedure for Responding to Attempt to Examine Client[§4:84 Reserved]

VII. DEPOSITIONSA. Deposition Basics

§4:85 Types of Depositions§4:86 Limits§4:87 Deposing Individuals§4:88 Deposing Entities§4:89 Timing§4:90 Procedure for Issuing the Notice§4:91 Strategic Issues Related to the Notice

B. Preparing for Depositions§4:92 Importance of Depositions§4:93 When to Prepare§4:94 How to Prepare§4:95 Strategic Considerations

C. Videotaped Depositions§4:96 Factors Influencing Decision to Take a Videotaped Deposition§4:97 Timing§4:98 Procedure

D. Telephone and Remote Video Depositions§4:99 Rules Applicable to Remote Depositions§4:100 Advantages and Disadvantages§4:101 Timing§4:102 Procedure for Arranging a Remote Deposition§4:103 Strategic Issues and Helpful Tips

E. The 30(b)(6) Deposition§4:104 Governing Rules§4:105 Considerations of the Parties§4:106 Benefits of a 30(b)(6) Deposition§4:107 Timing§4:108 Procedure§4:109 Tips and Strategy

F. The Perpetuation DepositionG. Depositions on Written QuestionsH. Defending Depositions

§4:110 Preparing Client or Witness for a Deposition§4:110.1 Importance of Preparation§4:110.2 Timing of Preparation§4:110.3 Procedure§4:110.4 Tips and Strategy

§4:111 Defending Your Case and Client During the Deposition§4:111.1 The Attorney’s Job at the Deposition§4:111.2 Procedure for Defending a Deposition§4:111.3 Tips and Strategy

[§§4:112-4:114 Reserved]


VIII. OBJECTING TO DISCOVERYA. Objecting to Written Discovery

§4:115 General Rule§4:116 Timing§4:117 Grounds for Objecting

§4:117.1 Common Objections§4:117.2 Work Product Immunity§4:117.3 Privilege

§4:118 Procedure for Objecting§4:119 Tips and Strategy

B. Objecting to Depositions§4:120 General Rules§4:121 Timing§4:122 Grounds for Objecting to Depositions§4:123 Procedure§4:124 Tips and Strategy

IX. DISCOVERY MOTIONSA. Meet and Confer

§4:125 The Requirement and Its Purpose§4:126 Timing§4:127 Procedure§4:128 Tips and Strategy

B. Extend or Shorten Time to Respond to Discovery§4:129 Motions to Extend Discovery

§4:129.1 Timing§4:129.2 Procedure§4:129.3 Tips and Strategy

§4:130 Motion to Shorten Time for Discovery Responses§4:130.1 When Necessary §4:130.2 Timing§4:130.3 Procedure

C. Protective Orders§4:131 Stipulated Protective Orders

§4:131.1 When to Seek a Stipulation§4:131.2 Procedure for Obtaining a Stipulated Protective Order§4:131.3 Tips and Strategy

§4:132 Motions for Protective Orders§4:132.1 Strategic Reasons to Seek Protective Order§4:132.2 Grounds for Limiting Discovery§4:132.3 Scope of Protective Order§4:132.4 Timing§4:132.5 Procedure§4:132.6 Tips and Strategy

D. Motions to Compel§4:133 Purpose and Scope of Motion to Compel§4:134 Timing§4:135 Procedure§4:136 Tips and Strategy


Rev. 2, 11/12

E. Discovery Sanctions§4:137 Purpose§4:138 Types of Sanctions§4:139 Whom the Court May Sanction§4:140 Timing§4:141 Procedure§4:142 Tips and Strategy[§§4:143-4:144 Reserved]

X. SUPPLEMENTING DISCLOSURES AND DISCOVERY RESPONSES§4:145 General Rules Imposing the Obligation to Supplement§4:146 Timing§4:147 Procedure for Supplementing§4:148 Tips and Strategy

FORMS4-01 Freedom of Information Act Letter4-02 State Public Records Request Letter4-03 State Public Records Request Form4-04 Interrogatories4-05 Responses and Objections to Interrogatories4-06 Interrogatories and Requests for Production to Employer4-07 Responses and Objections to Interrogatories and Requests for Production from

Employer4-08 Requests for Production of Documents4-09 Plaintiff’s Request for Production of Documents Propounded to

Defendant—Product Liability Case4-10 Requests for Admission4-11 Responses to Requests for Admission4-12 Memorandum in Support of Motion to Withdraw Admissions4-13 Subpoena to Testify at a Deposition in a Civil Action4-14 Subpoena to Produce Documents, Information, or Objects or to Permit Inspec-

tion of Premises in a Civil Action4-15 Responses and Objections to Subpoena4-16 Motion to Quash (or Modify) Deposition Subpoena4-17 Notice of Physical or Mental Examination4-18 Notice of Deposition4-19 Deposition Preparation Checklist4-20 Deposition Outline4-21 Notice of Deposition Pursuant to Rule 30(b)(6)4-22 Notice of Deposition Pursuant to Rule 30(b)(6) (Alternate)4-23 Motion for Protective Order to Quash 30(b)(6) Notice4-24 Witness Briefing Checklist4-25 Meet and Confer Letter4-26 Meet and Confer Confirming Letter4-27 Motion to Reopen or Extend Discovery4-28 Stipulation for Protective Order4-29 Declaration and Certification of Records Custodian4-30 Education Records Release4-31 Employment Records Release4-32 Copy Instructions to Staff for Document Production


Chapter 5 ELECTRONIC DISCOVERYI. BASIC PRINCIPLES AND CLIENT RELATIONS ISSUES

§5:01 Background§5:02 Differences Between Electronic Discovery and Traditional Discovery§5:03 Technology That Has Created Electronically-Stored Data§5:04 Location of Electronically-Stored Information§5:05 The Client Relations Problem[§§5:06-5:09 Reserved]

II. GENERAL RULESA. The 2000 Rule AmendmentsB. The 2006 Rule Amendments

§5:10 Significant Rule Changes§5:11 Limitations on Discovery: FRCP 26(b)(2)

§5:11.1 Protections from Burdensome Productions§5:11.2 Cost-Shifting

§5:12 Obligations to Address E-Discovery and Disclose Electronic Information Early§5:13 Protecting Privilege and Work Product§5:14 Protecting Information Held by Third Parties§5:15 Rules Regarding Specific Discovery Mechanisms§5:16 Sanctions for Routine Overwriting[§§5:17-5:19 Reserved]

III. PRESERVING EVIDENCE§5:20 The Duty to Preserve§5:21 Triggering the Duty to Preserve[§§5:22-5:24 Reserved]

IV. STEPS IN THE E-DISCOVERY PROCESSA. SummaryB. Detailed Procedure and Timing Issues

§5:25 Preserve Early Before Evidence Is Destroyed§5:26 Plan and Prepare for Formal Electronic Discovery§5:27 The Scheduling Report§5:28 Formal Discovery

C. Tips and Strategy§5:29 Devote Time to E-Discovery Issues§5:30 Expand “Notice” Pleading to Ensure Broad Scope of Discovery§5:31 Take Advantage of Rule 26(f) Conference§5:32 Depositions§5:33 Propose a Reasonable Cost-Shifting Plan§5:34 Make Electronic Information Preservation Demand as Part of Settlement Effort§5:35 Include Home Computers and Laptops Within Scope of Request§5:36 Establish Document Retention/Destruction Policies§5:37 Retain Computer Expert§5:38 Conduct Discovery of E-Mail to Consultants§5:39 Obtain Client Approval for Post-Production Claim of Privilege or Work Product§5:40 Lay Foundation for Admission at Trial

FORM5-01 Preservation Demand Letter—Electronically-Stored Information5-02 Agreed E-Discovery Protocol


Rev. 2, 11/12

Chapter 6 EXPERTS

I. RETAINING EXPERTSA. Determine the Need to Retain Testifying Experts

§6:01 Timing§6:02 Procedure§6:03 Tips and Strategy

B. Retain Consultants and Testifying Experts§6:04 Purpose and Designation§6:05 Timing§6:06 Procedure for Deciding Which Expert to Hire§6:07 Retain the Consultant§6:08 Tips and Strategy[§6:09 Reserved]

II. WORKING WITH EXPERTS§6:10 Timing§6:11 Procedure for Working With Experts§6:12 Tips and Strategy[§§6:13-6:14 Reserved]

III. IDENTIFY EXPERTS AND DISCLOSE REPORTS§6:15 Requirements

§6:15.1 Testifying Experts§6:15.2 Consulting Experts§6:15.3 Duty to Supplement

§6:16 Timing§6:17 Procedure for Disclosing Experts§6:18 Tips and Strategy[§6:19 Reserved]

IV. EXPERT DEPOSITIONSA. Preparing Experts for Deposition

§6:20 Purpose§6:21 Timing§6:22 Procedure§6:23 Tips and Strategy

B. Deposing Experts§6:24 Availability§6:25 Payment§6:26 Timing§6:27 Procedure for Arranging the Deposition§6:28 Deposing Treating Health Care Providers§6:29 Deposing Non-Testifying Experts§6:30 Questions to Ask at Expert’s Deposition§6:31 Asking Hypothetical Questions§6:32 Tips and Strategy[§§6:33-6:39 Reserved]

C. Defending Expert Depositions


V. ADVANCED EXPERT DISCOVERY STRATEGY§6:40 Rule 26 Disclosures Are Limited and Insufficient§6:41 Additional Issues Regarding the Disclosures by Experts§6:42 Additional Reasons to Depose Experts§6:43 Issues Related to Document Discovery

§6:43.1 Using Rule 34 to Obtain Documents§6:43.2 Payment Issues

§6:44 Issues Related to Non-Testifying Experts§6:45 Employee Experts§6:46 Timing Issues§6:47 Tips and Strategy[§§6:48-6:49 Reserved]

VI. PREPARE EXPERTS TO TESTIFY DURING TRIAL

VII. MOTIONS TO CHALLENGE EXPERTS§6:50 Expert Requirements§6:51 Timing Issues Related to Challenges§6:52 Procedures for Challenging Experts

§6:52.1 Options§6:52.2 Minimum Requirements for Admissibility of Expert Testimony§6:52.3 Qualifications as an Expert§6:52.4 Proposed Expert Testimony Must Assist the Trier of Fact§6:52.5 Three Factors for Testing Reliability§6:52.6 Daubert Checklist for Testing Reliability§6:52.7 Post-Daubert Useful Tests to Challenge Experts

§6:53 Tips and Strategy[§6:54 Reserved]

VIII. SUPPLEMENT EXPERT DISCOVERY§6:55 Requirements§6:56 Timing§6:57 Procedure§6:58 Tips and Strategy

FORMS6-01 Motion in Limine of Defendants to Exclude Testimony of Plaintiffs’ Expert6-02 Memorandum in Support of Motion in Limine of Defendants to Exclude Testimo-

ny of Plaintiffs’ Expert6-03 Rebuttal Memorandum of Defendants in Support of Motion in Limine to Exclude

Testimony of Plaintiffs’ Expert6-04 Motion to Strike Affidavit of Expert and Motion in Limine6-05 Memorandum Brief in Support of Motion to Strike Affidavit of Expert and Motion

in Limine6-06 Expert’s Written Report6-07 Expert’s Written Report6-08 Rule 26 Expert Report—Breach of Contract, Real Estate6-09 Expert Witness Disclosure6-10 Requests for Production of Documents6-11 Expert Witness Deposition Checklist6-12 Deposition Outline for Expert—Daubert Issues6-13 Defendant’s Motion to Strike Plaintiff’s Experts6-14 Motion to Extend Deadline to Designate Expert


Rev. 2, 11/12

6-15 Motion in Limine to Exclude Expert Testimony6-16 Motion in Limine to Exclude Expert Testimony re Excessive Force6-17 Expert Retention Letter

Chapter 7 MOTIONS

I. BASIC PRINCIPLES§7:01 Timing§7:02 Types of Motions§7:03 Procedure for Motions§7:04 Moving Papers§7:05 Ex Parte Applications

§7:05.1 Timing§7:05.2 Procedure

§7:06 Tips and Strategy[§§7:07-7:09 Reserved]

II. MOTIONS FOR RESTRAINING ORDERS AND INJUNCTIONSA. Temporary Restraining Orders

§7:10 Purpose§7:11 Timing§7:12 Procedure for Obtaining a TRO§7:13 Procedure for Responding to a TRO Application§7:14 Requirements§7:15 The Bond or Security§7:16 Tips and Strategy

B. Injunctions§7:17 Purpose and Requirements§7:18 Three Levels of Injunctive Relief§7:19 Reasons to Seek Injunctive Relief§7:20 Risks in Seeking Injunctive Relief§7:21 Timing§7:22 Standards for Granting Preliminary Injunctive Relief§7:23 Procedure to Obtain a Preliminary Injunction§7:24 Documents and Evidence Supporting Requests for Injunctive Relief

§7:24.1 The Declarations (and Affidavit) and Other Evidence§7:24.2 The Memorandum of Points and Authorities§7:24.3 The Proposed Order

§7:25 The Bond or Security§7:26 Opposing an Application for a Preliminary Injunction§7:27 Tips and Strategy[§§7:28-7:29 Reserved]

III. MOTIONS TO AMEND PLEADINGS

IV. MOTIONS TO DISQUALIFY JUDGE§7:30 Purpose§7:31 Timing§7:32 Procedure§7:33 Tips and Strategy[§7:34 Reserved]


V. MOTIONS TO INTERVENE§7:35 Purpose§7:36 Timing§7:37 Procedure§7:38 Tips and Strategy[§7:39 Reserved]

VI. MOTIONS TO SEVER§7:40 Purpose and Requirements§7:41 Timing§7:42 Procedure§7:43 Tips and Strategy[§7:44 Reserved]

VII. MOTIONS TO BIFURCATE§7:45 Purpose and Governing Rules§7:46 Timing§7:47 Procedure for Requesting Separate Trials§7:48 Procedure for Opposing Separate Trials§7:49 Tips and Strategy

VIII. MOTIONS TO CONSOLIDATE§7:50 Purpose§7:51 Timing§7:52 Procedure for a Motion to Consolidate§7:53 Procedure for Opposing a Motion to Consolidate§7:54 Tips and Strategy

IX. MOTIONS TO TRANSFER VENUE§7:55 Purpose and Availability§7:56 Timing§7:57 Procedure for Seeking a Transfer of Venue§7:58 Factors Courts Analyze When Considering Transfer§7:59 Conditions the Court May Impose on a Transfer to a Foreign Court§7:60 Opposing a Motion to Transfer Venue§7:61 Dismissal Based on Forum Non Conveniens§7:62 Tips and Strategy[§§7:63-7:64 Reserved]

X. MOTIONS TO AMEND SCHEDULING ORDER§7:65 Purpose and Availability of Motion§7:66 Timing§7:67 Procedure§7:68 Tips and Strategy[§7:69 Reserved]

XI. MOTIONS RELATED TO DISCOVERY

XII. MOTIONS FOR JUDGMENT ON THE PLEADINGS§7:70 The Standard§7:71 Timing[§§7:72-7:74 Reserved]

XIII. MOTIONS TO DISMISSA. Motions to Dismiss Claims or Parties

§7:75 Purpose§7:76 Timing§7:77 Procedure


Rev. 2, 11/12

B. Motions to Dismiss for Failure to State a Claim Pursuant to FRCP 12(b)(6)§7:78 The Standard§7:79 Timing§7:80 Impact of Twombly/Iqbal and the “Plausibility” Standard for Complaints§7:81 Tips and Strategy

C. Motions for Voluntary Dismissal§7:82 Purpose and Availability§7:83 Timing§7:84 Procedure§7:85 Tips and Strategy

D. Motions to Dismiss for Failure to Prosecute§7:86 Purpose and Availability§7:87 Timing§7:88 Procedure for Bringing a Motion to Dismiss§7:89 Procedure for Opposing a Motion to Dismiss§7:90 Tips and Strategy[§§7:91-7:94 Reserved]

XIV. MOTIONS FOR SUMMARY JUDGMENTA. Moving for Summary Judgment

§7:95 Summary Judgment Standard and Requirements§7:96 Timing§7:97 Procedure§7:98 Affidavits and Declarations in Support of Summary Judgment§7:99 Affidavits of Expert Witnesses§7:100 Tips and Strategy

B. Opposing Summary Judgment§7:101 Purpose§7:102 Timing§7:103 Basis for Opposition§7:104 Tips and Strategy

XV. MOTIONS TO CHANGE TRIAL DATEA. Motions to Expedite the Trial

§7:105 Purpose§7:106 Timing§7:107 Procedure§7:108 Opposing the Motion to Expedite Trial§7:109 Tips and Strategy

B. Motion for a Trial Continuance§7:110 Purpose and Grounds§7:111 Timing§7:112 Procedure for Obtaining a Continuance§7:113 Procedure for Opposing a Continuance§7:114 Tips and Strategy

XVI. MOTIONS TO STAY§7:115 Basic Principles

§7:115.1 Grounds§7:115.2 Examples of Circumstances Under Which Stays Are Used§7:115.3 Timing§7:115.4 Procedure§7:115.5 Strategy for Opposing Stay


§7:116 Motion to Stay Federal Court Action Based on Abstention Doctrine§7:117 Motion to Stay Federal Action Pending Administrative Determination§7:118 Motion for Stay of Litigation Pending Arbitration§7:119 Motion for Stay of a Preliminary Injunction§7:120 Motion to Stay Discovery§7:121 Special Motions for Stay That Are Expressly Authorized Under the FRCP[§§7:122-7:124 Reserved]

XVII. MOTIONS IN LIMINEA. Motions to Strike Undisclosed Evidence

§7:125 Timing§7:126 Determining If Moving to Strike Is in Your Client’s Best Interest§7:127 Tips and Strategy

B. Governing Rules and Principles Related to Motions in Limine§7:128 Purpose§7:129 Timing§7:130 Benefits of a Motion in Limine§7:131 Court Response§7:132 Effect§7:133 Procedure for Making a Motion in Limine§7:134 Procedure for Opposing a Motion in Limine§7:135 Tips and Strategy

C. Motion to Exclude Evidence Because Prejudice Outweighs Relevance (FRE403)§7:136 The Standard§7:137 Timing§7:138 Arguments That Support a 403 Motion§7:139 Examples of Unfairly Prejudicial Evidence§7:140 Cumulative Evidence

D. Motion to Exclude Inadmissible Character Evidence/Prior Bad Acts§7:141 Governing Rules and Standards§7:142 Timing§7:143 Procedure

E. Motion to Exclude Due to Alteration/Spoliation§7:144 Governing Principles§7:145 Timing§7:146 Procedure§7:147 Spoliation Letter §7:148 Accident Reconstruction§7:149 Remedies

F. Motion to Exclude Witnesses from Courtroom During Testimony§7:150 Right to Exclude Witnesses§7:151 Exceptions§7:152 Procedure§7:153 Tips and Strategy[§§7:154-7:159 Reserved]

XVIII. MOTIONS TO CHALLENGE EXPERTS

XIX. TRIAL AND POST-TRIAL MOTIONSA. Motion for a Mistrial

§7:160 Threshold Requirement


Rev. 2, 11/12

§7:161 Specific Grounds§7:161.1 Attorney Misconduct§7:161.2 Judicial Misconduct §7:161.3 Juror Misconduct§7:161.4 Witness Misconduct

§7:162 Timing§7:163 Procedure§7:164 Tips and Strategy

B. Making a Motion for Judgment as a Matter of Law and/or Motion for a NewTrial§7:165 Requirements §7:166 Timing§7:167 Procedure§7:168 Tips and Strategy

C. Opposing a Motion for Judgment and/or Motion for a New Trial§7:169 Grounds for Opposing Motion§7:170 Timing§7:171 Procedure§7:172 Tips and Strategy[§§7:173-7:174 Reserved]

XX. MOTIONS FOR RECONSIDERATION AND RELIEF FROM JUDGMENT§7:175 Options§7:176 Motions for Reconsideration

§7:176.1 Standards§7:176.2 Timing§7:176.3 Examples of Motions Under FRCP 59(e)

§7:177 Motions to Alter or Amend a Judgment Pursuant to FRCP 60(b)§7:177.1 Scope and Standards§7:177.2 Timing

§7:178 Motions to Correct Clerical Error Pursuant to FRCP 60(a)§7:179 Motions to Amend Findings§7:180 Procedure§7:181 Tips and Strategy[§§7:182-7:184 Reserved]

XXI. MOTIONS TO WITHDRAW AS COUNSEL§7:185 Limitations§7:186 Good Cause for Withdrawal§7:187 Timing§7:188 Procedure§7:189 Tips and Strategy

XXII. MOTIONS FOR SANCTIONSA. Motions for Rule 11 Sanctions

§7:190 Rule 11 Requirements§7:191 Factors to Determine Compliance With Rule 11§7:192 Sanctions

§7:192.1 Factors Used to Determine Sanctions for Violating Rule 11 §7:192.2 Scope of Sanctions Under Rule 11§7:192.3 Standards for Sanctions in Specific Circumstances§7:192.4 Types of Sanctions Available Under Rule 11


§7:193 Limits of Rule 11§7:194 The “Safe Harbor” Provision and Timing of the Motion§7:195 Procedure for Making a Rule 11 Motion§7:196 Procedure for Responding to a Rule 11 Motion§7:197 Order for Sanctions§7:198 Tips and Strategy

B. Motions for Sanctions on Other Grounds (Not Rule 11)§7:199 Authority for Sanctions§7:200 Types of Sanctions That May Be Imposed on Attorneys or Parties§7:201 Sanctions Under 28 U.S.C. §1927§7:202 Sanctions Under the Court’s Inherent Authority §7:203 Timing§7:204 Procedure§7:205 Tips and Strategy

FORMS7-01 Notice of Motion—General Form7-02 Combined Notice of Motion and Motion—General Form7-03 Motion—General Form7-04 Memorandum of Points and Authorities—General Form7-05 Affidavit in Support of Motion for Summary Judgment7-06 Declaration Establishing Foundation of Exhibit—General Form7-07 Proposed Order Granting Summary Judgment7-08 Proof of Service—General Form7-09 Agreed Motion to Consolidate Cases7-10 Application for Temporary Restraining Order—Trademark Infringement7-11 Motion for Preliminary Injunction—Copyright Infringement7-12 Ex Parte Application for Temporary Restraining Order, Writ of Possession, OSC

re Injunction [Law Firm]7-13 Motion to Dismiss: Improper Venue7-14 Motion to Transfer Venue7-15 Memo of Authorities in Support of Motion for Intradistrict Transfer7-16 Motion to Dismiss Under Forum Non Coveniens Doctrine7-17 Motion to Amend Pretrial Scheduling Order7-18 Agreed Notice of Voluntary Dismissal of Party7-19 Statement of Undisputed Facts in Support of Motion for Summary Judgment7-20 Motion for Continuance of Trial Date7-21 Motion to Vacate Trial Setting7-22 Motion for Stay Pending Disposition of State Court Action—Declaratory/Injunc-

tive Relief7-23 Opposition to Plaintiff’s Motion to Lift Stay—Parallel State Court Action7-24 Motion to Dismiss or Stay; Motion to Stay Discovery—Insurance/Declaratory Relief7-25 Motion for Stay Pending Appeal7-26 Motion in Limine7-27 Rule 11 Safe Harbor Letter7-28 Motion for Rule 11 Sanctions7-29 Notice of Defendants’ Motion for Sanctions7-30 Memorandum in Support of Motion to Dismiss Antitrust Claims7-31 Proposed Order Granting Rule 11 Sanctions7-32 Stipulation of Partial Dismissal7-33 Motion for Leave to Withdraw as Counsel


Rev. 2, 11/12

7-34 Notice of Withdrawal of Counsel7-35 Plaintiff’s Opposition to Motion in Limine—Employment Case7-36 Motion in Limine—Employment—Exclude Testimony as Hearsay7-37 Notice of Motion and Motion for Summary Judgment7-38 Memorandum of Points and Authorities in Support of Motion for Summary

Judgment7-39 Defendant’s Memorandum of Authorities in Support of Motion to Dismiss or,

Alternatively, Motion for Summary Judgment7-40 Memorandum in Support of Plaintiffs’ Motion for Summary Judgment on

Defendants’ Counterclaims, or in the Alternative, for Separate Trial7-41 Memorandum in Opposition to Motion for Summary Judgment7-42 Motion to Dismiss Pursuant to FRCP 12(b)(6)7-43 Opposition to Rule 11 Motion

Chapter 8 SETTLEMENT AND ADR

I. PREPARE FOR SETTLEMENT§8:01 Rules Applicable to Settlement Negotiations§8:02 Options for Settlement§8:03 Timing§8:04 Procedure§8:05 Tips and Strategy[§§8:06-8:09 Reserved]

II. DAMAGES AND REMEDIES§8:10 Timing§8:11 Types of Damages§8:12 Calculating Damages§8:13 Tips and Strategy[§8:14 Reserved]

III. MEDIATION§8:15 Governing Principles§8:16 Advantages and Disadvantages of Mediation§8:17 Timing§8:18 Procedure§8:19 Tips and Strategy

IV. ARBITRATION§8:20 Rules and Governing Principles§8:21 Timing§8:22 Advantages and Disadvantages of Arbitration§8:23 Procedure§8:24 Tips and Strategy

V. NEGOTIATION§8:25 Timing§8:26 Procedure§8:27 Tips and Strategy

FORMS8-01 Mediation Statement8-02 Demand for Arbitration After Court Order


Chapter 9 PRETRIAL PREPARATIONI. REQUIRED PRETRIAL DISCLOSURES

§9:01 Requirement§9:02 Timing§9:03 Procedure for Issuing Pretrial Disclosures§9:04 Procedure for Objecting to Pretrial Disclosures§9:05 Tips and Strategy[§§9:06-9:09 Reserved]

II. OFFERS OF JUDGMENT§9:10 Requirements and Result§9:11 Timing§9:12 Procedure§9:13 Effect of an Offer§9:14 Tips and Strategy

III. THE TRIAL PLAN§9:15 Purpose and Scope§9:16 Timing§9:17 Procedure§9:18 Tips and Strategy[§9:19 Reserved]

IV. WITNESS ISSUESA. Arrange for Witnesses to Attend Trial

§9:20 Procedure§9:21 Tips and Strategy

B. Prepare Witnesses to Testify§9:22 Your Client and Other Friendly Lay Witnesses

§9:22.1 Purpose of Preparation§9:22.2 Timing §9:22.3 Procedure§9:22.4 Tips and Strategy

§9:23 Experts§9:23.1 Timing§9:23.2 Procedure§9:23.3 Tips and Strategy

[§§9:24-9:29 Reserved]

V. PREPARE TO USE EVIDENCEA. Planning for Admissibility Issues

§9:30 Becoming Familiar With the Rules of Evidence §9:31 Preparing to Handle Evidence Issues§9:32 Tips and Strategy

B. Admissibility of Live Testimony§9:33 Lay Witnesses

§9:33.1 Requirements for Admissibility§9:33.2 Timing§9:33.3 Procedure for Ensuring Admissibility§9:33.4 Tips and Strategy

§9:34 Expert Witnesses§9:34.1 Requirements for Admissibility§9:34.2 Timing


Rev. 2, 11/12

§9:34.3 Procedure for Ensuring Admissibility§9:34.4 Tips and Strategy

C. Illustrative (and Demonstrative) Evidence§9:35 Types of Evidence§9:36 When to Prepare Illustrative Exhibits§9:37 Procedure for Creating and Using an Illustrative Exhibit

§9:37.1 Preparing to Use the Exhibits§9:37.2 Introducing Illustrative Exhibits at Trial§9:37.3 How to Lay a Foundation for an Illustrative Exhibit

§9:38 Tips and StrategyD. Real Evidence

§9:39 Requirements for Using Real Evidence§9:40 Timing§9:41 Procedure for Admitting Real Evidence at Trial§9:42 Tips and Strategy

E. Business Records§9:43 Requirements for Using Business Records§9:44 Timing§9:45 Procedure for Admitting Business Records at Trial§9:46 Tips and Strategy

F. Public Records§9:47 Requirements for Using Public Records§9:48 Timing§9:49 Procedure for Admitting Public Records at Trial§9:50 Tips and Strategy

G. Discovery Responses§9:51 Depositions and Other Records of Testimony

§9:51.1 When Deposition Testimony Can Be Used at Trial§9:51.2 Timing§9:51.3 Procedure for Using Deposition at Trial§9:51.4 Tips and Strategy

§9:52 Responses to Requests for Admission§9:52.1 When Requests for Admission Can Be Used at Trial§9:52.2 Timing§9:52.3 Procedure for Admitting Requests for Admission at Trial§9:52.4 Tips and Strategy

§9:53 Interrogatory Responses §9:53.1 When Interrogatory Responses Can Be Used at Trial§9:53.2 Timing§9:53.3 Procedure for Admitting Interrogatory Responses at Trial§9:53.4 Tips and Strategy

H. Learned Treatises§9:54 Requirements for Using a Learned Treatise at Trial§9:55 Timing§9:56 Procedure for Using a Learned Treatise at Trial§9:57 Tips and Strategy

I. Judicial Notice§9:58 Requirements§9:59 Timing§9:60 Procedure for Obtaining Judicial Notice§9:61 Tips and Strategy[§§9:62-9:64 Reserved]


VI. FINAL PRETRIAL CONFERENCE§9:65 Purpose of Conference§9:66 Scope of Conference§9:67 Timing§9:68 Procedure§9:69 Tips and Strategy

VII. FINAL PRETRIAL STIPULATION AND ORDER§9:70 Purpose and Effect§9:71 Scope§9:72 Timing§9:73 Procedure§9:74 Tips and Strategy

FORMS9-01 Defendant’s Pretrial Statement9-02 Offer of Judgment9-03 Offer of Judgment With Fees9-04 Trial Plan (Partial)9-05 Subpoena in a Civil Case9-06 Deposition Designations9-07 Stipulation to Use Deposition at Trial9-08 Motion to Use Deposition at Trial9-09 Request for Judicial Notice9-10 Agreed Final Judgment of Dismissal With Prejudice

Chapter 10 JURY ISSUESI. CHOOSING AND DEMANDING A JURY

§10:01 The Right to a Jury§10:02 The Decision to Demand a Jury§10:03 Converting a Jury Trial to a Bench Trial§10:04 Juries on Less than All Issues and Advisory Juries§10:05 Procedure for Selecting a Bench Trial on Certain Issues§10:06 Tips and Strategy[§§10:07-10:09 Reserved]

II. FEDERAL RULES GOVERNING FOCUS GROUPSA. Jury Consultants

§10:10 Benefits§10:11 Timing§10:12 Hiring a Jury Consultant§10:13 Deciding Which Services You Want Consultant to Provide§10:14 Tips and Strategy

B. Mock Juries and Focus Groups§10:15 Benefits§10:16 Timing§10:17 Procedure for Mock Juries and Focus Groups

§10:17.1 Deciding Whether to Use a Mock Jury or Focus Group§10:17.2 Assembling the Mock Jury or Focus Group§10:17.3 Preparing for the Mock Jury or Focus Group§10:17.4 Conducting the Mock Jury or Focus Group

§10:18 Tips and Strategy[§10:19 Reserved]


Rev. 2, 11/12

III. JURY INSTRUCTIONS AND VERDICT FORM§10:20 Requirement§10:21 Timing§10:22 Procedure§10:23 Tips and Strategy[§10:24 Reserved]

IV. JURY SELECTIONA. Prepare for Jury Selection

§10:25 Challenges for Cause§10:26 Peremptory Challenges§10:27 Timing§10:28 Procedure§10:29 Investigating Potential Jurors§10:30 Tips and Strategy

B. Voir Dire§10:31 General Principles About Voir Dire§10:32 Timing§10:33 Procedure§10:34 Tips and Strategy

C. The Jury Questionnaire§10:35 Purpose and Usefulness§10:36 Timing§10:37 Procedure§10:38 Tips and Strategy

FORMS10-01 Plaintiff’s Proposed Special Verdict Form10-02 Defendant’s Proposed Special Verdict Form10-03 Jury Instructions10-04 Model Jury Instructions—Mitigation10-05 Model Jury Instructions—Compensatory Damages; Lost Profits10-06 Notice of Objection to Plaintiff’s Jury Instructions10-07 Plaintiff’s Proposed Voir Dire10-08 Juror Questionnaire

Chapter 11 FINAL TRIAL PREPARATIONI. THE TRIAL NOTEBOOK

§11:01 Purpose and Contents§11:02 Timing§11:03 Procedure for Creating a Trial Notebook§11:04 Tips

II. THE TRIAL BRIEF§11:05 Purpose§11:06 Timing§11:07 Procedure§11:08 Tips and Strategy[§11:09 Reserved]

III. FINDINGS OF FACT/CONCLUSIONS OF LAW§11:10 Requirement§11:11 Timing


§11:12 Procedure§11:13 Tips and Strategy[§11:14 Reserved]

IV. OPENING STATEMENT§11:15 Purpose and Scope§11:16 Timing§11:17 Procedure§11:18 Tips and Strategy[§11:19 Reserved]

V. DIRECT EXAMINATIONS§11:20 Purpose§11:21 Timing§11:22 Procedure§11:23 Tips and Strategy[§11:24 Reserved]

VI. CROSS-EXAMINATIONS§11:25 Purpose§11:26 Timing§11:27 Procedure§11:28 Tips and Strategy[§11:29 Reserved]

VII. EXPERT EXAMINATIONS§11:30 Purpose§11:31 Timing§11:32 Procedure for Direct Examination of Your Expert§11:33 Procedure for Cross-Examination of an Opponent’s Expert§11:34 Tips and Strategy

VIII. CLOSING ARGUMENT§11:35 Purpose§11:36 Timing§11:37 Procedure§11:38 Tips and Strategy

FORMS11-01 Trial Notebook Contents11-02 Sample Format of Defendant’s Trial Brief (Civil Rights Violation)11-03 Bench Brief—Employment—Cat’s Paw Theory11-04 Bench Brief—Admissibility of Statements as Admissions of Party Opponent11-05 Bench Brief re Compensatory Damages

Chapter 12 APPEAL ISSUESI. SEEKING REVIEW OF INTERLOCUTORY ORDERS

§12:01 Availability§12:01.1 General Rule: Appeal Not Permitted Unless Final Order Entered§12:01.2 Appeal of Partial Final Order§12:01.3 Discretionary Interlocutory Appeals§12:01.4 The Collateral Order Doctrine

§12:02 Tips and Strategy[§§12:03-12:04 Reserved]


Rev. 2, 11/12

II. PRESERVING AND MAKING A RECORD FOR APPEAL§12:05 The Right to Appeal§12:06 Preserving Appeal With Pretrial Motions

§12:06.1 Application§12:06.2 Timing§12:06.3 Practice Tip

§12:07 Preserving Evidentiary Objections for Appeal§12:07.1 Requirement§12:07.2 Timing§12:07.3 Procedure§12:07.4 Practice Tip

§12:08 Preserving Objections Related to Jury Instructions§12:08.1 Requirement§12:08.2 Timing§12:08.3 Procedure§12:08.4 Tips and Strategy

FORMS12-01 Motion for Final Judgment Pursuant to Rule 54(b)12-02 Opposition to Motion for Final Judgment Pursuant to Rule 54(b)12-03 Notice of Appeal

Table of Statutes

Table of Cases

Index


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