Q UINCY COLLEGE Paralegal Studies Program Paralegal Studies Program Business Law I Courts, Litigation & Alternative Dispute Resolution Business Law I Courts,

QUINCY COLLEGEQUINCY COLLEGEParalegalStudies ProgramParalegalStudies Program

Business Law I

Courts, Litigation& Alternative

Dispute Resolution

Business Law I

Courts, Litigation& Alternative

Dispute Resolution

Federal CourtsFederal Courts

Federal Question CasesFederal Question Cases A claim based on the United States A claim based on the United States

Constitution, a federal statute, or a federal Constitution, a federal statute, or a federal treatytreaty

Diversity CasesDiversity Cases When the plaintiff and defendant are citizens When the plaintiff and defendant are citizens

of two different states, ANDof two different states, AND the amount in dispute is greater than the amount in dispute is greater than

$75,000$75,000

Two kinds of civil lawsuits permitted in Federal Courts -Two kinds of civil lawsuits permitted in Federal Courts -

Trial CourtsTrial Courts United States District Courts are the primary trial United States District Courts are the primary trial

courts in the federal system.courts in the federal system. The nation is divided into about 94 districts (based The nation is divided into about 94 districts (based

on population), each with its own District Court.on population), each with its own District Court. There are also specialized trial courts, such as There are also specialized trial courts, such as

Bankruptcy Court and Tax Court.Bankruptcy Court and Tax Court.

Appellate CourtsAppellate Courts United States Courts of Appeals are the United States Courts of Appeals are the

intermediate courts of appeals. The nation is intermediate courts of appeals. The nation is divided into thirteen circuits.divided into thirteen circuits.

The highest appeals court is the United States The highest appeals court is the United States Supreme Court.Supreme Court.

Federal Court SystemFederal Court System

The Federal Court SystemThe Federal Court System

United States SupremeCourt

(Highest Appeals Court)

United States SupremeCourt

(Highest Appeals Court)

Nine Justices; appointed for life; may refuse to hear a case; final authority

Three judges hear each case, brought up from the District Courts.

Hears appeals from specialized trial courts.

U.S.Tax

Courts

U.S.Tax

Courts

U.S. DistrictCourts

(94 Districts)

U.S. DistrictCourts

(94 Districts)

U.S.Bankruptcy

Courts

U.S.Bankruptcy

Courts

VariousFederal

Agencies

VariousFederal

Agencies

Primary Trial Court

Trial Courts of Limited (Specific) Jurisdiction

U.S. Court ofInternational

Trade

U.S. Court ofInternational

Trade

U.S.Court ofClaims

U.S.Court ofClaims

U.S. Patent& Trademark

Office

U.S. Patent& Trademark

Office

Trial Courts of Limited (Specific) Jurisdiction

U.S. Court of Appeals for theFederal Circuit

U.S. Court of Appeals for theFederal Circuit

U.S. CourtOf Appeals(12 Circuits)

U.S. CourtOf Appeals(12 Circuits)

Lower Appeals Courts

Geographic BoundariesGeographic Boundariesof United States Courts of Appeals and United States District of United States Courts of Appeals and United States District

CourtsCourts

DC

Fed

Bankruptcy Court, Tax Court, Court of International Trade, Patent and Trademark Court - These trial courts in the federal system hear cases appropriate to their names (tax cases in the Tax Court, etc.) Appeals from the Bankruptcy and Tax Courts are heard by the Court of Appeals in the appropriate circuit. Appeals from the Court of International Trade and the Patent & Trademark Court are heard by the Court of Appeals in the Federal Circuit.

U.S. Court of Claims - Hears cases brought against the United States, typically on contract disputes.

Various Federal Agencies - Though not actually a part of the Judicial Branch of the Federal government, many Federal agencies have the power to create and enforce appropriate regulations.

Bankruptcy Court, Tax Court, Court of International Trade, Patent and Trademark Court - These trial courts in the federal system hear cases appropriate to their names (tax cases in the Tax Court, etc.) Appeals from the Bankruptcy and Tax Courts are heard by the Court of Appeals in the appropriate circuit. Appeals from the Court of International Trade and the Patent & Trademark Court are heard by the Court of Appeals in the Federal Circuit.

U.S. Court of Claims - Hears cases brought against the United States, typically on contract disputes.

Various Federal Agencies - Though not actually a part of the Judicial Branch of the Federal government, many Federal agencies have the power to create and enforce appropriate regulations.

Federal Forums of LimitedFederal Forums of Limited(Specific) Jurisdiction(Specific) Jurisdiction

Trial CourtsTrial Courts Almost all cases begin in trial courts, with a judge Almost all cases begin in trial courts, with a judge

and usually a jury.and usually a jury. Trial courts determine the facts of a particular Trial courts determine the facts of a particular

dispute and apply the law to those facts.dispute and apply the law to those facts. Courts can only hear cases under their jurisdiction.Courts can only hear cases under their jurisdiction.

Appellate CourtsAppellate Courts Appeal courts generally accept the facts given to Appeal courts generally accept the facts given to

them by trial courts and just review the trial record them by trial courts and just review the trial record to see if the court made any errors of law.to see if the court made any errors of law.

The highest appeals court in a state is the state The highest appeals court in a state is the state Supreme Court.Supreme Court.

State Court SystemState Court System

Trial CourtsTrial Courts District CourtsDistrict Courts and the and the Boston Municipal CourtsBoston Municipal Courts are the are the

primary trial courts that handle civil cases primary trial courts that handle civil cases <$25,000<$25,000 and and criminal cases where the penalty is criminal cases where the penalty is <5 years<5 years..

Superior CourtsSuperior Courts are the primary trial courts that handle civil are the primary trial courts that handle civil cases cases >$25,000>$25,000 and criminal cases where the penalty is and criminal cases where the penalty is >5 >5 yearsyears. There are 14 Superior Courts whose jurisdictions are . There are 14 Superior Courts whose jurisdictions are divided by county.divided by county.

There are also There are also specialized trial courtsspecialized trial courts, such as Small Claims , such as Small Claims Courts and Traffic Courts.Courts and Traffic Courts.

Appellate CourtsAppellate Courts The The Massachusetts Appeals CourtMassachusetts Appeals Court is the intermediate courts of is the intermediate courts of

appeals.appeals. The highest appeals court is the The highest appeals court is the Massachusetts Supreme Massachusetts Supreme

Judicial CourtJudicial Court..

Massachusetts Court SystemMassachusetts Court System

The Massachusetts Court SystemThe Massachusetts Court System

Trial Courts of Limited (Specific) Jurisdiction

Trial Courts of General JurisdictionOne judge; may have jury

Supreme JudicialCourt

(Highest Appeals Court)

Supreme JudicialCourt

(Highest Appeals Court)

Five Justices sit en banc; may refuse to hear a case; final authority

TrafficCourts

TrafficCourts

SmallClaimsCourts

SmallClaimsCourts

MassachusettsAppeals Court

(Lower Appeals Court)

MassachusettsAppeals Court

(Lower Appeals Court)

Three Justices sit en banc; never a jury

SuperiorCourts

SuperiorCourts

DistrictCourts

DistrictCourts

BostonMunicipal

Court

BostonMunicipal

Court

Probate& FamilyCourts

Probate& FamilyCourts

HousingCourts

HousingCourts

LandCourts

LandCourts

JuvenileCourts

JuvenileCourts

Geographic BoundariesGeographic Boundariesof Massachusetts Trial Courtsof Massachusetts Trial Courts

Small Claims Courts – Hear only civil suits under $2,000

Traffic Courts – Hear only traffic cases

Juvenile Courts – Hear only cases involving minors

Land Courts – Hear land and real property disputes

Probate Courts – Settle estates of deceased persons

Family Courts – Handle marital and child custody issues

Housing Courts – Handle landlord/tenant disputes

Small Claims Courts – Hear only civil suits under $2,000

Traffic Courts – Hear only traffic cases

Juvenile Courts – Hear only cases involving minors

Land Courts – Hear land and real property disputes

Probate Courts – Settle estates of deceased persons

Family Courts – Handle marital and child custody issues

Housing Courts – Handle landlord/tenant disputes

Massachusetts Courts of Limited (Specific) Jurisdiction

Massachusetts Courts of Limited (Specific) Jurisdiction

Litigation vs. Litigation vs. Alternative Dispute ResolutionAlternative Dispute Resolution

LitigationLitigation -- refers to lawsuits; the -- refers to lawsuits; the process of filing claims in court, and process of filing claims in court, and ultimately going to trial. ultimately going to trial.

Alternative Dispute ResolutionAlternative Dispute Resolution -- is -- is any other formal or informal process for any other formal or informal process for settling disputes without going to trial.settling disputes without going to trial.

Alternative Dispute ResolutionAlternative Dispute Resolution(most common forms)(most common forms)

NegotiationNegotiation Parties make offers and counter-offers for settlements.Parties make offers and counter-offers for settlements. May be face-to-face or through lawyers.May be face-to-face or through lawyers.

MediationMediation Neutral person (mediator) attempts to get parties to Neutral person (mediator) attempts to get parties to

reach a voluntary settlement.reach a voluntary settlement. Mediator does not render a decisionMediator does not render a decision..

ArbitrationArbitration Neutral person (arbitrator) is involved.Neutral person (arbitrator) is involved. Arbitrator often has expertise in area of dispute.Arbitrator often has expertise in area of dispute. Arbitrator renders a binding decisionArbitrator renders a binding decision.. Arbitration may be mandatory, if chosen in advance as Arbitration may be mandatory, if chosen in advance as

the method for dispute resolution.the method for dispute resolution.

Alternative Dispute ResolutionAlternative Dispute Resolution(less common forms)(less common forms)

Forum Decision Maker Advantages Conductor

Minitrial Executives of disputing companies

Companies are more likely to settle.

Neutral third party

Summary Jury Trial

Six-member mock jury

Disputants are more likely to settle.

Judge or magistrate

Private Judge

(Judge Judy)

Hired judge Circumstances are like trial, but without a waiting period.

Hired judge

Litigation RoadmapLitigation Roadmap

Steps in Beginning LitigationSteps in Beginning Litigation

Pleadings: Papers that begin a lawsuitPleadings: Papers that begin a lawsuit

1. Complaint1. Complaint

Short, plain statement of the allegations and the legal claims. This is “served” or delivered with a summons.

2. Answer2. Answer A brief reply to the allegations.

3. Counter 3. Counter ClaimClaim

Sometimes the accused party will initiate a second suit in response to the first.

4. Reply4. Reply A brief reply to the counter-claim.

Possible Variations on PleadingsPossible Variations on Pleadings

Class ActionsClass Actions If the plaintiff has evidence that the wrong If the plaintiff has evidence that the wrong

in question has affected a large number of in question has affected a large number of unrelated persons, the suit may become a unrelated persons, the suit may become a class-action suit, with the plaintiff class-action suit, with the plaintiff representing an entire class of plaintiffs.representing an entire class of plaintiffs.

Default JudgmentDefault Judgment If the defendant fails to answer in time, If the defendant fails to answer in time,

the plaintiff will ask for a default judgment, the plaintiff will ask for a default judgment, meaning an automatic win without a trial.meaning an automatic win without a trial.

Example ofa ComplaintExample ofa Complaint

Discovery Discovery -- next step after pleadings-- next step after pleadings

InterrogatoriesInterrogatories -- -- written questions that the written questions that the other party must answer, under oathother party must answer, under oath

DepositionsDepositions -- -- interview (under oath) of other interview (under oath) of other party or potential witnesses; done by opposing lawyerparty or potential witnesses; done by opposing lawyer

Production of EvidenceProduction of Evidence -- -- each side may each side may request to see the other side’s evidence request to see the other side’s evidence

Physical or Mental ExamsPhysical or Mental Exams -- -- one party may one party may request the court to order an examination of the other request the court to order an examination of the other party if relevantparty if relevant

Allows both sides to uncover evidence, encouraging a settlement or ensuring few surprises during a trial.

Discovery (cont’d)Discovery (cont’d)

Sometimes the results from Sometimes the results from interrogatories and depositions will interrogatories and depositions will cause one side or the other to file a cause one side or the other to file a motion in response.motion in response. Motion to compel answers to Motion to compel answers to

interrogatoriesinterrogatories – may be made if one side – may be made if one side thinks the other has not adequately thinks the other has not adequately answered interrogatoriesanswered interrogatories

Motion for protective orderMotion for protective order – is a request – is a request to the court that the other side be made to to the court that the other side be made to reduce the number of depositions.reduce the number of depositions.

Case AnalysisCase AnalysisMotion to StrikeMotion to Strike

Stinton v. Robin’s Wood, Inc., 45 A.D. 3d, 842 NYS2d 477, New York App. Div., 2007

Stinton v. Robin’s Wood, Inc., 45 A.D. 3d, 842 NYS2d 477, New York App. Div., 2007

Facts Issue Decision Reasoning

Facts Issue Decision Reasoning

Other Steps Before TrialOther Steps Before Trial

Summary JudgmentSummary Judgment -- -- a ruling by the a ruling by the court that no trial is necessary because court that no trial is necessary because there are no there are no essentialessential facts in dispute; may facts in dispute; may be requested by either side.be requested by either side.

Final PreparationFinal Preparation -- -- if the case is to if the case is to proceed to trial, both sides make a list of proceed to trial, both sides make a list of witnesses and rehearse questions with their witnesses and rehearse questions with their own witnesses. Preparation is allowed, but own witnesses. Preparation is allowed, but telling the witnesses how to answer is not telling the witnesses how to answer is not legal or ethical.legal or ethical.

Case AnalysisCase AnalysisMotion for Summary JudgmentMotion for Summary Judgment

Jones v. Clinton, 990 F. Supp. 657, 1998 U.S. Dist. LEXIS 3902, United States District Court for the District of Arkansas, 1998 .

Jones v. Clinton, 990 F. Supp. 657, 1998 U.S. Dist. LEXIS 3902, United States District Court for the District of Arkansas, 1998 .

Facts Issue Decision Reasoning

Facts Issue Decision Reasoning

The adversary system presumes that the truth The adversary system presumes that the truth will be found if lawyers are allowed to question will be found if lawyers are allowed to question witnesses for both sides.witnesses for both sides.

Both the plaintiff and the defendant have the Both the plaintiff and the defendant have the right to request a jury trial, but only in those right to request a jury trial, but only in those criminal cases which may result in the death criminal cases which may result in the death penalty or incarceration for a period of greater penalty or incarceration for a period of greater than six months is there an absolute right to a than six months is there an absolute right to a jury trial.jury trial.

Adversary SystemAdversary System

Procedural Rules for a TrialProcedural Rules for a Trial

Burden of ProofBurden of Proof

The plaintiff must convince the jury that The plaintiff must convince the jury that its version of the case is correct.its version of the case is correct.

In a In a civilcivil case, the proof needs to be by a case, the proof needs to be by a preponderance of evidencepreponderance of evidence (meaning at (meaning at least slightly more likely to be true).least slightly more likely to be true).

In a In a criminalcriminal case, the proof required is case, the proof required is higher; it must be higher; it must be beyond a reasonable beyond a reasonable doubtdoubt..

The Plaintiff’s CaseThe Plaintiff’s Case

Opening ArgumentsOpening Arguments This is a brief summary, given by each side, of the This is a brief summary, given by each side, of the

facts they hope to demonstrate.facts they hope to demonstrate.

Plaintiff Calls WitnessesPlaintiff Calls Witnesses Questions to own witnesses is direct examination.Questions to own witnesses is direct examination. Lawyer only asks questions with helpful answers.Lawyer only asks questions with helpful answers.

Defendant Questions WitnessesDefendant Questions Witnesses Questions to opposing witnesses is cross Questions to opposing witnesses is cross

examination.examination. Again, lawyer asks questions with helpful answers.Again, lawyer asks questions with helpful answers.

Defendant Moves for Directed VerdictDefendant Moves for Directed Verdict This is asking the judge to decide that the plaintiff This is asking the judge to decide that the plaintiff

has no case worth proceeding with.has no case worth proceeding with.

The Defendant’s CaseThe Defendant’s Case

Opening ArgumentsOpening Arguments Defendant’s opening arguments were presented Defendant’s opening arguments were presented

earlier, before the plaintiff presented its case.earlier, before the plaintiff presented its case.

Defendant Calls WitnessesDefendant Calls Witnesses Questions to own witnesses is direct examination.Questions to own witnesses is direct examination. Lawyer only asks questions with helpful answers.Lawyer only asks questions with helpful answers.

Plaintiff Questions WitnessesPlaintiff Questions Witnesses Questions to opposing witnesses is cross examination.Questions to opposing witnesses is cross examination. Again, lawyer asks questions with helpful answers.Again, lawyer asks questions with helpful answers.

Closing ArgumentsClosing Arguments Brief summary, by both sides, urging the jury to Brief summary, by both sides, urging the jury to

believe their side of the case.believe their side of the case.

Jury InstructionsJury Instructions The judge instructs the jury to evaluate the case solely The judge instructs the jury to evaluate the case solely

on the facts of the evidence presented.on the facts of the evidence presented.

If the case is influenced by a certain legal If the case is influenced by a certain legal presumption, the judge will summarize that for the presumption, the judge will summarize that for the jury.jury.

Deliberation and VerdictDeliberation and Verdict The jury discusses the case for as long as needed The jury discusses the case for as long as needed

(anywhere from less than an hour to several weeks).(anywhere from less than an hour to several weeks).

Sometimes the jury must be unanimous; other times Sometimes the jury must be unanimous; other times only a majority (at least 7) or a 10-2 vote is required.only a majority (at least 7) or a 10-2 vote is required.

After Both Sides Rest (Finish)After Both Sides Rest (Finish)

Motions after the VerdictMotions after the Verdict The loser might request the judge to overturn the The loser might request the judge to overturn the

verdict on a legal technicality or on a claim that the verdict on a legal technicality or on a claim that the jury ignored the evidence.jury ignored the evidence.

AppealAppeal The recourse for the loser is to file an appeal, a The recourse for the loser is to file an appeal, a

request for a higher court to examine the facts.request for a higher court to examine the facts. The appeals court may affirm the verdict, modify the The appeals court may affirm the verdict, modify the

award, reverse and remand (send it back to trial) or award, reverse and remand (send it back to trial) or simply reverse (overturn) the lower court’s verdict.simply reverse (overturn) the lower court’s verdict.

SettlementSettlement At any point, either side may offer to settle the case, At any point, either side may offer to settle the case,

even between the verdict and the beginning of an even between the verdict and the beginning of an appeal.appeal.

The Trial is Over… or is it?The Trial is Over… or is it?

QuizQuizMatching QuestionsMatching Questions

A.A. ArbitrationArbitration

B.B. Diversity Diversity JurisdictionJurisdiction

C.C. MediationMediation

D.D. InterrogatoriesInterrogatories

E.E. DepositionDeposition

1. 1.  A pretrial procedure involving A pretrial procedure involving written questions to be signed written questions to be signed under oath. under oath.

2. 2.  A form of ADR in which the A form of ADR in which the parties themselves craft the parties themselves craft the settlement.settlement.

3. 3.  A pretrial procedure involving A pretrial procedure involving oral questions answered oral questions answered under oath.under oath.

4. 4.  The power of a federal court The power of a federal court to hear certain cases to hear certain cases between citizens of different between citizens of different states. states.

5. 5.  A form of ADR that leads to a A form of ADR that leads to a binding decision.binding decision.

QuizQuizTrue/False QuestionsTrue/False Questions

1. One advantage of arbitration is that it provides the parties with greater opportunities for discovery than litigation does.

2. In the United States there are many separate courts, but only one court system, organized as a pyramid.

3. If we are listening to witnesses testify, we must be in a trial court.

4. About one-half of all lawsuits settle before trial.

5. In a lawsuit for money damages, bot the plaintiff and the defendant are generally entitled to a jury.

1. One advantage of arbitration is that it provides the parties with greater opportunities for discovery than litigation does.

2. In the United States there are many separate courts, but only one court system, organized as a pyramid.

3. If we are listening to witnesses testify, we must be in a trial court.

4. About one-half of all lawsuits settle before trial.

5. In a lawsuit for money damages, bot the plaintiff and the defendant are generally entitled to a jury.

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FF

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End ofCourts, Litigation,

& Alternative Dispute Resolution

End ofCourts, Litigation,

& Alternative Dispute Resolution