Rules Flashcards
What does Rule 56 deal with?
Summary Judgment
56(a): When is summery judgment granted?
Summary judgement is granted if movant shows there is no genuine dispute of any material fact and is entitled to it as a matter of law
56(a): Who can initiate summary judgement?
Plaintiff, defendant, or the court
Define “material fact”: how does one know a fact is material?
To know a fact is material, check substantive law to see what facts are material to the claims and defenses raised by parties in the case
Define “genuine dispute”
Genuine dispute exists where a jury applying evidentiary standard could reasonably find for either defendant or plaintiff
56(b): How much time is given to file a summary judgement and can it be different?
30 days. Local rule or court can give a different time
Rule 56(c): Movant’s role- How must party asserting a fact cannot be genuinely disputed support the assertion? (2 ways)
1) . Cite to particular parts of materials in the record including depositions, documents etc.
2) . Show cited materials do not establish genuine dispute or adverse party cannot produce admissible evidence
Rule 56(c): Non-movant’s role- How must the party asserting a genuine dispute support the assertion?
Citing to particular parts of materials in record, including depositions, documents etc
56(c): What materials can a lawyer cite to support or oppose a summary judgement motion?
Depositions, Documents, Electronically stored info (ESI), Admissions, Stipulations, Declarations, Affidavits, Interrogatory answers, Other
Define “affidavit”
A voluntary declaration of facts written down and sworn to by the declarant before an officer authorized to administer oaths
What are the 3 requirements of an affidavit?
1) Information must be based on personal experience
2) Set out facts admissible as evidence
3) Show that the affiant is competent to testify on the matter
56(c): Can the court consider material in the record not cited by the parties?
Yes it can but it doesn’t have to
56(d): If the non-movant can show by affidavit/declaration that it can’t present essential facts to justify its opposition what can the court do? (3 things)
1) Defer considering the motion or deny it
2) Allow time to obtain affidavit/ declaration or take discovery
3) Issue any appropriate order
56(e): If a party fails to properly support or address an assertion what can the court do? (4 things)
1) Give the opportunity to properly support/address the fact
2) Consider the fact undisputed for purposes of the motion
3) Grant summary judgement if motion/facts show movant is entitled to it
4) Issue any other appropriate order
What does rule 26 involve?
Discovery
What are the 3 types of required disclosure for Rule 26(a)?
Initial, Expert, Pretrial
26(a) When or by what time must each of the following disclosures take place:
1) Initial. 2) Expert 3) Pretrial
1) At or within 14 days after discovery conference
2) At the time and in sequence that the court orders
3) At least 30 days before trial
Rule 26(a): Expert disclosures- Absent a court order when must disclosures be made?
1) 90 days at least before trial date
2) Within 30 days after another party’s disclosur if evidence is solely contradictory or rebuttal on same subject matter
Rule 26(a): Pretrial objections- when may a party file an objection? What happens to an objection not made?
14 Days after disclosures are made.
An objection not made is waived
26(a): How are disclosures to be made?
In writing, signed or served
26(a) Initial disclosure: What categories of information must be disclosed? (4 categories)
1) Info and subject of info on person who likely has discoverable information ( ie. name, address, etc )
2) Copy - or description by category and location- of all documents, tangible things etc. that disclosing party has or might use to support claims
3) Computation of each category of damages and must provide for inspection of documents etc unless privileged
4) Any insurance agreement where an insurance business might be liable to satisfy all or part of judgement
26(a): Initial disclosure- Must a party make its initial disclosure even if it hasn’t fully investigated?
Yes. It must give all information it has at the time.
25(a): What must a party disclose concerning expert disclosures and what must accompany a specially retained or employed expert witness?
The identity of any witness it may use at trial.
Expert testimony must be accompanied by a written report prepared and signed by the witness.
26(a): What 6 pieces of information are contained within a written report of an expert?
1) Complete statement of all opinions witness will express and basis for them
2) Facts or data considered
3) Any summarizing or supporting exhibits
4) Witness’s qualification including a list of publications within last 10 years
5) List of all other cases within last 4 years where witness testified as expert at trial or deposition
6) Statment of compensation to be paid for study and testimony
26(a): Pretrial disclosures- What 3 things must be disclosed?
1) Name of all witnesses- separate will call vs may call
2) Designation of which testimonies will be by deposition and transcript of pertinent parts if not taken stenographically
3) Identification of each document or exhibit- separating expects to offer vs might offer if needed
What does Rule 26(b) involve?
Discovery Scope and Limits
26(b): When or in what 5 ways is information discoverable?
1) Relevant to any party’s claim or defense
2) Admissible as evidence or may lead to discovery of admissible evidence
3) Not privileged
4) Not protected by ‘work product’ (26(b)(3))
5) Not protected by ‘pertaining to experts’ (26(b)(4))
26(b): What 2 qualifications must discoverable information have so it can be used?
1) Not subject to court order limiting discovery because of burden and proportionality (26(b)(2))
2) Not protected by court-issued protective order (Rule 26)
26(b): What 2 types of information meet the relevancy test?
1) Existence and location of documents or tangible things
2) . Location and identity of persons who know discoverable mattere
26(b): What may initiate a broader scope of inquiry?
For any good cause, the court may order discovery of any matter relevant to subject matter involved in the action
26(b): When does attorney-client privilege apply? (4 ways)
1) . The asserted holder of privilege is sought to become a client
2) . Person to whom communication was made is member of the bar of a court or a subordinate
3) . The communication relates to a fact which the attorney was: informed by client without strangers present for a legal purpose and not for commitment of crime or tort
4) . Privilege was claimed and not waived by client
26(b): To whom or what does the attorney-client privilege apply and what does it protect?
Privilege applies to individuals, corporations, throughout organizations, and to internal employee communications treated as confidential within a cooperation.
Communications are protected NOT facts or information
26(b) How can the attorney-client privilege be asserted? (2 part test)
1) A claim must expressly be made; and
2) The nature of documents, communications, tangible things must be described and in a manner that doesn’t reveal protected privileged info but allows for assessment
26(b): Work Product Privilege- What two steps are necessary to determine work privilege?
1) Material protected because it is a work product
2) If so, is it ever discoverable
26(b): Work Product Privilege- What must be shown to make work product discoverable?
Party must show substantial need for materials and cannot, without undue hardship, obtain substantial equivalent by other means
26(b) Work Product Privilege- What are 2 interpretations of ‘anticipation of litigation’?
1) Documents are protected by work product privilege if they are prepared primarily/ exclusively to assist in litigation
2) . Prepared because of litigation approach - followed by majority of jurisdictions
26(b): Who must prepare the documents in order to be covered under the work product privilege?
By or for another party or its representatives (including: other party’s attorney, consultant, surety, indeminitor, insurer or agent
Information covered by Rule 26(b)(3) is discoverable if the opposing party does what?
1) Establishes info is otherwise discoverable (26(b)(1))
2) Shows substantial need of preparation materials that can’t equivocally be obtained by other means without undue hardship
3) Establishes the info requested is not opinion work
What is an expert? And what type of testimony does one give?
Highly qualified professionals to help the jury understand.
Experts testify to their opinion- it is not fact testimony
What are 4 types of experts? Rule 26(a-b)
1) Retained, expected to testify
2) Retained, not expected to testify
3) Consultant not retained, not expected to testify (only informally consulted)
4) Witnesses whose info (fact/opinion) was not acquired in preparation of trial
What is permitted/not permitted for parties regarding experts under Rule 26(b)?
1) Party may depose any person identified as an expert whose opinion may be presented at trial
2) Party may NOT see drafts of opposing expert’s written report
3) Party may NOT ask the opposing expert about his discussion with the opposing’s counsel
26(b): When and how may a party depose and expert whose opinion may be presented at trial?
After the written report is provided and can be done by interrogatories or depositions
26(b): What are the only 3 exceptions to the inability to ask the opposing expert’s discussion with opposing council?
1) Related to compensation for study or testimony
2) Identify facts or data that the party’s attorney provided and expert considered in forming opinion
3) Identify assumptions that the party’s attorney provided and expert relied on in forming opinion
26(b): In order to depose an expert ‘retained, not expected to testify’ what must be shown? If shown is a written report required?
Exceptional circumstances under which it is impractical for the party to obtain facts/ opinion on same subject by other means must be shown.
No.
Is disclosure permitted/ required for the following experts: 1) retained, not expected to testify 2) consultant not retained, not expected to testify
1) Mandatory disclosure NOT required (26(a)) because not going to testify
2) NO disclosure (or discovery) permitted
For witnesses whose info was not acquired in trial prep (26(b)):
1) give examples of type
2) is there an obligation to provide a name?
3) is a written report required?
4) can they be deposed?
1) Character witness, regular physician, ER doctor
2) No, no obligation exists
3) No, but subject matter and summary of facts must be provided
4) Yes
26(b): What are the competing motions to obtain a court order?
1) Motion to compel the production of information not produced by opposing side
2) Motion for protective order if do not need to produce certain information
26(b): What alterations may the court impose?
1) Alter limits in rules on number of depositions and interrogatories or length of depositions (Rule 30)
2) Limit number of requests (Rule 36)
26(b): ESI- What can the court order? Who bears the burden of proof and must be shown? When can a party not provide discovery of ESI?
1) Court can order party to produce evidence if good cause is shown
2) Party denying production must show undue burden to produce requested ESI
3) If it’s too much of a burden to produce
26(b): Court must limit frequency or extent of discovery if what is determined? (3 things)
1) Discovery sought is unreasonably cumulative duplicative, or can be obtained by more convenient means
2) Party seeking discovery had ample opportunity to obtain information
3) Burden or expense outweighs likely benefit, considering needs of case, amount of controversy, resources, importance of issues and discovery in resolving said issues
26(b): Clawback provision - What must a party do if it gives documents that are privileged during discovery and what must the other party do?
1) Notify the other party
2) Notified party must promptly return, sequester or destroy info
What does Rule 26(c) deal with?
Protective Orders
26(c): What 8 orders can the court issue and on what grounds can a protective order be issued?
1) Forbidding disclosure/ discovery
2) Specifying terms for disclosure/ discovery (time, place etc)
3) Proscribe a discovery method other than one selected by party seeking discovery
4) Forbid inquiry or limit scope of disclosure/ discovery to certain matters
5) Designate persons in attendance while discovery is conducted
6) Require a deposition be sealed and opened only by court order
7) Require a trade secret/ confidential research/ development/ commercial information not be revealed only revealed in a certain way
8) Require simultaneous filing of specified documents/ information in sealed envelopes by parties only to be opened at court directive
Good cause is needed
What does Rule 26(d) concern?
Timing and sequence of discovery
26(d): Where can a party seek discovery? Is there an order to discovery devices or parties?
Parties may not seek discovery from any source except with leave of opposing party or court before discovery conference
There is no order for discovery devices or parties
26(e): Once a party responds to a discovery/ disclosure are they obligated to supplement or correct its disclosure or response?
Yes
To what does Rule 26(f) pertain?
Discovery Conference
26(f): When must a discovery conference occur and who must arrange it?
Conference must occur as soon as practical, at least 21 days before scheduling order is due as issued by the court (Rule 16(b))
Attorneys of record and all unrepresented parties appearing in the case
26(f): What must be in the discovery plan?
1) Changes to be made in timing, form, or requirement of disclosures (Rule 26(a)) including statement of when initial disclosures were made
2) Scope of discovery and timeline of discovery completion
3) Issues about ESI
4) Privilege/ protection issues
5) Limitations on discovery
6) Other orders the court should issue
26(f): When should the discovery plan be submitted? Can the opposing party confer and object to everything? Why do the rules require this?
14 days after the conference
No. There must be a good faith attempt at agreement
The conference might lead to a settlement
What does 26(g) involve? What its the 3 aims?
Signing Disclosures and Discovery Requests
1) Prevent tactical use of excessive discovery requests
2) Prevent tactical use of evasive response to discovery
3) Remind lawyers of professional obligations to court and client
26(g): What is an attorney obliged to sign?
Every disclosure under Rule 26(a), every discovery request, response, or objection
26(g): Regarding disclosures, what certification must be made and when is a supplement required?
Disclosures must be complete and correct as of time made
If the party learns the disclosures are incomplete or incorrect
26(g): What 3 types of documents are expressly covered?
Discovery requests, responses, objections
26(g): What 3 things does an attorney certify upon signing a discovery device?
1) Documents are consistent with rules and warranted by law, by non-frivolous argument for extending, modifying, or reversing existing laws, reversing existing law, or for establishing new law
2) Document is not used for improper purposes ( ie to harass etc)
3) Document is not unreasonalble or unduly burdensome or expensive
26(g): What factors do the court use to determine undue burden or expense?
1) Needs of the case
2) Prior discovery in the case
3) Amount of controversy
4) Importance of issues at stake in the action
26(g): What are the 2 consequences if an attorney fails to sign?
1) No action by the other party until it is signed
2) If it remains unsigned the court must strike it after being brought to the parties attention?
26(g): When are sanctions initiated and what must the court do NOT to impose sanctions?
Sanctions are initiated upon motion or sua sponte
The court could find substantial justification in order not to sanction
To what does Rule 16(a) pertain?
Purpose of a Pretrial conference
16(a): For what 4 purposes may a court order attorneys or unrepresented parties to appear at Pretrial conferences?
1) Expediting disposition of the action
2) Establishing early and continuing control so case will not be protracted
3) Discouraging wasteful pretrial activities
4) Improving quality of the trial via more thorough preperation
What does Rule 16(b) deal with?
Scheduling
16(b): When must a district judge issue a scheduling order? How soon must the judge issue it?
1) After receiving the parties discovery report
2) After consulting with the parties attorney or unrepresented parties at a schedule conference or other communication
Order must be issued as soon as practical or within the earlier of 120 days after any defendant has been served with complaint or 90 days after any defendant has appeared
To what does Rule 36 pertain?
Discovery Devices: Request for admissions
What is Rule 36, a request for admission?
A written request to admit, for pending action only, the truth of matters within scope of Rule 26(b)(1) and relating to: facts, application of law to fact, opinion about either, and genuineness of described documents
Rule 36: Is a matter admitted under the rule conclusively established? Can it be used in another proceeding? When is such a matter not assumed admitted?
Yes, it is conclusively established unless the court, on motion, permits the admission to be withdrawn or amended
No. Admission is not for any other purpose
When, within 30 days after being served, the party to who the request is directed serves on the requesting party a written answer or objection signed by the party or attorney
Rule 36: Can this be served on non-parties? If a party does not admit what must they do? What reason may an answering party give for failing to admit or deny
No. It can only be served on parties by other parties
They must specifically deny
The answering party may assert lack of knowledge or information as a reason
What does Rule 34 deal with?
Producing documents, ESI, and tangible things
Who can use Rule 34?
1) Any party may serve on another party (34(a))
2) As per Rule 45, a non-party may be compelled to produce documents and tangible things or permit inspection(34(c))
What is the rule used for Rule 34(a)?
To allow one party to request the other party to produce documents etc so the requesting party can copy, inspect, test, sample the documents etc
Permits one party to enter onto designated land or other property in the possession/ control of responding party
34(b): What does the requesting party put in the request?
1) Must describe each item or category of items to be inspected
2) Must specify a reasonable time and place for the inspection
3) may specify the form that ESI can be produced
34(b): How and when must the response be formatted?
1) Must be written
2) Must state for each item/category that inspection and related activities will be permitted as requested
3) Must state objection to request with reasons
4) Must produce documents as they are kept in usual course of business or organize and label to correspond to categories in request
5) Party must respond within 30 days of being served
34(a): What limitation is on requested documents/things?
Documents/ things must be in the possession, custody, or control of responding party
What does Rule 45 deal with?
Subpoena
45(a): What must every subpoena contain and who can issue one?
1) State the court from which it issued
2) Command each person to whom it is directed to do the following at a specified time and place: attend and testify, produce documents, tangible things etc, permit inspection of premises
3) State method for recording the testimony
A clerk - signed but otherwise blank
or attorney- may issue and sign as an officer of the court in which the attorney is authorized to practice
45(c): What must a party who objects to inspection etc do?
Serve a written objection on the party or attorney before the earlier of time specified for compliance or 14 days after the subpoena was served
45(c): What must the party issuing the subpoena take reasonable steps to avoid? Must the subpoenaed party be present if it is only for the production of documents etc,or inspection of property?
Imposing undue burden or expense else court must impose appropriate sanction on said party or attorney
Yes, unless subpoena commands them to appear for deposition, hearing, or trial
45(c): An issuing court MUST quash, or modify a subpoena that does what?
1) Fails to allow reasonable time to comply
2) Requires disclosure of privileged/ protected matter if no exception or waiver applies
3) Requires a non-party to travel > 100 mi from residence, work,or in-person business transactions (may be required for trial unless substantial expense will be incurred)
4) Subjects person to undue burden
45(c): The court MAY quash or modify a subpoena that requires what?
1) Disclosure of a trade secret or other confidential research etc
2) Disclosure of an unretained expert’s opinion unrelated to specific occurrences in dispute and results from study not requested by party
3) A person not a party to incur substantial expense to travel > 100 mi to trial
45(c): When may a subpoena require a non-party traveling >100mi incurring substantial expense remain unchanged or unquashed?
If serving party :
1) Shows substantial need for testimony or material not otherwise obtainable without hardship
2) Ensures reasonable compensation
To what does Rule 33 pertain?
Interrogatories to parties
33(a): To what may interrogatories relate, how many can be issued and is it objectionable?
1) Interrogatory can relate to any matter that may be inquired under Rule 26(b) and can ask the application of law to facts
2) 25 may be issued including discrete subparts
3) It isn’t objectionable but court may order interrogatory need not be answered till designated discovery is completed
33(b): When, how, and by whom must interrogatories be answered?
1) Answers must be served or objections raised within 30 days after being served
2) Each interrogatory must be answered separately and fully in writing under oath (person who answers must sign)
3) The party to whom the interrogatories are directed, or if the party is a multi-person entity, an officer or agent must furnish answers available to the party
33(b): How may objections be raised?
Grounds for objecting must be specifically stated, timely, and objecting attorney must sign
Grounds not stated in timely objection are waived
33(b): Can business records be used instead of answering?
Yes (Rule 33(d)). Records to be reviewed may be specified and reasonable time given for inspection
To what does Rule 30 pertain?
Depositions by oral examination
What is a deposition?
Oral questioning of any person or party
30(a): When may a party depose a person without leave of the court?
When the number of depositions is 10 or under
30(a): When must a party obtain leave of the court for deposition and the court grant it?
1) The parties have not stipulated to the deposition
2) The deposition is greater than 10
3) The deponent has already been deposed in the case
4) Party wants to depose before time allowed (Rule 26(d))
5) Deponent is confined in prison
30(b): What must be given when deposing a party? A non-party?
1) written notice to every party including stating method of recording testimony
2) time, place, of deposition as well as name, address, or description of deponent
1) written notice to every party including stating method of recording testimony
2) location must not be >100 mi from non-party’s residence unless substantial need is found
30(b): How may a testimony be recorded?
Audio, audiovisual, or stenographic means
30(b): What happens at a deposition?
1) Must be conducted before an officer appointed or designated under Rule 28
2) Officer must begin on record deposition by stating certain things
3) At the end officer must state that it is over