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Slide1
Dispute Resolution
CHAPTER 3Slide2
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Quote of the DayFacts are ventriloquists’ dummies. Sitting on a wise man’s knee they may be made to utter words of wisdom; elsewhere, they say nothing, or talk nonsense or indulge in sheer diabolism.”
Aldus Huxley, British AuthorSlide4
Litigation
vs.
Alternative Dispute Resolution
Litigation refers to lawsuits; the process of filing claims in court, and ultimately going to trial.
Alternative Dispute Resolution is any other formal or informal process for settling disputes without going to trial.Slide5
Alternative Dispute Resolution
(most common forms)
Negotiation
Parties make settlement offers and counter-offers.
May be face-to-face or working through lawyers.
Mediation
Neutral person (mediator) attempts to get parties to reach a voluntary settlement.
Mediation may be ordered by a judge.
Mediator does not render a decision.
Arbitration
Neutral person (arbitrator) is involved.
Arbitrator does render a binding decision.Arbitration may be mandatory, if chosen in advance as the method for dispute resolution. Slide6
State Court System
Trial Courts of General Jurisdiction
State Supreme Court
(Highest Appeals Court)
Lower Appeals Courts
General Civil Division
General Criminal Division
Small Claims Division
Municipal Division
Juvenile Division
Probate Division
Land Division
Domestic Relations Division
One judge; may have jury
One judge; may have jury
Three judges; never a jury
Usually 7 Justices; may refuse to hear a case; final authority
Click on any box below for a definition of the jurisdiction of that trial court.
Trial Courts of Limited (or Specific) JurisdictionSlide7
Federal Courts -- Two kinds of civil lawsuits permitted
Federal Question CasesA claim based on the US Constitution, a federal statute, or a federal treatyDiversity CasesWhen the plaintiff and defendant are citizens of two different states, ANDthe amount in dispute is greater than $75,000Slide8
Primary Trial Court
Trial Courts of Limited
(Specific) Jurisdiction
United States
Supreme Court
(
Highest Appeals Court
)
Lower Appeals Courts
U.S. District Courts
U.S. Bankruptcy Courts
U.S. Tax Courts
Various Federal Agencies
U.S. Court of International Trade
U.S. Claims Court
U.S. Patent & Trademark Office
Trial Courts of Limited (Specific) Jurisdiction
Three judges hear each case, brought up from the District Courts.
Nine Justices; appointed for life; may refuse to hear a case; final authority
Click on any box below for a definition of the jurisdiction of that trial court.
U.S. Courts of Appeals (12 Circuits)
U.S. Court of Appeals for the Federal Circuit
Hears appeals from specialized trial courts.
*
Click here to see a map of the 12 Circuits of the U.S. Courts of Appeals.The Federal Court SystemSlide9
Steps in Beginning LitigationPleadings: Papers that begin a lawsuit
1. Complaint --
Short, plain statement of the allegations and the legal claims.
This is “served” or delivered with a summons.
2. Answer --
A brief reply to the allegations.
3. Counter-Claim --
Sometimes the accused party will initiate a second suit in response to the first.
4. Reply --
A brief reply to the counter-claim.Slide10
Possible Variations on PleadingsCounter-claimIf the accused party thinks the accusing party has contributed to the problem or has wronged them, they may file a second suit, in reverse of the first.
Class ActionsIf the plaintiff has evidence that the wrong in question has affected a large number of unrelated persons, the suit may become a class-action suit, with the plaintiff representing an entire class of plaintiffs.Judgment on the PleadingsEither party can ask the court for a judgment based on the initial complaint and answer, but few cases are dismissed at this point.Slide11
Discovery -- next step after pleadingsInterrogatories --
written questions that the other party must answer, under oathDepositions -- interview (under oath) of other party or potential witnesses; done by opposing lawyerProduction of Evidence -- each side may request to see the other side’s evidenceRequests for Admission --
each side may request that undisputed facts be admitted or denied, to avoid wasting time on them
Discovery allows both sides to uncover evidence, encouraging a settlement without trial or ensuring few surprises during a trial.Slide12
Other Steps Before TrialSummary Judgment -- a ruling by the court that no trial is necessary because there are no essential facts in dispute; may be requested by either side.
Final Preparation -- if the case is to proceed to trial, both sides make a list of witnesses and rehearse questions with their own witnesses. Preparation is allowed, but telling the witnesses how to answer is not legal or ethical.Slide13
Beginning a TrialJury Selection:
Process called voir dire
1. Questioning --
Each potential juror is questioned, to uncover biases.
If both sides agree, they may waive their right to a jury.
2. Challenges for Cause --
Each side can claim any juror shows significant bias.
3. Peremptory Challenges --
Each lawyer can dismiss a limited number of jurors without stating a reason.
4. Jury Chosen --
12 jurors and 2 alternatesSlide14
Procedural Rules for a TrialBurden of ProofThe plaintiff must convince the jury that its version of the case is correct.In a civil case, the proof needs to be by a preponderance of evidence (meaning at least slightly more likely to be true).
In a criminal case, the proof required is higher; it must be beyond a reasonable doubt.Rules of EvidenceLawyers are allowed to ask only questions that are relevant to the case.Slide15
The Plaintiff’s CaseFirst, Opening Arguments
This is a brief summary, given by each side, of the facts they hope to demonstrate.Plaintiff Calls WitnessesQuestions to own witnesses is direct examination.Lawyer only asks questions with helpful answers.
Defendant Questions Witnesses
Questions to opposing witnesses is cross examination.
Again, lawyer asks questions with helpful answers.
Defendant Moves for Directed Verdict
This is asking the judge to decide that the plaintiff has no case worth proceeding with.Slide16
The Defendant’s CaseOpening Arguments
Defendant’s opening arguments were presented earlier, before the plaintiff presented its case.Defendant Calls WitnessesQuestions to own witnesses is direct examination.Lawyer only asks questions with helpful answers.
Plaintiff Questions Witnesses
Questions to opposing witnesses is cross examination.
Again, lawyer asks questions with helpful answers.
Closing Arguments
Brief summary, by both sides, urging the jury to believe their side of the case.Slide17
After Both Sides Rest
(Finish)
Jury Instructions
The judge instructs the jury to evaluate the case solely on the facts of the evidence presented.
If the case is influenced by a certain legal presumption, the judge will summarize that for the jury.
Deliberation and Verdict
The jury discusses the case for as long as needed (anywhere from less than an hour to several weeks).
Sometimes the jury must be unanimous; other times only a majority (at least 7) or a 10-2 vote is required.Slide18
The Trial is Over… or is it?
Motions after the Verdict
The loser might request a judgment
n.o.v
., asking the judge to overturn the verdict on a legal technicality or on a claim that the jury ignored the evidence.
If the judgment
n.o.v
. is denied, the losing side may request a new trial, on the same claims.
Appeal
The next recourse
for the loser is to file an appeal, a request for a higher court to examine the facts.The appeals court may affirm the verdict, modify the award, reverse and remand (send it back to trial) or simply reverse (overturn) the lower court’s verdict.
SettlementAt any point, either side may offer to settle the case, even between the verdict and the beginning of an appeal.Slide19
The process of litigation, with its potential for errors or biases, may influence the outcome of a dispute as strongly as the law itself. That is all the more reason to prevent disputes if possible, or to use alternative methods of dispute resolution.Slide20
General Civil Division Trial CourtsMay hear virtually any civil lawsuit.
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General Criminal Division Trial CourtsMay hear virtually any criminal lawsuit.
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Small Claims Division Trial CourtHears only civil suits under a minimum dollar value amount (such as $2,500).
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Municipal Division Trial Court
Hears traffic cases and minor criminal suits.
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Juvenile Division Trial CourtHears only cases involving minors.
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Probate Division Trial CourtSettles estates of deceased persons.
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Land Division Trial CourtHears land and real property disputes.
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Domestic Relations Division Trial CourtHandles marital and child custody issues.
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U.S. District Trial CourtPrimary trial courts in the federal system; the nation is divided into 96 districts (based on population), with one court per district.
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Bankruptcy Court Tax CourtCourt of International Trade
Patent and Trademark CourtThese 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.
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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.
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U.S. Claims CourtHears cases brought against the United States, typically on contract disputes.
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Circuits in the Federal Court System
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Puerto Rico is
part of Circuit
1
Virgin Islands are part of Circuit 3
Northern Marianna Islands are part of Circuit 9 (along with Alaska and Hawaii.)
Source: Administrative Office of the United States Courts, January 1983
6
1
2
3
4
11
5
7
8
9
10
D.C. Circuit
Washington, D.C.
Federal Circuit
Washington, D.C.