Solution Manual For The Litigation Paralegal: A Systems Approach, 6th Edition
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’s Manual
to Accompany
The Litigation Paralegal:
A Systems Approach
Sixth Edition
J AMES W. H. MCC ORD
PAMELA R. TEPPER
SOLUTION MANUAL
to Accompany
The Litigation Paralegal:
A Systems Approach
Sixth Edition
J AMES W. H. MCC ORD
PAMELA R. TEPPER
SOLUTION MANUAL
iv
CONTENTS
Introduction v
Chapter 1 Welcome to the Law Office: Foundations for Litigation 1
Chapter 2 The Initial Interview 24
Chapter 3 Evidence and Investigation 47
Chapter 4 Drafting the Complaint 82
Chapter 5 Filing the Lawsuit, Service of Process, and Obtaining a Default Judgment 101
Chapter 6 Defending and Testing the Lawsuit: Motions, Answers, and
Other Responsive Pleadings 118
Chapter 7 Discovery and Electronic Discovery: Overview and Interrogatories 142
Chapter 8 Discovery: Depositions 164
Chapter 9 Discovery: Document Production and Control, Medical Exams, Admissions,
and Compelling Discovery 185
Chapter 10 Settlement and Other Alternative Dispute Resolutions 210
Chapter 11 Trial Preparation and Trial 229
Chapter 12 Post-Trial Practice from Motions to Appeal 251
CONTENTS
Introduction v
Chapter 1 Welcome to the Law Office: Foundations for Litigation 1
Chapter 2 The Initial Interview 24
Chapter 3 Evidence and Investigation 47
Chapter 4 Drafting the Complaint 82
Chapter 5 Filing the Lawsuit, Service of Process, and Obtaining a Default Judgment 101
Chapter 6 Defending and Testing the Lawsuit: Motions, Answers, and
Other Responsive Pleadings 118
Chapter 7 Discovery and Electronic Discovery: Overview and Interrogatories 142
Chapter 8 Discovery: Depositions 164
Chapter 9 Discovery: Document Production and Control, Medical Exams, Admissions,
and Compelling Discovery 185
Chapter 10 Settlement and Other Alternative Dispute Resolutions 210
Chapter 11 Trial Preparation and Trial 229
Chapter 12 Post-Trial Practice from Motions to Appeal 251
iv
CONTENTS
Introduction v
Chapter 1 Welcome to the Law Office: Foundations for Litigation 1
Chapter 2 The Initial Interview 24
Chapter 3 Evidence and Investigation 47
Chapter 4 Drafting the Complaint 82
Chapter 5 Filing the Lawsuit, Service of Process, and Obtaining a Default Judgment 101
Chapter 6 Defending and Testing the Lawsuit: Motions, Answers, and
Other Responsive Pleadings 118
Chapter 7 Discovery and Electronic Discovery: Overview and Interrogatories 142
Chapter 8 Discovery: Depositions 164
Chapter 9 Discovery: Document Production and Control, Medical Exams, Admissions,
and Compelling Discovery 185
Chapter 10 Settlement and Other Alternative Dispute Resolutions 210
Chapter 11 Trial Preparation and Trial 229
Chapter 12 Post-Trial Practice from Motions to Appeal 251
CONTENTS
Introduction v
Chapter 1 Welcome to the Law Office: Foundations for Litigation 1
Chapter 2 The Initial Interview 24
Chapter 3 Evidence and Investigation 47
Chapter 4 Drafting the Complaint 82
Chapter 5 Filing the Lawsuit, Service of Process, and Obtaining a Default Judgment 101
Chapter 6 Defending and Testing the Lawsuit: Motions, Answers, and
Other Responsive Pleadings 118
Chapter 7 Discovery and Electronic Discovery: Overview and Interrogatories 142
Chapter 8 Discovery: Depositions 164
Chapter 9 Discovery: Document Production and Control, Medical Exams, Admissions,
and Compelling Discovery 185
Chapter 10 Settlement and Other Alternative Dispute Resolutions 210
Chapter 11 Trial Preparation and Trial 229
Chapter 12 Post-Trial Practice from Motions to Appeal 251
v
INTRODUCTION
A COURSE PLAN
This ’s Manual is a resource of teaching ideas and materials to accompany The Litigation Para-
legal: A Systems Approach, Sixth Edition, by James W. H. McCord and Pamela R. Tepper. The text and
’s Manual form an integrated but flexible course plan consisting of substantive text, study aids,
exercises in paralegal skills (competencies), classroom activities, Internet exercises, case assignments,
discussion points, review questions, systems and application assignments, a test bank, and answer keys
to both assignments and tests.
The approach of the text places the student in a law office setting where the instructor assumes the role
of the paralegals’ supervising attorney. This office training procedure uses a systems approach in which
the student incrementally develops a litigation systems folder, complete with forms, documents, check-
lists, rules, and practice tips. The system is complete at the end of the course and should provide students
with a valuable resource as they embark on their careers, and can be used as a job reference manual.
The integrated materials are designed to give the instructor maximum flexibility in determining the
course objectives and choosing the assignments and exercises most compatible with those objectives and
the time available.
THE SYSTEMS FOLDER
A systems folder is a detailed procedural manual providing direction, forms, and checklists for tasks regu-
larly performed by a paralegal. As a resource for the paralegal, it provides obvious advantages in efficien-
cy, uniformity, accuracy, and quality. It also can be regularly updated.
Use of the systems folder has proven valuable in both teaching and learning litigation paralegal skills.
Because a good systems folder helps the student on the job, and perhaps in securing a job, the systems
folder provides an extra incentive to do the assignments thoroughly and accurately. It helps the student
learn the benefits of being organized and develop the confidence to create a system in any area of law.
Utilization of the systems approach also reinforces the skills presented in the text.
Although this approach can be useful to both the instructor and the students, it is not necessary to the
productive use of the text and the ’s Manual. The key is flexibility; use a process with which
you are comfortable.
Appendix A at the end of the text provides an outline of the contents of a completed systems folder.
ASSESSMENT
The following features of the integrated course plan can be used as assessment tools:
1. A broad chapter objective
2. The completed systems folder as a course portfolio
3. A collection of selected end-of-chapter assignments and exercises as a course portfolio
4. .Internet Exercises and Apply Your Knowledge exercises throughout the chapters
5. Tests compiled from the ’s Manual Test Bank as pre- and post-tests
6. Selected Test Bank questions incorporated into an overall program exit assessment exam
THE TEXT
The Litigation Paralegal: A Systems Approach, Sixth Edition introduces students to the law office and
takes them chronologically through the steps and tasks involved in litigation, from fact situations of cases
they will be working on to judgment enforcement and appeal. Chapter by chapter, students build profi-
ciency in the specific tasks or competencies required of them as paralegals.
INTRODUCTION
A COURSE PLAN
This ’s Manual is a resource of teaching ideas and materials to accompany The Litigation Para-
legal: A Systems Approach, Sixth Edition, by James W. H. McCord and Pamela R. Tepper. The text and
’s Manual form an integrated but flexible course plan consisting of substantive text, study aids,
exercises in paralegal skills (competencies), classroom activities, Internet exercises, case assignments,
discussion points, review questions, systems and application assignments, a test bank, and answer keys
to both assignments and tests.
The approach of the text places the student in a law office setting where the instructor assumes the role
of the paralegals’ supervising attorney. This office training procedure uses a systems approach in which
the student incrementally develops a litigation systems folder, complete with forms, documents, check-
lists, rules, and practice tips. The system is complete at the end of the course and should provide students
with a valuable resource as they embark on their careers, and can be used as a job reference manual.
The integrated materials are designed to give the instructor maximum flexibility in determining the
course objectives and choosing the assignments and exercises most compatible with those objectives and
the time available.
THE SYSTEMS FOLDER
A systems folder is a detailed procedural manual providing direction, forms, and checklists for tasks regu-
larly performed by a paralegal. As a resource for the paralegal, it provides obvious advantages in efficien-
cy, uniformity, accuracy, and quality. It also can be regularly updated.
Use of the systems folder has proven valuable in both teaching and learning litigation paralegal skills.
Because a good systems folder helps the student on the job, and perhaps in securing a job, the systems
folder provides an extra incentive to do the assignments thoroughly and accurately. It helps the student
learn the benefits of being organized and develop the confidence to create a system in any area of law.
Utilization of the systems approach also reinforces the skills presented in the text.
Although this approach can be useful to both the instructor and the students, it is not necessary to the
productive use of the text and the ’s Manual. The key is flexibility; use a process with which
you are comfortable.
Appendix A at the end of the text provides an outline of the contents of a completed systems folder.
ASSESSMENT
The following features of the integrated course plan can be used as assessment tools:
1. A broad chapter objective
2. The completed systems folder as a course portfolio
3. A collection of selected end-of-chapter assignments and exercises as a course portfolio
4. .Internet Exercises and Apply Your Knowledge exercises throughout the chapters
5. Tests compiled from the ’s Manual Test Bank as pre- and post-tests
6. Selected Test Bank questions incorporated into an overall program exit assessment exam
THE TEXT
The Litigation Paralegal: A Systems Approach, Sixth Edition introduces students to the law office and
takes them chronologically through the steps and tasks involved in litigation, from fact situations of cases
they will be working on to judgment enforcement and appeal. Chapter by chapter, students build profi-
ciency in the specific tasks or competencies required of them as paralegals.
vi Introduction
In each chapter the student is given the following:
1. One or more specific litigation tasks
2. Substantive and procedural background on the task
3. Guidelines and directions on how to perform the task
4. Examples from a sample case on how to perform the task
5. Key terms and definitions
6. Internet Exercises and Apply Your Knowledge Law exercises to build computer skills
7. Ethical Considerations to offer guidance on the distinction between the role of the attorney and para-
legal
8. Trade Secrets to assist paralegals in their day-to-day job assignments
9. Practical systems and application assignments to test understanding of the legal concepts discussed
within the text
10. Drafting exercises to introduce students to the types of legal documents they will prepare on the job
THE ’S MANUAL
For each chapter, this manual provides the following:
1. Chapter objective
2. Suggestions for instructional supplements
3. Suggestions for class activities
4. Suggested answers to the text questions and assignments
5. Suggested answers to the additional MindTap questions and assignments and practice tests.
6. Test Bank and Test Bank Answer Key
MOCK TRIAL
This activity captures student interest and heightens motivation toward the conclusion of the course when
the attention of some students begins to wane.
Many of the assignments in the text may be used as building blocks for the mock trial. Any of the
Chapter 1 cases can be used, or another case that you might choose. If the Forrester or Ameche case is
used, there are numerous assignments throughout the text that are particularly appropriate for dividing the
class into teams representing the plaintiff(s) or defendant(s). The trial can be held over two to three class
periods or at a longer special evening or weekend session. This session might be held in a local courtroom
to lend an aura of reality. The instructor, a local attorney, or a judge can serve as trial judge. (It is best to
ask someone else to serve as judge so you are free to evaluate each student’s work.) Background infor-
mation, pleadings, depositions, and other materials will have been accumulated by the end of the course
to provide the gist for the trial.
Procedure
Divide the class into legal teams for the plaintiff and defendant. Each team can have as many as six or
seven members responsible for various aspects of the case, such as opening, direct examination of witness
A, cross-examination of defendant’s witness C, closing, and so forth. When not actually playing the law-
yer’s role, students can serve as supporting paralegals keeping track of documents and making sugges-
tions when needed.
Some of the class will be assigned to be key witnesses for each side. Although the witnesses may have
the benefit of material covered previously in the text and chapter assignments, all witnesses will need
some general parameters for their testimony. To keep workloads as even as possible, witnesses also could
be assigned some of the trial preparation tasks to ease the burden of the legal teams. Remaining students
can be assigned as jurors. Students from outside class can be used as jurors if you have a small class.
(Students from an Introduction to Law class make good jurors. This is a valuable learning experience for
them, too.) If the class is particularly large, you could have two juries.
In each chapter the student is given the following:
1. One or more specific litigation tasks
2. Substantive and procedural background on the task
3. Guidelines and directions on how to perform the task
4. Examples from a sample case on how to perform the task
5. Key terms and definitions
6. Internet Exercises and Apply Your Knowledge Law exercises to build computer skills
7. Ethical Considerations to offer guidance on the distinction between the role of the attorney and para-
legal
8. Trade Secrets to assist paralegals in their day-to-day job assignments
9. Practical systems and application assignments to test understanding of the legal concepts discussed
within the text
10. Drafting exercises to introduce students to the types of legal documents they will prepare on the job
THE ’S MANUAL
For each chapter, this manual provides the following:
1. Chapter objective
2. Suggestions for instructional supplements
3. Suggestions for class activities
4. Suggested answers to the text questions and assignments
5. Suggested answers to the additional MindTap questions and assignments and practice tests.
6. Test Bank and Test Bank Answer Key
MOCK TRIAL
This activity captures student interest and heightens motivation toward the conclusion of the course when
the attention of some students begins to wane.
Many of the assignments in the text may be used as building blocks for the mock trial. Any of the
Chapter 1 cases can be used, or another case that you might choose. If the Forrester or Ameche case is
used, there are numerous assignments throughout the text that are particularly appropriate for dividing the
class into teams representing the plaintiff(s) or defendant(s). The trial can be held over two to three class
periods or at a longer special evening or weekend session. This session might be held in a local courtroom
to lend an aura of reality. The instructor, a local attorney, or a judge can serve as trial judge. (It is best to
ask someone else to serve as judge so you are free to evaluate each student’s work.) Background infor-
mation, pleadings, depositions, and other materials will have been accumulated by the end of the course
to provide the gist for the trial.
Procedure
Divide the class into legal teams for the plaintiff and defendant. Each team can have as many as six or
seven members responsible for various aspects of the case, such as opening, direct examination of witness
A, cross-examination of defendant’s witness C, closing, and so forth. When not actually playing the law-
yer’s role, students can serve as supporting paralegals keeping track of documents and making sugges-
tions when needed.
Some of the class will be assigned to be key witnesses for each side. Although the witnesses may have
the benefit of material covered previously in the text and chapter assignments, all witnesses will need
some general parameters for their testimony. To keep workloads as even as possible, witnesses also could
be assigned some of the trial preparation tasks to ease the burden of the legal teams. Remaining students
can be assigned as jurors. Students from outside class can be used as jurors if you have a small class.
(Students from an Introduction to Law class make good jurors. This is a valuable learning experience for
them, too.) If the class is particularly large, you could have two juries.
Introduction vii
Each juror is responsible for a critique of his or her jury’s decision process and why the jury decided
the way it did. Several students could be asked to read their critiques as a concluding activity focusing on
jury dynamics. For those schools so equipped, a closed-circuit video may be arranged so the student legal
teams and witnesses can watch the deliberation process.
The following witnesses could be used for the Forrester case:*
Ms. Forrester
Mr. Hart
Mr. or Ms. _________, officer at Mercury Parcel
Ms. Schnabel
Ms. Forrester’s physician(s)
First police officer on scene
Physician for Mercury Parcel
Mechanic at Mercury Parcel
Mr. Forrester
For the Ameche case:*
Mr. and Ms. Ameche
Mr. and Ms. Congden
Robert Warren
Electrical expert (saying fire is possible if conditions were right; it is possible that moving the ex-
tension cord may or may not have increased the likelihood of fire)
Physician for Mr. Ameche
Physician for Congdens
First police officer or firefighter on the scene
The time for opening arguments, direct examination and cross-examination, and other matters will
have to be calculated and strictly enforced. The maximum time for jury deliberation will have to be de-
termined according to how much class time remains.
The jury also should be given guidelines, such as the following: choose a foreperson; discuss the most
critical aspects of evidence, the plaintiff’s burden of proof, whether all elements are proved to their satis-
faction, and whether the defendant is negligent and, if so, how much in damages should be awarded.
Critiquing
This class project can be assessed in several ways. Evaluation can be on the basis of a written analysis by
each student of his or her role or task and what the student learned overall from the experience. Another
method is based on the individual performance of each student’s assigned task.
Further Suggestions
Opening and closing arguments should be kept brief, possibly no more than five minutes for each side.
Most of the time should be allotted to witness testimony through direct examination and cross-
examination. Judges should deal with objections quickly, giving some latitude to questions and evidence
to speed the trial along. Demonstrative evidence can be permitted but needs to be approved ahead of time
by the instructor to see that common sense applies and that such evidence does not impair the speed and
* A small team of students could be assigned early in the course the task of drafting the witness background information sheets
so that the case is close but slightly tilted in one direction. They could be told to draft it both ways so that you have the choice
and can prevent leaks on which direction the testimony will lean. This is a valuable assignment because it forces the students to
focus on elements and needed evidence to support those elements.
Each juror is responsible for a critique of his or her jury’s decision process and why the jury decided
the way it did. Several students could be asked to read their critiques as a concluding activity focusing on
jury dynamics. For those schools so equipped, a closed-circuit video may be arranged so the student legal
teams and witnesses can watch the deliberation process.
The following witnesses could be used for the Forrester case:*
Ms. Forrester
Mr. Hart
Mr. or Ms. _________, officer at Mercury Parcel
Ms. Schnabel
Ms. Forrester’s physician(s)
First police officer on scene
Physician for Mercury Parcel
Mechanic at Mercury Parcel
Mr. Forrester
For the Ameche case:*
Mr. and Ms. Ameche
Mr. and Ms. Congden
Robert Warren
Electrical expert (saying fire is possible if conditions were right; it is possible that moving the ex-
tension cord may or may not have increased the likelihood of fire)
Physician for Mr. Ameche
Physician for Congdens
First police officer or firefighter on the scene
The time for opening arguments, direct examination and cross-examination, and other matters will
have to be calculated and strictly enforced. The maximum time for jury deliberation will have to be de-
termined according to how much class time remains.
The jury also should be given guidelines, such as the following: choose a foreperson; discuss the most
critical aspects of evidence, the plaintiff’s burden of proof, whether all elements are proved to their satis-
faction, and whether the defendant is negligent and, if so, how much in damages should be awarded.
Critiquing
This class project can be assessed in several ways. Evaluation can be on the basis of a written analysis by
each student of his or her role or task and what the student learned overall from the experience. Another
method is based on the individual performance of each student’s assigned task.
Further Suggestions
Opening and closing arguments should be kept brief, possibly no more than five minutes for each side.
Most of the time should be allotted to witness testimony through direct examination and cross-
examination. Judges should deal with objections quickly, giving some latitude to questions and evidence
to speed the trial along. Demonstrative evidence can be permitted but needs to be approved ahead of time
by the instructor to see that common sense applies and that such evidence does not impair the speed and
* A small team of students could be assigned early in the course the task of drafting the witness background information sheets
so that the case is close but slightly tilted in one direction. They could be told to draft it both ways so that you have the choice
and can prevent leaks on which direction the testimony will lean. This is a valuable assignment because it forces the students to
focus on elements and needed evidence to support those elements.
Loading page 6...
viii Introduction
fairness of the trial. Some instructions may be read to the jury by the judge, but they should be kept brief
and go to the heart of the elements in the case. Unless there is a lot of time, jury deliberation should be
kept to thirty minutes. It will be the foreperson’s job to see that a decision is made in that time.
STUDENT FAIR
Fellow educator Faith O’Reilly has developed a student fair that provides another focus to the course. At
the end of the litigation course, the students display their systems folders to a team of judges and lawyers.
Based on some criteria established by the instructor, the judges evaluate the systems folders and ask the
students questions. They decide on several top places and some honorable mentions. This provides an
extra incentive for each student to be conscientious in the preparation of the systems folder, especially
near the end of the course. A further benefit is getting prospective employers to see and appreciate the
ability of the students and the quality of their instruction.
ASSIGNMENTS AND GRADING
If this text is to be covered in one semester, it is not realistic to expect students to complete all the as-
signments provided in each chapter. The purpose of some assignments is simply to provide more practice
for those who need it in an area that has already been covered; others repeat an area, but from a different
angle. Many assignments are flexible, allowing you to insert material, forms, or cases from your own ex-
perience or additional student research. Select the assignments that best fit the needs of your students and
your time frame. When deciding what assignments are appropriate for your course, consider checking the
answer or comment provided in the ’s Manual prior to making the assignment to confirm that it
is consistent with your objectives and whether added information, such as state practice, is needed.
The chapter exercises require the student to prepare a variety of documents. Every student ought to be
able to do many of these assignments accurately and completely, leaving little if any differentiation be-
tween a grade of A and a grade of C on the assignment. In such instances, it is the drafting and familiarity
with the documents that are paramount. Therefore, you may wish to consider using S (satisfactory) or U
(unsatisfactory—to be redone) as a more practical system for grading such assignments. It might be added
that eventually all such assignments must be completed satisfactorily to receive a passing grade in the
course. This procedure will avoid the problem of watering down your A, which should be reserved for
those assignments in which the difference in student learning or abilities will be more apparent and meas-
urable.
James W. H. McCord
Pamela R. Tepper
fairness of the trial. Some instructions may be read to the jury by the judge, but they should be kept brief
and go to the heart of the elements in the case. Unless there is a lot of time, jury deliberation should be
kept to thirty minutes. It will be the foreperson’s job to see that a decision is made in that time.
STUDENT FAIR
Fellow educator Faith O’Reilly has developed a student fair that provides another focus to the course. At
the end of the litigation course, the students display their systems folders to a team of judges and lawyers.
Based on some criteria established by the instructor, the judges evaluate the systems folders and ask the
students questions. They decide on several top places and some honorable mentions. This provides an
extra incentive for each student to be conscientious in the preparation of the systems folder, especially
near the end of the course. A further benefit is getting prospective employers to see and appreciate the
ability of the students and the quality of their instruction.
ASSIGNMENTS AND GRADING
If this text is to be covered in one semester, it is not realistic to expect students to complete all the as-
signments provided in each chapter. The purpose of some assignments is simply to provide more practice
for those who need it in an area that has already been covered; others repeat an area, but from a different
angle. Many assignments are flexible, allowing you to insert material, forms, or cases from your own ex-
perience or additional student research. Select the assignments that best fit the needs of your students and
your time frame. When deciding what assignments are appropriate for your course, consider checking the
answer or comment provided in the ’s Manual prior to making the assignment to confirm that it
is consistent with your objectives and whether added information, such as state practice, is needed.
The chapter exercises require the student to prepare a variety of documents. Every student ought to be
able to do many of these assignments accurately and completely, leaving little if any differentiation be-
tween a grade of A and a grade of C on the assignment. In such instances, it is the drafting and familiarity
with the documents that are paramount. Therefore, you may wish to consider using S (satisfactory) or U
(unsatisfactory—to be redone) as a more practical system for grading such assignments. It might be added
that eventually all such assignments must be completed satisfactorily to receive a passing grade in the
course. This procedure will avoid the problem of watering down your A, which should be reserved for
those assignments in which the difference in student learning or abilities will be more apparent and meas-
urable.
James W. H. McCord
Pamela R. Tepper
Loading page 7...
1
C HAPTER 1: WELCOME TO THE LAW OFFICE :
FOUNDATIONS FOR LITIGATION
CHAPTER OBJECTIVES
• Understand the role of the paralegal in the law office
• Recognize the importance of law office procedures in the practice of law
• Explain the ethical obligations of the paralegal in the legal arena
• Distinguish between the federal and state court systems
• Identify the different types of jurisdiction and in which court cases should be filed
The purpose of this chapter is to give students the feeling that they are starting work in a law office. The
first section provides case “stories” that demonstrate the kinds of events that may lead to litigation.
The stories give the necessary factual settings for many of the assignments and examples in the text, and
bring them to life.
The Paralegal Handbook section is “the firm’s” introduction to the office, its personnel, the role of the
paralegal, important procedures, professional ethics, and professional development. It also introduces the
systems approach. The section following the handbook provides an introduction to (or review of) court
structure, jurisdiction, and venue.
PREPARING FOR CLASS: INSTRUCTIONAL SUPPLEMENTS
1. Preview the chapter questions and assignments.
2. Re: Case V. Note that sexual harassment under Title VII of the 1964 Civil Rights Act can be based
on qualitative and quantitative differences in offensive conduct toward female and male employees,
and does not have to be lewd or sexual in nature [Christopher v. National Education Ass'n. No. 04-
35029 (9th Cir. 2005, Sept. 2)].
3. Have on hand the following information:
• A diagram of your state court structure and a detailed description of the jurisdiction of each
court
• Names, addresses, and phone numbers of the clerk of court for the federal district court in your
state and for any appropriate state courts
• A list of local paralegal associations, noting officers, addresses, and phone numbers
• Any provisions of your state’s code of professional responsibility or rules of court that
complement the chapter material on ethics for paralegals
• Pertinent Web sites
SUGGESTED CLASS ACTIVITIES
1. Have a carefully chosen attorney or paralegal law office manager speak to the class about the typical
structure and procedures of the law office.
2. Invite a local judge to lecture on the state and federal courts and their jurisdictions.
3. Have officers of local, state, or national paralegal associations speak to the class about their
associations, the importance of professional ethics, and personal professional development.
C HAPTER 1: WELCOME TO THE LAW OFFICE :
FOUNDATIONS FOR LITIGATION
CHAPTER OBJECTIVES
• Understand the role of the paralegal in the law office
• Recognize the importance of law office procedures in the practice of law
• Explain the ethical obligations of the paralegal in the legal arena
• Distinguish between the federal and state court systems
• Identify the different types of jurisdiction and in which court cases should be filed
The purpose of this chapter is to give students the feeling that they are starting work in a law office. The
first section provides case “stories” that demonstrate the kinds of events that may lead to litigation.
The stories give the necessary factual settings for many of the assignments and examples in the text, and
bring them to life.
The Paralegal Handbook section is “the firm’s” introduction to the office, its personnel, the role of the
paralegal, important procedures, professional ethics, and professional development. It also introduces the
systems approach. The section following the handbook provides an introduction to (or review of) court
structure, jurisdiction, and venue.
PREPARING FOR CLASS: INSTRUCTIONAL SUPPLEMENTS
1. Preview the chapter questions and assignments.
2. Re: Case V. Note that sexual harassment under Title VII of the 1964 Civil Rights Act can be based
on qualitative and quantitative differences in offensive conduct toward female and male employees,
and does not have to be lewd or sexual in nature [Christopher v. National Education Ass'n. No. 04-
35029 (9th Cir. 2005, Sept. 2)].
3. Have on hand the following information:
• A diagram of your state court structure and a detailed description of the jurisdiction of each
court
• Names, addresses, and phone numbers of the clerk of court for the federal district court in your
state and for any appropriate state courts
• A list of local paralegal associations, noting officers, addresses, and phone numbers
• Any provisions of your state’s code of professional responsibility or rules of court that
complement the chapter material on ethics for paralegals
• Pertinent Web sites
SUGGESTED CLASS ACTIVITIES
1. Have a carefully chosen attorney or paralegal law office manager speak to the class about the typical
structure and procedures of the law office.
2. Invite a local judge to lecture on the state and federal courts and their jurisdictions.
3. Have officers of local, state, or national paralegal associations speak to the class about their
associations, the importance of professional ethics, and personal professional development.
Loading page 8...
2 Chapter 1: Welcome to the Law Office: Foundations for Litigation
SUGGESTED ANSWERS TO THE TEXT QUESTIONS AND ASSIGNMENTS
QUESTIONS FOR STUDY AND REVIEW
Questions for study and review test the student's understanding of the chapter. Strongly encourage
students to use these questions in the text as a study guide at the completion of each chapter. If students
can answer these questions, they should do well on an exam. You may choose to draw some of your exam
questions from this list. Answers for these questions are provided here.
1. Define paralegal.
Answer: A paralegal assists attorneys in preparing client cases. This includes assisting in
interviews, investigation, document preparation, pre- and post-trial activities, trial and settlement,
and any other activities permitted by statute or case law.
2. Why is a paralegal valuable to a law firm? Identify significant legal authority on billing for
paralegal time.
Answer: Paralegals can perform a multitude of tasks more economically for the client. This
includes preparing letters, preparing documents, and investigative functions when necessary.
Missouri v. Jenkins is the U.S. Supreme Court case that recognized that a paralegal’s time can be
billed as a fee and awarded by the court in assessing attorney’s fees.
3. Why are timekeeping and deadline control important?
Answer: Timekeeping is critical to billing. Deadline control is key in assignments, especially those
dealing directly with a court.
4. What are some ethical concerns regarding timekeeping and billing?
Answer: Paralegals cannot set fees for a client and cannot split fees with an attorney. The paralegal
cannot perform tasks that are considered the unauthorized practice of law.
5. What is a litigation system and why is it beneficial?
Answer: A litigation system is a detailed procedure manual that is a chronological collection of the
guidelines, forms, correspondences, checklists, procedures, and pertinent law for all steps of the
litigation process. As a personal resource, it provides advantages in efficiency, uniformity, accuracy,
and quality. It will help you learn the benefits of being organized and can be easily updated.
6. Define professional ethics in the context of the practice of law.
Answer: Professional ethics, as applied to attorneys, refers to the rules of conduct that govern the
practice of law.
7. Why are professional ethics so important to a law firm?
Answer: A breach of ethical standards will reflect badly upon the firm or employer and may also
lead to the disbarment of an attorney. It may cost a paralegal his or her job and subject the paralegal
to prosecution for the unauthorized practice of law.
8. What are the things a paralegal may not do?
Answer: Paralegals may not perform any of the following functions:
a. Provide legal services directly to the public without the supervision of an attorney. More states
and the federal system are permitting paralegals to represent the public in limited controlled
settings, such as landlord/tenant matters, immigration, and Social Security cases.
b. Give legal advice or counsel a client. Legal advice is independent professional judgment based
on knowledge of the law and given for the benefit of a particular client.
SUGGESTED ANSWERS TO THE TEXT QUESTIONS AND ASSIGNMENTS
QUESTIONS FOR STUDY AND REVIEW
Questions for study and review test the student's understanding of the chapter. Strongly encourage
students to use these questions in the text as a study guide at the completion of each chapter. If students
can answer these questions, they should do well on an exam. You may choose to draw some of your exam
questions from this list. Answers for these questions are provided here.
1. Define paralegal.
Answer: A paralegal assists attorneys in preparing client cases. This includes assisting in
interviews, investigation, document preparation, pre- and post-trial activities, trial and settlement,
and any other activities permitted by statute or case law.
2. Why is a paralegal valuable to a law firm? Identify significant legal authority on billing for
paralegal time.
Answer: Paralegals can perform a multitude of tasks more economically for the client. This
includes preparing letters, preparing documents, and investigative functions when necessary.
Missouri v. Jenkins is the U.S. Supreme Court case that recognized that a paralegal’s time can be
billed as a fee and awarded by the court in assessing attorney’s fees.
3. Why are timekeeping and deadline control important?
Answer: Timekeeping is critical to billing. Deadline control is key in assignments, especially those
dealing directly with a court.
4. What are some ethical concerns regarding timekeeping and billing?
Answer: Paralegals cannot set fees for a client and cannot split fees with an attorney. The paralegal
cannot perform tasks that are considered the unauthorized practice of law.
5. What is a litigation system and why is it beneficial?
Answer: A litigation system is a detailed procedure manual that is a chronological collection of the
guidelines, forms, correspondences, checklists, procedures, and pertinent law for all steps of the
litigation process. As a personal resource, it provides advantages in efficiency, uniformity, accuracy,
and quality. It will help you learn the benefits of being organized and can be easily updated.
6. Define professional ethics in the context of the practice of law.
Answer: Professional ethics, as applied to attorneys, refers to the rules of conduct that govern the
practice of law.
7. Why are professional ethics so important to a law firm?
Answer: A breach of ethical standards will reflect badly upon the firm or employer and may also
lead to the disbarment of an attorney. It may cost a paralegal his or her job and subject the paralegal
to prosecution for the unauthorized practice of law.
8. What are the things a paralegal may not do?
Answer: Paralegals may not perform any of the following functions:
a. Provide legal services directly to the public without the supervision of an attorney. More states
and the federal system are permitting paralegals to represent the public in limited controlled
settings, such as landlord/tenant matters, immigration, and Social Security cases.
b. Give legal advice or counsel a client. Legal advice is independent professional judgment based
on knowledge of the law and given for the benefit of a particular client.
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Chapter 1: Welcome to the Law Office: Foundations for Litigation 3
c. Represent a client in court or other tribunal or otherwise act as an advocate for a client unless
specifically permitted to do so by law or rule of court. (See previous answer part a for further
clarification.)
d. Accept or reject cases for the firm.
e. Set any fee for representation of a client.
f. Split legal fees with an attorney (bonuses and profit-sharing plans not tied to a specific case are
permissible).
g. Be a partner with a lawyer if any of the activities of the partnership include the practice of law
[exception: the District of Columbia Ethics Rule 5.4(b)]. The American Bar Association
rejected a proposal to relax the prohibition against fee sharing and multidisciplinary practice.
h. Solicit cases for a lawyer.
i. Perform tasks that are the unauthorized practice of law as defined in the pertinent state.
9. What are the seven criteria that assure a paralegal’s actions will not be or cause a breach of ethics?
Answer:
1. The task must be delegated by an attorney.
2. It must be performed under an attorney’s supervision.
3. Paralegals must clearly designate their status as a paralegal.
4. The lawyer must retain a direct relationship with the client (the attorney must retain control over
the relationship).
5. The task must involve information gathering or be ministerial and cannot involve the rendering
of legal advice or judgment (unless the legal advice or judgment is provided by the paralegal
directly to the attorney).
6. The work must be given final approval or be examined by the attorney.
7. The work must not have a separate identity but merge with the attorney’s final work product.
10. What is a conflict of interest and the rationale for the relevant ethical standards?
Answer: A paralegal should avoid and reveal any conflicts of interest. This requirement rests on the
rationale that citizens must have faith in the legal system to seek the peaceful resolution of their
disputes. Because conflicts of interest can dilute an attorney’s allegiance to the client and damage
independent professional judgment, they are barred by the Model Rules of Professional
Responsibility. A paralegal must also be loyal to the client and avoid such conflicts.
11. What is meant by the term professional loyalty as applied to your fellow workers? The client? The
practice of law?
Answer: In professional working relationships, mutual respect and loyalty between employer and
employees is especially important. Publicly criticizing one’s fellow workers or one’s clients, who
deserve the utmost courtesy, respect, and a legal professional's every effort to preserve their dignity,
is not consistent with professional loyalty. Relationships with clients must always be kept on a
professional level. If a relationship becomes too personal, it threatens objectivity, confidentiality,
and one’s loyalty to the firm.
Professional loyalty to the firm extends to the practice of law, which supersedes loyalty to any
specific individual. Attorneys are directed to call attention to the unethical practices of other
attorneys, or, in some instances, of the illegal conduct of their own clients to avoid assisting in fraud
or crime.
12. What are the characteristics of the common components of court systems in the United States?
Answer: The federal and state court systems have at least two types of courts in common: the trial
court and the appellate court.
c. Represent a client in court or other tribunal or otherwise act as an advocate for a client unless
specifically permitted to do so by law or rule of court. (See previous answer part a for further
clarification.)
d. Accept or reject cases for the firm.
e. Set any fee for representation of a client.
f. Split legal fees with an attorney (bonuses and profit-sharing plans not tied to a specific case are
permissible).
g. Be a partner with a lawyer if any of the activities of the partnership include the practice of law
[exception: the District of Columbia Ethics Rule 5.4(b)]. The American Bar Association
rejected a proposal to relax the prohibition against fee sharing and multidisciplinary practice.
h. Solicit cases for a lawyer.
i. Perform tasks that are the unauthorized practice of law as defined in the pertinent state.
9. What are the seven criteria that assure a paralegal’s actions will not be or cause a breach of ethics?
Answer:
1. The task must be delegated by an attorney.
2. It must be performed under an attorney’s supervision.
3. Paralegals must clearly designate their status as a paralegal.
4. The lawyer must retain a direct relationship with the client (the attorney must retain control over
the relationship).
5. The task must involve information gathering or be ministerial and cannot involve the rendering
of legal advice or judgment (unless the legal advice or judgment is provided by the paralegal
directly to the attorney).
6. The work must be given final approval or be examined by the attorney.
7. The work must not have a separate identity but merge with the attorney’s final work product.
10. What is a conflict of interest and the rationale for the relevant ethical standards?
Answer: A paralegal should avoid and reveal any conflicts of interest. This requirement rests on the
rationale that citizens must have faith in the legal system to seek the peaceful resolution of their
disputes. Because conflicts of interest can dilute an attorney’s allegiance to the client and damage
independent professional judgment, they are barred by the Model Rules of Professional
Responsibility. A paralegal must also be loyal to the client and avoid such conflicts.
11. What is meant by the term professional loyalty as applied to your fellow workers? The client? The
practice of law?
Answer: In professional working relationships, mutual respect and loyalty between employer and
employees is especially important. Publicly criticizing one’s fellow workers or one’s clients, who
deserve the utmost courtesy, respect, and a legal professional's every effort to preserve their dignity,
is not consistent with professional loyalty. Relationships with clients must always be kept on a
professional level. If a relationship becomes too personal, it threatens objectivity, confidentiality,
and one’s loyalty to the firm.
Professional loyalty to the firm extends to the practice of law, which supersedes loyalty to any
specific individual. Attorneys are directed to call attention to the unethical practices of other
attorneys, or, in some instances, of the illegal conduct of their own clients to avoid assisting in fraud
or crime.
12. What are the characteristics of the common components of court systems in the United States?
Answer: The federal and state court systems have at least two types of courts in common: the trial
court and the appellate court.
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4 Chapter 1: Welcome to the Law Office: Foundations for Litigation
13. What is jurisdiction? Define the various kinds of jurisdiction: geographical, personal, general, and
so on.
Answer: Jurisdiction is the power or authority of a court to hear and decide the questions of law or
fact (or both) presented by a lawsuit. Most courts have geographical jurisdiction, meaning that they
hear cases that arise within specific geographical boundaries.
The court also has personal (in personam) jurisdiction. This means the court must have the
power over the particular person named in the lawsuit to enter a judgment against that person.
In rem (property) jurisdiction is the authority of the court to attach (seize) property (real estate,
jewelry, bank deposits, or other property) within its geographical jurisdiction to resolve claims to
the property. Quasi in rem jurisdiction is the authority of a court to seize and use property (within
its jurisdiction) of a defendant over whom it does not have personal jurisdiction to pay a judgment
against the defendant entered in an action indirectly related or unrelated to the property. If a court
has general jurisdiction, it can hear all types of cases. Most states have trial courts of general
jurisdiction in which subject matter jurisdiction is assumed unless one party can demonstrate that
the court does not have the necessary subject matter jurisdiction.
Original jurisdiction indicates that cases first enter the system at this court level— they
“originate” here. Most trial courts are courts of original jurisdiction.
A court has limited jurisdiction if its authority to hear and decide cases is limited to specific
types of cases. Limited jurisdiction becomes exclusive jurisdiction if a court is the only court
permitted to handle a specific type of case.
14. What are the personal jurisdictional considerations regarding a defendant when the Internet is
involved?
Answer: Refer to Zippo Mfg. Co. v. Zippo Dot Com, Inc., 952 F. Supp. 1119 (W.D. Pa. 1997). The
Zippo case created a new test that focused on Internet cases—a sliding-scale test based on the
quality and nature of the Internet activity. Was the defendant actively doing business through the
Internet or was the defendant simply posting information (which the court referred to as “passive”)?
Where the activity is passive, the court will not assert jurisdiction. The test must be applied on a
case-by-case basis by examining the level and nature of the activity of the Internet business
involved. Although the Zippo analysis has been adopted by the majority of federal courts, there is no
commonly accepted test for Internet cases.
15. What three things must a court have in order to hear a case and bind a party to the court’s decision?
Be able to apply these concepts to determine what court or courts can hear a lawsuit depending on
domiciles of the parties and other factors.
Answer: A court must have subject matter jurisdiction and venue. Of the courts that have both
subject matter jurisdiction and venue, it must be determined which, if any, of these courts have
personal jurisdiction (or in the case of property such as real estate, which has in rem jurisdiction
over the property). To gain personal jurisdiction over the defendant, the defendant must be served
with a summons and complaint.
SYSTEMS FOLDER ASSIGNMENTS
1. Set up a three-ring binder or electronic equivalent with the tab dividers arranged as described in the
litigation system section of the text. Copies of the office structure and forms previously discussed
should be placed in the systems folder as indicated in Appendix A. Begin a table of contents for
your systems folder and add any information assigned by your instructor.
Answer: This assignment starts the use of the system. If you decide to have the students develop a
systems folder, the setting up of the folder needs considerable emphasis now and throughout the
course. You many choose to have the folder turned in periodically for evaluation. Unannounced and
random spot checks or turn-ins for a grade might help fight inevitable procrastination.
13. What is jurisdiction? Define the various kinds of jurisdiction: geographical, personal, general, and
so on.
Answer: Jurisdiction is the power or authority of a court to hear and decide the questions of law or
fact (or both) presented by a lawsuit. Most courts have geographical jurisdiction, meaning that they
hear cases that arise within specific geographical boundaries.
The court also has personal (in personam) jurisdiction. This means the court must have the
power over the particular person named in the lawsuit to enter a judgment against that person.
In rem (property) jurisdiction is the authority of the court to attach (seize) property (real estate,
jewelry, bank deposits, or other property) within its geographical jurisdiction to resolve claims to
the property. Quasi in rem jurisdiction is the authority of a court to seize and use property (within
its jurisdiction) of a defendant over whom it does not have personal jurisdiction to pay a judgment
against the defendant entered in an action indirectly related or unrelated to the property. If a court
has general jurisdiction, it can hear all types of cases. Most states have trial courts of general
jurisdiction in which subject matter jurisdiction is assumed unless one party can demonstrate that
the court does not have the necessary subject matter jurisdiction.
Original jurisdiction indicates that cases first enter the system at this court level— they
“originate” here. Most trial courts are courts of original jurisdiction.
A court has limited jurisdiction if its authority to hear and decide cases is limited to specific
types of cases. Limited jurisdiction becomes exclusive jurisdiction if a court is the only court
permitted to handle a specific type of case.
14. What are the personal jurisdictional considerations regarding a defendant when the Internet is
involved?
Answer: Refer to Zippo Mfg. Co. v. Zippo Dot Com, Inc., 952 F. Supp. 1119 (W.D. Pa. 1997). The
Zippo case created a new test that focused on Internet cases—a sliding-scale test based on the
quality and nature of the Internet activity. Was the defendant actively doing business through the
Internet or was the defendant simply posting information (which the court referred to as “passive”)?
Where the activity is passive, the court will not assert jurisdiction. The test must be applied on a
case-by-case basis by examining the level and nature of the activity of the Internet business
involved. Although the Zippo analysis has been adopted by the majority of federal courts, there is no
commonly accepted test for Internet cases.
15. What three things must a court have in order to hear a case and bind a party to the court’s decision?
Be able to apply these concepts to determine what court or courts can hear a lawsuit depending on
domiciles of the parties and other factors.
Answer: A court must have subject matter jurisdiction and venue. Of the courts that have both
subject matter jurisdiction and venue, it must be determined which, if any, of these courts have
personal jurisdiction (or in the case of property such as real estate, which has in rem jurisdiction
over the property). To gain personal jurisdiction over the defendant, the defendant must be served
with a summons and complaint.
SYSTEMS FOLDER ASSIGNMENTS
1. Set up a three-ring binder or electronic equivalent with the tab dividers arranged as described in the
litigation system section of the text. Copies of the office structure and forms previously discussed
should be placed in the systems folder as indicated in Appendix A. Begin a table of contents for
your systems folder and add any information assigned by your instructor.
Answer: This assignment starts the use of the system. If you decide to have the students develop a
systems folder, the setting up of the folder needs considerable emphasis now and throughout the
course. You many choose to have the folder turned in periodically for evaluation. Unannounced and
random spot checks or turn-ins for a grade might help fight inevitable procrastination.
Loading page 11...
Chapter 1: Welcome to the Law Office: Foundations for Litigation 5
2. Look up your state’s ethical rules that govern confidentiality, conflict of interest, attorney
supervision of lay persons and legal assistants, professional integrity, and others. Record the rule
numbers in an ethics section of your systems folder. Look up your state’s unauthorized practice of
law statute; note the wording and the possible penalties. You might want to add this to your folder.
As you read further in this text and in other sources, insert in your folder the citations for key ethical
rules and guidelines.
Answer: What a paralegal may not do:
• Provide legal services directly to the public without the supervision of an attorney.
• Give legal advice or counsel a client.
• Represent a client in court or act as an advocate.
• Accept or reject cases for the firm.
• Set any fee for representation of a client.
• Split legal fees with an attorney.
• Be a partner with a lawyer in practice of law (except in Washington, D.C.).
• Solicit cases for a lawyer.
Limits to what a paralegal may do:
• The task must be delegated by an attorney.
• It must be performed under an attorney’s supervision.
• Paralegals must clearly designate their status.
• The attorney must retain a direct relationship with the client.
• The task must involve information gathering or be ministerial and cannot involve the rendering of
legal advice or judgment.
• The work must be given final approval by the attorney.
• The work must merge with the attorney’s final work product.
Also:
• A paralegal shall hold inviolate the confidences of a client.
• A paralegal must maintain the highest standards of professional integrity and avoid any
dishonesty, fraud, deceit, or misrepresentation.
• A paralegal should avoid and reveal any conflicts of interest.
• A paralegal must strive to be competent and current in the field.
• A paralegal should be loyal to the employer and to the legal profession and its standards.
3. Locate the names, addresses, and phone numbers of your local and state paralegal associations. If you
need help obtaining this information, try the director of a local paralegal program or any experienced
paralegal. The headquarters of the state bar association might also have such information. For future
reference, you may choose to place your expanded lists of sources for professional development in your
systems folder.
Answer: You may choose to provide these as a handout. If placed in the systems folder, they will
provide a handy future resource.
State Paralegal Local Paralegal
Association Association
Name: Name:
Address: Address:
Phone: Phone:
2. Look up your state’s ethical rules that govern confidentiality, conflict of interest, attorney
supervision of lay persons and legal assistants, professional integrity, and others. Record the rule
numbers in an ethics section of your systems folder. Look up your state’s unauthorized practice of
law statute; note the wording and the possible penalties. You might want to add this to your folder.
As you read further in this text and in other sources, insert in your folder the citations for key ethical
rules and guidelines.
Answer: What a paralegal may not do:
• Provide legal services directly to the public without the supervision of an attorney.
• Give legal advice or counsel a client.
• Represent a client in court or act as an advocate.
• Accept or reject cases for the firm.
• Set any fee for representation of a client.
• Split legal fees with an attorney.
• Be a partner with a lawyer in practice of law (except in Washington, D.C.).
• Solicit cases for a lawyer.
Limits to what a paralegal may do:
• The task must be delegated by an attorney.
• It must be performed under an attorney’s supervision.
• Paralegals must clearly designate their status.
• The attorney must retain a direct relationship with the client.
• The task must involve information gathering or be ministerial and cannot involve the rendering of
legal advice or judgment.
• The work must be given final approval by the attorney.
• The work must merge with the attorney’s final work product.
Also:
• A paralegal shall hold inviolate the confidences of a client.
• A paralegal must maintain the highest standards of professional integrity and avoid any
dishonesty, fraud, deceit, or misrepresentation.
• A paralegal should avoid and reveal any conflicts of interest.
• A paralegal must strive to be competent and current in the field.
• A paralegal should be loyal to the employer and to the legal profession and its standards.
3. Locate the names, addresses, and phone numbers of your local and state paralegal associations. If you
need help obtaining this information, try the director of a local paralegal program or any experienced
paralegal. The headquarters of the state bar association might also have such information. For future
reference, you may choose to place your expanded lists of sources for professional development in your
systems folder.
Answer: You may choose to provide these as a handout. If placed in the systems folder, they will
provide a handy future resource.
State Paralegal Local Paralegal
Association Association
Name: Name:
Address: Address:
Phone: Phone:
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6 Chapter 1: Welcome to the Law Office: Foundations for Litigation
E-mail: E-mail:
Web site: Web site:
Contact Person: Contact Person:
Meeting Dates and Meeting Dates and
Times: Times:
4. Make a copy of the federal court structure diagram found in this chapter and add any explanatory
notes you feel will be useful to you in the future. Include in your diagram the names of U.S. district
courts that sit in your state and the U.S. Court of Appeals that covers the circuit in which your state
is situated.
Make a similar explanatory diagram for the court system of your state. Research the material to
be placed in the diagram, including any jurisdictional amounts, by looking under courts, judiciary,
and jurisdiction in the index of your state statutes or constitution, usually located in the law library,
or search your State Court Web site. Some states have an administrative office of the courts at the
capitol that may provide preprinted state court diagrams.
Place both diagrams and the State Court Web site address in the court section of your litigation
systems folder.
Answer: You may decide to provide the state court diagram addressed in this assignment. If so,
include the jurisdiction of each court.
5. Consult the state’s legal directory in the library or online sites to obtain all court addresses, names of
clerks of court, important telephone numbers, and so on. Research state statutes for the subject
matter jurisdiction in your state’s highest, intermediate, and trial courts. Place this data in the court
structure portion of your systems folder.
Answer: You may choose to provide this information, but it would be good for students to locate it
so they become familiar with the state legal directory.
Federal Court System
Highest Court
Name: U.S. Supreme Court Address:
Clerk:
Phone:
Jurisdiction: 1. Appeals from U.S. Court of Appeals and highest state courts
2. State v. state
3. Cases involving ambassadors and other foreign representatives
4. U.S. v. state
5. State v. citizens of another state or country
Intermediate Appellate Court Address:
Name: U.S. Court of Appeals Clerk:
Jurisdiction: Appeals from district courts Phone:
Trial Courts Address:
Name: U.S. District Courts Clerk:
E-mail: E-mail:
Web site: Web site:
Contact Person: Contact Person:
Meeting Dates and Meeting Dates and
Times: Times:
4. Make a copy of the federal court structure diagram found in this chapter and add any explanatory
notes you feel will be useful to you in the future. Include in your diagram the names of U.S. district
courts that sit in your state and the U.S. Court of Appeals that covers the circuit in which your state
is situated.
Make a similar explanatory diagram for the court system of your state. Research the material to
be placed in the diagram, including any jurisdictional amounts, by looking under courts, judiciary,
and jurisdiction in the index of your state statutes or constitution, usually located in the law library,
or search your State Court Web site. Some states have an administrative office of the courts at the
capitol that may provide preprinted state court diagrams.
Place both diagrams and the State Court Web site address in the court section of your litigation
systems folder.
Answer: You may decide to provide the state court diagram addressed in this assignment. If so,
include the jurisdiction of each court.
5. Consult the state’s legal directory in the library or online sites to obtain all court addresses, names of
clerks of court, important telephone numbers, and so on. Research state statutes for the subject
matter jurisdiction in your state’s highest, intermediate, and trial courts. Place this data in the court
structure portion of your systems folder.
Answer: You may choose to provide this information, but it would be good for students to locate it
so they become familiar with the state legal directory.
Federal Court System
Highest Court
Name: U.S. Supreme Court Address:
Clerk:
Phone:
Jurisdiction: 1. Appeals from U.S. Court of Appeals and highest state courts
2. State v. state
3. Cases involving ambassadors and other foreign representatives
4. U.S. v. state
5. State v. citizens of another state or country
Intermediate Appellate Court Address:
Name: U.S. Court of Appeals Clerk:
Jurisdiction: Appeals from district courts Phone:
Trial Courts Address:
Name: U.S. District Courts Clerk:
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Chapter 1: Welcome to the Law Office: Foundations for Litigation 7
Jurisdiction: 1. Federal questions Phone:
2. Diversity of citizenship
3. $75,000 amount in controversy
State Court System
Highest Court Address:
Name: Clerk:
Jurisdiction: Phone:
Intermediate Appellate Court Address:
Name: Clerk:
Jurisdiction: Phone:
Trial Courts Address:
Name: Clerk:
Jurisdiction: Phone
APPLICATION ASSIGNMENTS
1. Using the ethical standards and rules cited in this section, answer the following questions on ethics.
a. You have just researched an issue and have found that inattentive driving is a breach of the duty
of care that a driver owes to others. In a phone conversation the client asks you, “If the driver of
the vehicle that struck was inattentive, is he in the wrong?” How should you answer?
Answer: “I’ll ask [attorney] and get back to you,” or “In response to your question, [attorney]
says ‘yes, the driver would be in the wrong.’”
b. Ms. Pearlman asks you to draft a release of medical information form for a client. This form is
then signed by the client and given to the hospital. Under what conditions can you do this and
avoid the unauthorized practice of law?
Answer: The task must be delegated by an attorney; the attorney will have to review it for
accuracy; the paralegal will have to identify himself or herself as a paralegal in any dealings
with the client; and the attorney will have to maintain control over the client’s case. This task
must not involve the giving of any legal advice, and must merge with the overall final work
product of the attorney on behalf of the client.
c. You are working on a client’s case for Ms. Pearlman. She is gone, so you want to consult with
Mr. White, another attorney in the firm. To do so, however, you must reveal to Mr. White some
confidential information about the client. Would this be a breach of confidentiality?
Answer: No. the authorization for this disclosure is implied under Rule 1.6(a).
2. You are a paralegal working for an attorney who has represented Safe Bet Insurance Company. A
potential client wants to sue Safe Bet. Is there a potential conflict of interest, and if so, may your
attorney represent the new client?
Answer: The ABA Standing Committee on Ethics and Professional Responsibility Formal Opinion
05–435 (Dec. 8, 2004) says that if the former client and potential client are informed and both
consent, representation of the latter is okay. The opinion adds, however, that this practice is likely to
lead to distrust.
3. In interviewing a client, you and your attorney are convinced that some information provided by the
client is false. What consequences can result from the presentation of such information to the court?
What model rule of professional conduct applies?
Answer: The finding that the lawyer is in a serious ethical breach as defined in Rule 3.3(4) could lead to
disbarment. The paralegal could be removed from membership in local or national paralegal associations.
Jurisdiction: 1. Federal questions Phone:
2. Diversity of citizenship
3. $75,000 amount in controversy
State Court System
Highest Court Address:
Name: Clerk:
Jurisdiction: Phone:
Intermediate Appellate Court Address:
Name: Clerk:
Jurisdiction: Phone:
Trial Courts Address:
Name: Clerk:
Jurisdiction: Phone
APPLICATION ASSIGNMENTS
1. Using the ethical standards and rules cited in this section, answer the following questions on ethics.
a. You have just researched an issue and have found that inattentive driving is a breach of the duty
of care that a driver owes to others. In a phone conversation the client asks you, “If the driver of
the vehicle that struck was inattentive, is he in the wrong?” How should you answer?
Answer: “I’ll ask [attorney] and get back to you,” or “In response to your question, [attorney]
says ‘yes, the driver would be in the wrong.’”
b. Ms. Pearlman asks you to draft a release of medical information form for a client. This form is
then signed by the client and given to the hospital. Under what conditions can you do this and
avoid the unauthorized practice of law?
Answer: The task must be delegated by an attorney; the attorney will have to review it for
accuracy; the paralegal will have to identify himself or herself as a paralegal in any dealings
with the client; and the attorney will have to maintain control over the client’s case. This task
must not involve the giving of any legal advice, and must merge with the overall final work
product of the attorney on behalf of the client.
c. You are working on a client’s case for Ms. Pearlman. She is gone, so you want to consult with
Mr. White, another attorney in the firm. To do so, however, you must reveal to Mr. White some
confidential information about the client. Would this be a breach of confidentiality?
Answer: No. the authorization for this disclosure is implied under Rule 1.6(a).
2. You are a paralegal working for an attorney who has represented Safe Bet Insurance Company. A
potential client wants to sue Safe Bet. Is there a potential conflict of interest, and if so, may your
attorney represent the new client?
Answer: The ABA Standing Committee on Ethics and Professional Responsibility Formal Opinion
05–435 (Dec. 8, 2004) says that if the former client and potential client are informed and both
consent, representation of the latter is okay. The opinion adds, however, that this practice is likely to
lead to distrust.
3. In interviewing a client, you and your attorney are convinced that some information provided by the
client is false. What consequences can result from the presentation of such information to the court?
What model rule of professional conduct applies?
Answer: The finding that the lawyer is in a serious ethical breach as defined in Rule 3.3(4) could lead to
disbarment. The paralegal could be removed from membership in local or national paralegal associations.
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8 Chapter 1: Welcome to the Law Office: Foundations for Litigation
4. Determine in which courts subject matter jurisdiction, personal jurisdiction, and venue exist in the
following problems.
a. M, a resident of Wisconsin, and O, a resident of Minnesota, sue Corporations X and Y for
industrial injuries amounting to $40,000 for each plaintiff resulting from an accident that
occurred in Illinois. X is incorporated in Delaware and Ohio, and Y is incorporated in North
Carolina with its principal place of business in Ohio.
Answer: There is not federal jurisdiction because the plaintiffs cannot aggregate the claims to
make the jurisdictional amount. All states mentioned have general jurisdiction. State venue
exists in at least Delaware and Ohio for X, in North Carolina and Ohio for Y, and in Illinois for
both X and Y because that is where the action arose. Personal jurisdiction, however, can be
gained only in Ohio over both defendants. The action must be brought in Ohio state court or as
two separate actions in any of their resident states.
b. J and K reside in Oregon and sue R, who resides in Kentucky, and S, who resides in
Washington, for a tort (libel) amounting to injuries exceeding $75,000 each, which occurred in
Washington.
Answer: All state and federal courts have subject matter jurisdiction (there is diversity). Venue
rests in state courts in Kentucky (for R) and in Washington (for S), and in Washington, where
the claim arose.
Federal venue for a diversity action against R exists in the district in Kentucky where R
resides. Venue for an action against S exists in Washington, where S resides. Venue for an
action against both R and S exists in Washington, where the substantial event arose. Personal
jurisdiction for a state action exists in Kentucky for R only and in Washington for S only.
Personal jurisdiction for a federal action exists in Kentucky for R and in Washington for S.
Unless Washington has a long-arm statute that reaches tortfeasors, a separate action must be
brought against R and S in both states and in their respective federal districts. If Washington has
an appropriate long-arm statute, both a joint state and federal action can be brought in the state
of Washington.
5. Glitter is a corporation that rents expensive jewelry to businesses and individuals. It is incorporated
in Delaware and has its principal place of business in northern Indiana. It is licensed to do business
in every state except Alaska and Hawaii. Flick, Inc., is a movie company incorporated in Idaho with
its principal place of business in Utah. It does no business to speak of in any other state.
During Flick’s filming in Nevada, an expensive necklace rented from Glitter falls into a piece of
machinery on the set and is destroyed. Glitter wants to sue Flick for negligently destroying the
jewelry (worth $700,000). Flick decides to sue Glitter, blaming the loss of a week’s filming on the
loss of the necklace, which they claim was caused by a faulty clasp made by Glitter. After using the
charting method described in this section, answer the following questions:
Charting method applied to the case:
GLITTER V. FLICK FOR NECKLACE
Subj. Pers.
Court Matter Juris. Venue Juris.
Delaware State Yes No No
Indiana State Yes No No
Idaho State Yes Yes Yes
Utah State Yes Yes Yes
4. Determine in which courts subject matter jurisdiction, personal jurisdiction, and venue exist in the
following problems.
a. M, a resident of Wisconsin, and O, a resident of Minnesota, sue Corporations X and Y for
industrial injuries amounting to $40,000 for each plaintiff resulting from an accident that
occurred in Illinois. X is incorporated in Delaware and Ohio, and Y is incorporated in North
Carolina with its principal place of business in Ohio.
Answer: There is not federal jurisdiction because the plaintiffs cannot aggregate the claims to
make the jurisdictional amount. All states mentioned have general jurisdiction. State venue
exists in at least Delaware and Ohio for X, in North Carolina and Ohio for Y, and in Illinois for
both X and Y because that is where the action arose. Personal jurisdiction, however, can be
gained only in Ohio over both defendants. The action must be brought in Ohio state court or as
two separate actions in any of their resident states.
b. J and K reside in Oregon and sue R, who resides in Kentucky, and S, who resides in
Washington, for a tort (libel) amounting to injuries exceeding $75,000 each, which occurred in
Washington.
Answer: All state and federal courts have subject matter jurisdiction (there is diversity). Venue
rests in state courts in Kentucky (for R) and in Washington (for S), and in Washington, where
the claim arose.
Federal venue for a diversity action against R exists in the district in Kentucky where R
resides. Venue for an action against S exists in Washington, where S resides. Venue for an
action against both R and S exists in Washington, where the substantial event arose. Personal
jurisdiction for a state action exists in Kentucky for R only and in Washington for S only.
Personal jurisdiction for a federal action exists in Kentucky for R and in Washington for S.
Unless Washington has a long-arm statute that reaches tortfeasors, a separate action must be
brought against R and S in both states and in their respective federal districts. If Washington has
an appropriate long-arm statute, both a joint state and federal action can be brought in the state
of Washington.
5. Glitter is a corporation that rents expensive jewelry to businesses and individuals. It is incorporated
in Delaware and has its principal place of business in northern Indiana. It is licensed to do business
in every state except Alaska and Hawaii. Flick, Inc., is a movie company incorporated in Idaho with
its principal place of business in Utah. It does no business to speak of in any other state.
During Flick’s filming in Nevada, an expensive necklace rented from Glitter falls into a piece of
machinery on the set and is destroyed. Glitter wants to sue Flick for negligently destroying the
jewelry (worth $700,000). Flick decides to sue Glitter, blaming the loss of a week’s filming on the
loss of the necklace, which they claim was caused by a faulty clasp made by Glitter. After using the
charting method described in this section, answer the following questions:
Charting method applied to the case:
GLITTER V. FLICK FOR NECKLACE
Subj. Pers.
Court Matter Juris. Venue Juris.
Delaware State Yes No No
Indiana State Yes No No
Idaho State Yes Yes Yes
Utah State Yes Yes Yes
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Chapter 1: Welcome to the Law Office: Foundations for Litigation 9
Nevada State Yes (diversity) Yes ?*
Delaware Yes (diversity) No No
Federal
Indiana Federal Yes (diversity) No No
Idaho Federal Yes (diversity) Yes Yes
Utah Federal Yes (diversity) Yes Yes
Nevada Federal Yes (diversity) Yes ?*
*ISSUE: Is filming a movie in a state a sufficient contact to allow personal service? (May depend on
state statutes and overall degree of contacts.)
FLICK V. GLITTER FOR LOSS OF WEEK OF FILMING
Subj. Pers.
Court Matter Juris. Venue Juris.
Delaware State Yes Yes Yes
Indiana State Yes Yes Yes
Idaho State Yes No No
Utah State Yes No No
Nevada State Yes Yes ?
Delaware Federal Yes (diversity) Yes Yes
Indiana Federal Yes (diversity) Yes Yes
Idaho Federal Yes (diversity) No No
Utah Federal Yes (diversity) No No
Nevada Federal Yes (diversity) Yes ?
a. If Glitter sues Flick, is there subject matter jurisdiction in federal district court?
Answer: Yes.
b. What, if any, kind of subject matter jurisdiction exists in federal district court?
Answer: Diversity.
c. What issue concerning personal jurisdiction exists when considering suit by Glitter against Flick
in Nevada state and federal court?
Answer: Whether the state has a long-arm statute that will permit personal jurisdiction on Flick
for having filmed one movie in Nevada, where the action arose.
d. Aside from Nevada, in what state and federal courts can Glitter sue Flick?
Answer: State courts: Idaho and Utah. Federal courts: District of Idaho and District of Utah.
e. If Flick sues Glitter, does venue exist in the state courts of Idaho and Utah? Why or why not?
Answer: No. State court venue normally rests in the state of the defendant and where the action
arose.
Nevada State Yes (diversity) Yes ?*
Delaware Yes (diversity) No No
Federal
Indiana Federal Yes (diversity) No No
Idaho Federal Yes (diversity) Yes Yes
Utah Federal Yes (diversity) Yes Yes
Nevada Federal Yes (diversity) Yes ?*
*ISSUE: Is filming a movie in a state a sufficient contact to allow personal service? (May depend on
state statutes and overall degree of contacts.)
FLICK V. GLITTER FOR LOSS OF WEEK OF FILMING
Subj. Pers.
Court Matter Juris. Venue Juris.
Delaware State Yes Yes Yes
Indiana State Yes Yes Yes
Idaho State Yes No No
Utah State Yes No No
Nevada State Yes Yes ?
Delaware Federal Yes (diversity) Yes Yes
Indiana Federal Yes (diversity) Yes Yes
Idaho Federal Yes (diversity) No No
Utah Federal Yes (diversity) No No
Nevada Federal Yes (diversity) Yes ?
a. If Glitter sues Flick, is there subject matter jurisdiction in federal district court?
Answer: Yes.
b. What, if any, kind of subject matter jurisdiction exists in federal district court?
Answer: Diversity.
c. What issue concerning personal jurisdiction exists when considering suit by Glitter against Flick
in Nevada state and federal court?
Answer: Whether the state has a long-arm statute that will permit personal jurisdiction on Flick
for having filmed one movie in Nevada, where the action arose.
d. Aside from Nevada, in what state and federal courts can Glitter sue Flick?
Answer: State courts: Idaho and Utah. Federal courts: District of Idaho and District of Utah.
e. If Flick sues Glitter, does venue exist in the state courts of Idaho and Utah? Why or why not?
Answer: No. State court venue normally rests in the state of the defendant and where the action
arose.
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