Berger,_Marylyn_'PRETRIAL_ADVOCACY,_PLANNING,_ANALYSIS_&_STRATEGY,_3rd_Ed.'_SSRN_2010[1]

Pretrial Advocacy, Planning, Analysis and Strategy
3rd Edition
Marilyn Berger
Professor of Law
John B. Mitchell
Professor of Law
Ronald Clark
Distinguished Practitioner in Residence
Seattle University School of Law Legal Paper Series # 10−21

Published by Aspen Publications (2010)
This paper can be downloaded without charge from

the Social Science Research Network Electronic Paper Collection
Electronic copy available at: http://ssrn.com/abstract=1640620

Trial a dvocacy i s w here t he glamour r esides; t he grist of book a nd f ilm. B ut pr etrial
advocacy is the game. Most c ases ne ver get to tr ial, settling in negotiation or s ome f orm of
ADR*, or r esolved i n p retrial or s ummary j udgment m otions. T he book f ollows this cr ucial
pretrial pr ocess i n r oughly c hronological or der--developing t he attorney-client r elationship,
interviewing and investigation, discovery*, client counseling, motions, ADR*. For each of these
topics t he t ext de votes a chapter guiding t he s tudents' a pproach t o t he pa rticular s kills
performance b y of fering examples us ing on -going h ypotheticals, checklists, and textual
explanation. S eventy-eight accom panying exercises t o chose f rom ( both criminal and ci vil)
provide opportunity for hands-on experience with the various skills performances (interviewing,
taking de positions, a nd such). A ll t he e xercises in t urn a re ba sed upon a s ingle, r ich a nd ve ry
realistic case file which supports both a criminal homicide case and a civil wrongful death case.
Two things make the book unique among advocacy texts: (1) the pedagogical approach
of t he book i s di rectly guided b y narrative t heory and e xpert-novice s chema t heory and ( 2)the
materials a re t hroughout i mmersed bot h i n c urrent a nd e volving t echnology i n l aw and t he
employment of vi sual pe rsuasion. F rom C icero t o t oday advocates ha ve pe rceived t hat t elling
persuasive s tories l ies at t he cent er of t heir craft. It i s t herefore not coi ncidence t hat t he f irst
chapter of the book is an extensive discussion of Case Theory. Case Theory, which connotes the
strategic app roach advocates de velop in a c ase t o persuade t he factfinder t o accept t heir
narrative, guides every skills pe rformance di scussed i n t he t ext a nd brought t o l ife i n t he
exercises. Further, in order to take students along the journey from novice to expert, in addition
to placing primacy on the advocate's focus on case theory, the authors chose to base all exercises
on the single, elaborate case file already mentioned rather than employ endless new one or two
paragraph fact patterns. In our m odel, s tudents l ive with t he case and, l ike real t rial advocates,
are forced to create their story (and translate the story into admissible information) from a vast
array of do cuments, w itness s tatements, a nd do ctrine. As a consequence of t his p edagogical
approach, s tudents c ome t o l egal i ssues a nd s trategic de cisions w ith a s ophistication onl y
possible within the nuanced context provide by a real understanding of the underlying characters
involved a nd t heir r eflection of t he va garies of t he hum an c ondition. With e very exercise,
moreover," pl anning qu estions" t ake s tudents t hrough bot h s trategic and ethical c onsiderations
which an advocate realistically might face in a similar situation. The centrality of planning and
preparation t hus pr ovides a f undamental c ornerstone of t he a uthor's pe dagogy. Finally, i n a n
accompanying DVD, students see an expert litigator take a deposition and use it a t trial, further
aiding students in grasping the world of the expert advocate.
Additionally, the book reflects the emergence of technology and visual persuasion in law
practice. In addition to the deposition video, the DVD which comes with the book ha s a video
tour of the crime scene, sample computer animations, a settlement documentary, a software slide
show of mediation exhibits*, and mediation videos*. The book i ncludes an extensive discussion
of E -discovery*(with a ccompanying exercises*), a nd a chapter o n us ing vi suals i n A DR*.
Current technology in law is further manifested by a superb advocacy website supplementing the
text tha t is c ontinually u pdated with rich supplemental ma terials, i ncluding pl eadings, relevant
articles, and links to other websites.
*Asterisks refer to chapters or major segments of chapters, which are new or significantly expanded in the 3rd
edition

[The book is accom panied by a cl ear, detailed Teacher’s M anual and a C D w ith an
Actor's G uide, pr oviding f or r ole-playing w itnesses in assignments f rom pa rties, to eye-
witnesses, to a variety of experts.]

Pretrial Advocacy
00 berger pretrial 3d ed.indd 1 1/19/2010 1:29:12 PM

EDITORIAL ADVISORS
Vicki Been
Elihu Root Professor of Law
New York University School of Law
Erwin Chemerinsky
Dean and Distinguished Professor of Law
University of California, Irvine, School of Law
Richard A. Epstein
James Parker Hall Distinguished Service Professor of Law
University of Chicago Law School
Peter and Kirsten Bedford Senior Fellow
The Hoover Institution
Stanford University
Ronald J. Gilson
Charles J. Meyers Professor of Law and Business
Stanford University
Marc and Eva Stern Professor of Law and Business
Columbia Law School
James E. Krier
Earl Warren DeLano Professor of Law
The University of Michigan Law School
Richard K. Neumann, Jr.

Professor of Law
Hofstra University School of Law
Robert H. Sitkoff
John L. Gray Professor of Law
Harvard Law School
David Alan Sklansky

Professor of Law
University of California at Berkeley School of Law
Kent D. Syverud
Dean and Ethan A. H. Shepley University Professor
Washington University School of Law
Elizabeth Warren
Leo Gottlieb Professor of Law
Harvard Law School

Wills, Trusts,
Pretrial Advocacy
and Estates
Planning, Analysis,
Fourth Edition and Strategy
Third Edition
GerryMarilyn J. Berger
W. Beyer
GovernorProfessor of Law
Preston E. Smith Regents Professor of Law
Seattle
Texas Tech University School
University School ofof
LawLaw
John B. Mitchell
Professor of Law
Seattle University School of Law
Ronald H. Clark
Distinguished Practitioner in Residence
Seattle University School of Law
Law & Business

AUSTIN BOSTON CHICAGO NEW YORK THE NETHERLANDS
Wills, Trusts, and Estates : Examples & Explanations 4E (Beyer) 01-09-07 11:17:36 [pp-1]

© 2010 by Marilyn J. Berger, John B. Mitchell, and Ronald H. Clark
Published by Aspen Publishers. All Rights Reserved.
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1234567890
ISBN 978-0-7355-9023-6
Library of Congress Cataloging in Publication Data
Berger, Marilyn J.
Pretrial advocacy : planning, analysis, and strategy / Marilyn J. Berger, John
B. Mitchell, Ronald H. Clark. — 3rd ed.
p. cm.
Includes index.
ISBN 978-0-7355-9023-6 (pbk. : alk. paper) 1. Pre-trial procedure—United
States. I. Mitchell, John B. (John Barry), 1944- II. Clark, Ronald H. III. Title.
KF8900.B4 2010
347.73’72—dc22
200905319

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Writing the first edition of this book was like clearing several acres of land
and then landscaping it all with our bare hands.
The second edition was written 20 years later. The land was already
cleared, and we had modern tools to work with, like computer graphics and
DVDs, but we still had to pull out most of the landscaping and replace it.
Now we come to the third edition. We like how the land looks—a lit-
tle weeding, some pruning, a few new plants, and watering was all that
was required. And that’s good; because our families have already sacrificed
enough for us to write this book. From now on they can run through the
sprinklers laughing when from time to time we publish a new edition.
To Albert J. and Dorian S.

Marilyn J. Berger
To Eva, David, Sarah, J.P., and Tyler—my family.

John B. Mitchell
To Nancy, Brady, Soojin, Malachi, Riley, Clancy, Kara,

Beatrice, Colby, and Darren
Ronald H. Clark
And to Laurie Sleeper Wells, our administrative assistant, without whom

there might never have been any book at all.

Summary of
Contents
Contents..................................................................................................... xi
Preface..................................................................................................xxxiii
Acknowledgments................................................................................xxxvii
Introduction..........................................................................................xxxix
Chapter 1: Entering the Advocate’s World................................................... 1

Chapter 2: Formulating the Case Theory................................................... 15
Chapter 3: Developing and Managing the Case.......................................... 47
Chapter 4: Forging the Attorney-Client Relationship.................................. 85
Chapter 5: Counseling the Client..............................................................117
Chapter 6: Witness Interviewing............................................................. 135
Chapter 7: Strategic Pleading................................................................... 165
Chapter 8: Creating a Coordinated Discovery Plan.................................. 229
Chapter 9: Taking and Defending Depositions......................................... 299
Chapter 10: Creating Visuals.................................................................... 359
Chapter 11: Pretrial Motion Advocacy...................................................... 383
Chapter 12: Negotiating the Best Disposition.......................................... 437
Chapter 13: Alternative Dispute Resolution Advocacy.............................. 491
Chapter 14: Introducing the Cases and Assignments............................... 525
Index....................................................................................................... 627
ix

Contents
Preface.......................................................................................... xxxiii
Acknowledgments..........................................................................xxxvii
Introduction...................................................................................xxxix
Chapter 1: Entering the Advocate’s World............................................. 1

I. Pretrial Advocacy...................................................................... 3
II. The Advocate’s World................................................................ 4
A. Human Relationships................................................................. 4
B. Resource Constraints................................................................. 4
C. Ethical Relationships.................................................................. 5
Dependence.......................................................................... 5
Power.................................................................................... 5
Influence................................................................................ 5
Client, Justice System, and Society........................................ 6
Your Reputation..................................................................... 7
D. A System Moving in Time.......................................................... 7
Iii. Progression of a Civil Case........................................................ 7
A. Initial Stage................................................................................ 7
B. Pleading..................................................................................... 8
C. Discovery................................................................................... 8
D. Motions and Negotiation............................................................ 9
E. Counseling................................................................................. 9
F. Alternative Dispute Resolution................................................. 10
G. Trial Sequence......................................................................... 10
Iv. Progression of a Criminal Case.................................................11
A. Initial Stage...............................................................................11
B. Charging...................................................................................11
C. Arraignment and Bail............................................................... 12
D. Discovery................................................................................. 12
E. Motions and Negotiation.......................................................... 13
F. Counseling............................................................................... 13
G. Trial Sequence......................................................................... 13
xi

xii Pretrial Advocacy
Chapter 2: Formulating the Case Theory............................................. 15

I. Case Theory............................................................................ 17
Ii. Developing the Case Theory.................................................... 17
A. Case Theory Components........................................................ 17
B. Legal Theory............................................................................ 18
C. Relationship Between the Legal and Factual Theory
Components............................................................................ 19
Client’s Objectives............................................................... 19
Evidence.............................................................................. 19
Iii. Plaintiff’s Case Theory............................................................ 20
A. Legal Theory............................................................................ 20
Civil Plaintiff........................................................................ 20
The Prosecutor..................................................................... 20
B. Selecting the Legal Theory....................................................... 20
Identifying Potential Legal Theories..................................... 21
Assessing Strengths and Weaknesses................................... 21
C. Factual Theory......................................................................... 23
Factually Sufficient............................................................... 23
Persuasive . ......................................................................... 25
Iv. Defense Case Theory............................................................... 30
A. Types of Theories..................................................................... 30
1. Attacking Weaknesses in the Plaintiff’s Case Theory............ 31
2. Counterattack or Affirmative Defense.................................. 31
3. Negotiation and Settlement................................................. 32
B. Legal Insufficiency................................................................... 32
C. Factual Insufficiency................................................................ 33
D. Persuasive Insufficiency........................................................... 34
E. Procedural Insufficiency........................................................... 37
F. Affirmative Defense................................................................. 37
V. Multiple Legal Theories........................................................... 39
A. Evidence Gathering.................................................................. 39
B. Strategic Sequence................................................................... 39
C. Alternatives............................................................................. 39
Vi. Case Theory as a Guide to All Pretrial Activities....................... 40
Vii. Ethical Considerations.............................................................41
A Case Theory Checklist................................................................. 42
Chapter 3: Developing and Managing the Case.................................... 47

I. Developing and Managing the Case......................................... 49
Ii. Planning Case Development.................................................... 50
A. Case Theory as a Guide............................................................ 50
B. Legal Theory—Researching the Law........................................ 52
Research Areas.................................................................... 52
Research Resources............................................................. 53

Contents xiii
C. Organizing the Fact Investigation . .......................................... 53

D. Avoiding Tunnel Vision............................................................ 54
Focus Groups—A Valuable Way to Test Assumptions............ 56
E. Economic Factors.................................................................... 57
F. Informal and Formal Fact Investigation.................................... 58
Civil Case Development....................................................... 58
Criminal Case Development................................................ 61
Iii. Informal Case Development.....................................................61
A. The Investigator....................................................................... 61
B. The Internet............................................................................. 62
C. The Expert: Consultant and Witness........................................ 62
The Fact Development Diagram........................................... 62
The Elimination Process: Should You Retain an Expert?....... 64
A Model for Selecting an Expert........................................... 67
1. Conclusions Compatible with Your Case Theory.............. 68
2. Skills of the Expert........................................................... 70
3. Practical Problems........................................................... 72
D. Handling Demonstrative, Physical, and Documentary
Evidence.................................................................................. 74
Iv. Managing the Case.................................................................. 75
A. Electronic Case Management................................................... 75
Database.............................................................................. 77
Search and Retrieval............................................................ 77
Case Analysis....................................................................... 77
Hosting the Database........................................................... 78
Discovery............................................................................. 78
Pretrial, Trial, and Settlement Presentations........................ 78
B. Everything in Its Place............................................................. 78
Journal................................................................................. 79
To-Do List............................................................................ 79
Thinking File........................................................................ 79
Trial System......................................................................... 80
V. Ethical Considerations in Case Development and
Management............................................................................81
A. Supervising the Investigation................................................... 81
B. The Expert............................................................................... 81
C. Preservation and Spoliation..................................................... 82
The Case Development Checklist.................................................... 82
Chapter 4: Forging the Attorney-Client Relationship............................ 85

I. The Attorney-Client Relationship............................................ 87
A. Legal Relationship.................................................................... 87
B. Economic Relationship............................................................ 88
C. Cooperative Relationship......................................................... 88
Ii. Planning for the Initial Interview............................................ 89

xiv Pretrial Advocacy
A. Setting the Objectives for the Interview................................... 89

B. Preparing for the Interview...................................................... 90
Learn About the Prospective Client’s Situation..................... 90
Preliminary Research of Applicable Law.............................. 92
Anticipate Interpersonal Matters and Problems................... 93
Iii. Conducting the Interview........................................................ 93
A. Information Gathering............................................................. 93
B. Developing and Maintaining the Three Relationships:
Legal, Economic, and Cooperative........................................... 95
Building the Legal Relationship............................................ 95
Establishing the Economic Relationship............................... 96
The Cooperative Relationship............................................ 100
C. Imparting Information—Client Expectations.......................... 102
Iv. Deciding Whether to Enter into the Relationship....................103
V. Ensuring an Ethical Relationship............................................104
Solicitation......................................................................... 104
Billing................................................................................ 105
Frivolous Actions............................................................... 106
Competency...................................................................... 106
Vi. Effective Case Management for the New Client.......................107
The Client’s File......................................................................107
The Client Interview Checklist.......................................................109
Model General Authorization to Release Documents to Attorney.... 110
Model Employment and Contingency Fee Agreement.................... 111
Memoranda Report for the Initial Client Contract............................114
Chapter 5: Counseling the Client.......................................................117

I. Counseling.............................................................................119
Ii. Planning Counseling............................................................. 120
A. Identifying the Problem......................................................... 120
Preparation........................................................................ 120
Information Gathering....................................................... 120
B. Setting Counseling Objectives................................................ 121
Objective 1: Maintaining a Good Attorney-Client
Relationship....................................................................... 121
Objectives 2 and 3: Achieving the Client’s Long-Term
Case Strategy and Achieving the Client’s Short-Term
Counseling Objectives........................................................ 122
C. Deciding Whether to Counsel................................................ 123
D. The Extent of Counseling....................................................... 124
E. Counseling Advice................................................................. 126
The Process....................................................................... 126
The Client’s Questionable Decision.................................... 127
Iii. Counseling Techniques......................................................... 128
A. Authoritarian and Partnership Approaches............................. 128

Contents xv
Authoritarian...................................................................... 128
Partnership........................................................................ 129
B. Written or Verbal Advice........................................................ 130
Iv. Follow-Up on Counseling.......................................................131
V. Ethical Considerations...........................................................131
Counseling Checklist.................................................................... 132
Chapter 6: Witness Interviewing....................................................... 135

I. The Witness Interview.......................................................... 137
Ii. Whom to Interview............................................................... 138
Identifying and Locating Witnesses and Other Evidence........ 138
Deciding Whom to Interview................................................. 138
Iii. Planning for the Interview.................................................... 139
A. Setting Objectives.................................................................. 139
B. Preparing for the Interview.................................................... 140
Familiarizing Yourself with the Case................................... 140
Prepare the Potential Legal Theories—The Value of
Jury Instructions................................................................ 141
C. Planning Logistics and Strategies........................................... 142
When to Interview............................................................. 142
Where to Conduct the Interview........................................ 142
Whether or Not to Be Accompanied................................... 144
Preserving the Interview Information................................. 144
Iv. Model Approach to the Information Gathering Interview....... 145
A. Case Theory as a Guide.......................................................... 145
B. Developing a Rapport............................................................ 146
C. Gathering Basic Information.................................................. 146
D. Funnel Structure of the Interview........................................... 147
Step 1. Open-Ended Inquiry.............................................. 148
Step 2. Organize the Information . .................................... 149
Step 3. Confirm and Clarify the Information Is
Complete and Accurate...................................................... 150
Step 4. The Closing............................................................ 153
E. Unfriendly Witness Interview................................................ 154
Develop a Rapport if Possible: Use Commanding
Statements and Probing Questions.................................... 154
Focus on Important Information........................................ 154
Lock in Witness Information.............................................. 154
V. Special Witness Issues........................................................... 154
Vi. Preparing the Witness to Testify............................................ 156
A. Preparing the Witness for the Courtroom.............................. 156
B. Preparing the Witness on the Substance................................ 157
The Witness’s Role and Preparation on the Substance....... 157
Direct Examination............................................................ 158
C. Preparing the Witness on How to Testify............................... 158

xvi Pretrial Advocacy
Appearance....................................................................... 159
Courtroom Rules................................................................ 159
Communication on Direct Examination............................. 159
Communication on Cross-Examination.............................. 160
Vii. Ensuring an Ethical Relationship........................................... 160
The Witness Interview—Checklist.................................................161
Chapter 7: Strategic Pleading............................................................ 165

I. Pleadings.............................................................................. 167
A. Civil Pleadings....................................................................... 167
Affirmative Pleading.......................................................... 168
Responsive Pleading.......................................................... 168
B. Criminal Pleadings................................................................. 170
Ii. Planning the Civil Pleading....................................................171
A. Setting the Objectives for Pleading........................................ 171
Discovery and Pleading..................................................... 171
Negotiation and Pleading................................................... 172
Overall Case Strategy and Pleading.................................... 172
B. Preparing to Draft Pleadings—Civil Case Theory
Development......................................................................... 172
Legal Sufficiency................................................................ 174
Factual Sufficiency............................................................. 175
C. Organizing the Information—Mapping the Potential
Pleading................................................................................. 176
Chart 1: Plaintiff’s Complaint Chart—Caption,
Parties, Jurisdiction............................................................ 178
Chart 2: Plaintiff’s Complaint Chart—Claim,
Party, and Relief................................................................. 179
Chart 3: Defendant’s Answer Chart—Responding to
Plaintiff’s Allegations......................................................... 179
Chart 4: Defendant’s Answer Chart—Affirmative
Defense, Counterclaim, Third-Party Complaint........................... 183
Iii. Drafting the Civil Pleading.................................................... 186
A. Case Theory and Strategy as Guides...................................... 186
B. Pleading Subject Matter Jurisdiction and Venue..................... 186
Considerations in Selecting a Forum.................................. 186
Subject Matter Jurisdiction................................................. 187
Venue................................................................................ 188
C. Claims and Defenses............................................................. 188
Legal Theories as Guides.................................................... 188
Burden of Pleading............................................................ 190
Joinder of Claims or Defenses............................................ 191
Case Strategies as Guides................................................... 191
D. Proper Parties........................................................................ 192
Legal Theories as Guides.................................................... 193

Contents xvii
Rules Governing Joinder of Parties..................................... 193

Case Strategy as a Guide.................................................... 194
E. Pleading a Claim for Relief..................................................... 195
Legal Theory as a Guide..................................................... 195
Case Strategy as a Guide.................................................... 195
Damages and Other Forms of Relief.................................. 196
F. The Amount of Information to Plead..................................... 197
Bare-Bones Pleading.......................................................... 197
Fully Dressed Pleading—Storytelling.................................. 197
The Strategic Considerations.............................................. 199
G. Anticipating Attacks on the Pleading...................................... 200
H. Satisfying Procedural and Technical Requirements................ 201
Pleading Sources................................................................ 201
Technical Format............................................................... 202
I. Writing an Effective Pleading................................................. 203
J. Focusing on the Answer......................................................... 204
A Motion, an Answer, or Both............................................ 204
Motion............................................................................... 205
Framing the Answer.......................................................... 206
Affirmative Defenses, Counterclaims, Cross-Claims,
and Third-Party Claims...................................................... 207
K. Other Strategic Issues............................................................ 208
Deciding When to File....................................................... 208
Deciding What Additional Pleading You Will Do................. 209
L. Filing, Service and Electronic Means...................................... 209
Filing and Serving a Pleading............................................. 209
E-Filing and Service............................................................210
Iv. Learning by Example: Civil Pleadings..................................... 211
V. Planning and Drafting Criminal Pleadings..............................217
A. Setting the Objectives for Pleading........................................ 217
B. Preparing to Draft the Charging Document—Case
Theory Development............................................................. 218
Legal Sufficiency................................................................ 219
Factual Sufficiency............................................................. 220
C. The Charges to File, if Any..................................................... 220
Evidentiary Standards........................................................ 220
Non-Evidentiary Reasons to Decline Charges..................... 222
Number and Nature of Charges......................................... 222
Vi. Ethical Considerations.......................................................... 223
A. Civil....................................................................................... 224
B. Criminal................................................................................. 225
Drafting Pleadings Checklist......................................................... 226
Chapter 8: Creating a Coordinated Discovery Plan............................. 229

I. Discovery...............................................................................231

xviii Pretrial Advocacy
A. Civil Discovery....................................................................... 232

Procedural and Substantive Rules...................................... 232
What Is Discoverable?........................................................ 232
Initial Disclosure and Formal Discovery............................. 233
Formal Discovery............................................................... 234
Protective Order................................................................ 236
B. Criminal Discovery................................................................ 237
C. Freedom of Information Act.................................................. 238
Ii. Planning Civil Discovery........................................................ 238
A. Setting Discovery Objectives.................................................. 238
B. Discovery and Case Strategy.................................................. 239
C. Developing a Discovery Plan—Case Theory as a Guide.......... 240
A Focused Discovery Plan.................................................. 240
A Coordinated Discovery Plan............................................ 240
Case Theory and Discovery................................................ 241
D. Five-Step Strategy for Coordinated Discovery........................ 244
Step One—Using the Case Theories as Guides,
Determine What Information You Want................................. 244
Categories of Information to Seek...................................... 244
Case Theory Narrows the Focus......................................... 245
Step Two—Identify Likely Persons and Entities That Could
Provide That Information....................................................... 246
Step Three—Identify the Types of Information to Seek.......... 248
Step Four—Select the Discovery Tool Suitable to the Task...... 249
Step Five—Determine the Timing and Sequencing of
Discovery............................................................................... 252
E. Preservation and Spoliation................................................... 253
F. The Lawyer’s Signature—Certification.................................... 254
G. E-Discovery............................................................................ 254
E-Discovery Rules ............................................................. 255
“Electronically Stored Information”.................................... 255
Early E-Discovery Plan....................................................... 255
Form of Production............................................................ 256
Preservation and Sanctions................................................ 256
Not Reasonably Accessible................................................. 257
Privileged or Trial-Preparation Material.............................. 257
Report of Senate Committee on the Judiciary.................... 258
Responding Party’s Best Practices and Strategies............... 260
Requesting Party’s Best Practices and Strategies................ 263
Iii. Drafting Civil Discovery Requests.......................................... 263
A. Drafting Interrogatories......................................................... 263
1. Preamble and Definitions.............................................. 264
2. Combine Broad and Narrow Questions.......................... 266
3. Unambiguous Questions................................................ 268
4. Require Identification of Persons and Documents.......... 268

Contents xix
B. Drafting Responses to Interrogatories.................................... 269

The Ambiguous Interrogatory............................................ 269
Privileged Information....................................................... 270
E-Discovery and Business Records..................................... 272
C. Drafting Requests for Production........................................... 273
Preface.............................................................................. 273
Particularity....................................................................... 273
Interlink Requests for Production with Interrogatories....... 274
Protect Against Destruction............................................... 274
D. Drafting Responses to Requests for Production...................... 275
Duty to Preserve................................................................ 275
Form or Forms of Production............................................. 275
Formulating the Response................................................. 276
E. Drafting Requests for Admissions.......................................... 277
F. Drafting Responses to Requests for Admissions..................... 280
Iv. Criminal Discovery.................................................................281
A. Discovery Rules, Statutes, and Devices.................................. 281
Court Rules and Statutes.................................................... 282
Open-File Policy or Defense Motion................................... 282
Other Tools for Discovery.................................................. 283
B. Brady Material........................................................................ 283
V. Motion to Compel Discovery and Request Sanctions.............. 284
A. Determining When to Make a Motion to Compel
Discovery............................................................................... 284
Considerations................................................................... 284
Resolving Disputes over Civil Discovery............................. 285
B. Sanctions............................................................................... 285
C. Drafting a Motion to Compel Discovery................................. 286
Vi. Ethical Considerations.......................................................... 287
Vii. Effective Case Management.................................................. 289
Civil Discovery Checklist.............................................................. 290
Sample Criminal Discovery Motion............................................... 294
Chapter 9: Taking and Defending Depositions................................... 299

I. Depositions............................................................................301
A. Procedural and Substantive Rules.......................................... 301
Who Can Be Deposed........................................................ 302
When a Deposition Can Be Taken...................................... 302
How Many Depositions and Duration................................ 303
Service, Subpoena, and Notice........................................... 303
Production of Materials—Subpoena Duces Tecum............. 303
Where and When............................................................... 304
Persons Present................................................................. 304
Recording the Deposition................................................... 304
B. Objections............................................................................. 305

xx Pretrial Advocacy
Form and Procedure.......................................................... 305

Grounds for Objections...................................................... 305
C. Deponent’s Review................................................................ 307
Ii. Who to Depose......................................................................307
Deciding Who to Depose............................................................ 307
Other Considerations............................................................. 308
Iii. Planning to Take a Deposition............................................... 308
A. Setting the Deposition Objectives.......................................... 308
Deposition Objectives........................................................ 308
B. Five-Step Approach for a Coordinated Discovery Plan............. 311
Step 1. Using the Case Theories as Guides, Determine
What Information You Want.............................................. 313
Step 2. Identify Likely Persons and Entities That Could
Provide That Information................................................... 313
Step 3. Identify the Types of Information to Seek and
Step 4. Select the Discovery Tool Suitable to the Task......... 313
Step 5. Determine the Timing and Sequencing of
Discovery........................................................................... 314
C. Preparation for Taking the Deposition.................................... 314
Know Your Case................................................................ 314
Notice and Documents...................................................... 314
Recording the Deposition................................................... 315
Location and Setting for the Deposition............................. 315
Stipulations........................................................................ 316
Objections and Directions Not to Answer........................... 316
Exhibits............................................................................. 317
Iv. Model Approach to Taking a Deposition.................................317
A. Opening Remarks.................................................................. 317
B. Closing Remarks.................................................................... 319
V. Deposition Strategies Driven by the Deposition’s
Objectives and the Type of Deponent.....................................319
A. Absent Witness—Preservation Examination.......................... 320
Rule Regarding Preservation.............................................. 320
Creating Evidence for Trial................................................. 320
B. Discovery Deposition—Going Fishing.................................... 322
C. Concession-Based Examination—Adverse Witness................ 324
Content.............................................................................. 325
Construction...................................................................... 329
Control............................................................................... 334
D. Opposing Party’s Expert Witness........................................... 336
Expert Witness Fees.......................................................... 337
Preparation to Take the Expert’s Deposition....................... 337
The Expert’s Methodology................................................. 339
E. Overcoming Problems with Defending Counsel..................... 342
F. The Visual Deposition............................................................ 345

Contents xxi
Vi. Defending the Deposition..................................................... 346

A. The Defending Counsel’s Role............................................... 346
B. Preparing for a Deposition..................................................... 347
Preparing the Deponent..................................................... 347
Preparing to Object and to Direct the Deponent
Not to Answer.................................................................... 350
C. Preparing the Expert Deponent............................................. 351
Scheduling......................................................................... 352
Assembling the Expert’s File.............................................. 352
Topics for Examination...................................................... 352
Vii. Seeking Judicial Intervention................................................ 353
Viii. Ethical Considerations.......................................................... 353
Taking the Deposition Checklist................................................... 354
Defending the Deposition Checklist.............................................. 358
Chapter 10: Creating Visuals............................................................. 359

I. Visuals...................................................................................361
A. Why Use Visuals?................................................................... 362
B. High-, Medium-, Low-, No-Tech.............................................. 363
Choosing Media................................................................. 363
The Options....................................................................... 364
The Software and Hardware............................................... 364
Ii. Planning Visuals................................................................... 366
A. Case Theory as the Guide...................................................... 366
B. Scene Visit............................................................................. 367
C. Evidentiary Foundation.......................................................... 368
D. Preparing the Visual............................................................... 368
E. Preparing to Use the Visual.................................................... 369
Iii. Examples of Visuals.............................................................. 369
A. Storytelling—Opening Statement........................................... 370
B. Complexities.......................................................................... 373
Technical Information........................................................ 373
A Large Quantity of Information........................................ 374
C. Improbability of the Opposing Party’s Story.......................... 375
D. Courtroom Demonstrations................................................... 376
E. Argument Visuals................................................................... 377
Iv. Ethical Considerations.......................................................... 379
Visuals Checklist.......................................................................... 380
Pretrial Litigation Library..............................................................381
Chapter 11: Pretrial Motion Advocacy................................................ 383

I. Pretrial Motion Practice......................................................... 385
Ii. Planning the Motion............................................................. 386
A. Setting Objectives: Ends-Means Thinking............................... 386

xxii Pretrial Advocacy
B. Developing a Motion Theory.................................................. 387

C. Motion Legal Theory.............................................................. 387
Identifying Your MLT.......................................................... 388
Identifying the Standard Motion Legal Theory—
An Illustration.................................................................... 390
Creating a Non-Standard Motion........................................ 391
Putting a Standard Motion to a Creative Use...................... 392
D. Motion Factual Theory........................................................... 392
Factually Sufficient............................................................. 393
Persuasiveness................................................................... 393
E Responding to a Party’s Motion Theory................................. 393
F. Putting the Process Together—The Motion Theory—
An Illustration........................................................................ 394
Legal Theory...................................................................... 395
Factual Theory................................................................... 396
G. Motion Theme....................................................................... 397
H. Relationship Between the Motion Theory and Case
Theory................................................................................... 397
Iii. Making the Factual Record.................................................... 398
A. The Burden and the Type of Record....................................... 398
B. Documentary Factual Record................................................. 398
C. Evidentiary Hearing Factual Record....................................... 399
Iv. A Hearing on the Motion....................................................... 400
A. Filing and Service.................................................................. 400
B. Conference with Opposing Counsel....................................... 401
C. Single Hearing or Separately.................................................. 401
D. Notice of Motion.................................................................... 401
V. Writing the Compelling Motion or Response......................... 402
A. The Essential Baker’s Dozen Elements................................... 402
1. Heading and Caption......................................................... 402
2. Notice of Motion................................................................ 402
3. Motion and Memorandum of Law...................................... 403
4. Signing, Filing, Submitting, or Later Advocating................. 403
5. Relief Requested................................................................ 404
6. Statement of Case.............................................................. 404
7. Statement of Facts............................................................. 404
8. Statement of the Issues...................................................... 404
9. Argument.......................................................................... 404
10. Conclusion....................................................................... 405
11. Attachments..................................................................... 405
12. Proposed Order............................................................... 405
13. Proof of Service............................................................... 405
The Response........................................................................ 406
B. Telling a Persuasive Story—The Statement of Facts................ 406
Factually Sufficient............................................................. 406

Contents xxiii
Persuasive Storytelling....................................................... 406

C. Framing the Issues—The Statement of Issues........................ 407
D. Arguing the Law—The Argument Section............................... 408
E. Interweaving the Theme.........................................................410
F. Writing Style, Structure, and Gaffes.........................................410
Vi. Persuasively Arguing the Motion or Response.........................412
A. The Beginning—Get the Judge’s Attention.............................. 412
B. The Middle—Use Compelling Legal and Factual
Arguments............................................................................. 412
Organization...................................................................... 412
Factual Argument............................................................... 413
Legal Argument................................................................. 414
C. The End—Present a Strong Conclusion.................................. 414
D. Know the Judge..................................................................... 414
E. Fielding Questions—A Dialogue with the Bench.................... 415
F. Be Prepared on the Facts and Law......................................... 416
G. Courtesy and Respect............................................................ 416
H. Courtroom Positioning........................................................... 417
I. Visuals................................................................................... 417
The Technology.................................................................. 418
The Software...................................................................... 418
J. Appearance and Delivery....................................................... 419
Body Language.................................................................. 419
Speaking Techniques......................................................... 420
K. On Time................................................................................ 420
Vii. The Adverse Ruling............................................................... 420
A. Reconsideration..................................................................... 421
B. Appellate Review................................................................... 421
Appealable?....................................................................... 421
Sensible?............................................................................ 421
Viii. Ethical Considerations.......................................................... 422
A. Opposing Legal Authority....................................................... 422
B. Not Frivolous......................................................................... 423
C. Not for an Improper Purpose................................................. 423
The Pretrial Motion Advocacy Checklist........................................ 424
Sample Civil Motion..................................................................... 428
Sample Notice for Civil Motion..................................................... 428
Sample Exhibit............................................................................. 429
Sample Proposed Order.................................................................431
Sample Memorandum of Law....................................................... 432
Sample Declaration of Service...................................................... 436
Chapter 12: Negotiating the Best Disposition..................................... 437

I. Negotiation........................................................................... 439
Ii. Planning Negotiation............................................................ 440

xxiv Pretrial Advocacy
A. Setting Objectives.................................................................. 440

B. Developing a Negotiation Theory........................................... 440
C. Facts...................................................................................... 442
D. Law........................................................................................ 443
Supporting Legal Precedent............................................... 444
Guideline for Optimum Solution........................................ 445
Limitation on Optimum Disposition................................... 445
E. Client’s Needs and Wishes..................................................... 445
F. Incentives.............................................................................. 447
Non-Economic................................................................... 447
Economic.......................................................................... 449
Iii. The Bargaining Range........................................................... 449
A. A Persuasive Range of Solutions............................................ 449
B. Determining the Range.......................................................... 450
C. The Optimum Solution.......................................................... 451
Settlement Value................................................................ 451
D. The Least Desirable Solution.................................................. 452
Settlement Value................................................................ 453
The Client’s Recovery........................................................ 454
Client’s Needs and Wishes................................................. 454
Reconsider—Alternatives and Consequences..................... 454
E. Solutions Within the Range.................................................... 456
Iv. Successful Negotiation.......................................................... 456
A. The Right Frame of Mind....................................................... 456
Ends-Means Thinking........................................................ 456
Creative Thinking............................................................... 457
Reasonable and Rational.................................................... 458
B. Demand Letter....................................................................... 458
C. Negotiation Styles—Competitive Versus Cooperative............. 459
D. Applying the Negotiation Theory........................................... 461
V. Negotiation Techniques......................................................... 463
A. Administrative Matters........................................................... 464
B. A Favorable Setting and Time................................................ 465
C. Bargaining............................................................................. 466
Choices in Bargaining Tactics............................................. 466
Applying the Bargaining Tactics......................................... 467
D. Pressure................................................................................. 468
Carrot or Stick.................................................................... 468
Ultimatum......................................................................... 469
E. Exchanging Information........................................................ 469
Persuasion—Settlement Presentations............................... 469
Discovery—Gathering Information..................................... 470
F. Settlement Conference.......................................................... 470
G. Bringing Negotiation to Closure............................................. 471
Split the Difference............................................................ 471

Contents xxv
Cooling Off........................................................................ 472

Vi. Settlement............................................................................ 472
A. Settlement Agreement........................................................... 473
The Contract...................................................................... 473
Types of Settlement Agreements........................................ 473
B. Other Settlement Documents................................................ 474
Dismissal........................................................................... 474
A Release........................................................................... 474
Covenant Not to Sue.......................................................... 475
Vii. Ethical Considerations.......................................................... 475
A. False Representations............................................................ 475
B. The Client’s Decision............................................................. 476
C. Communication with the Client............................................. 477
Viii. Negotiation in the Criminal Justice System: Parallels
to and Contrasts with Civil Case Negotiation......................... 478
A. Parallels................................................................................. 478
1. Whether to Negotiate......................................................... 478
2. Preparation for Negotiation................................................ 479
3. Plan a Hierarchy of Solutions............................................. 479
4. Peripheral Benefits............................................................. 482
B. Contrasts............................................................................... 482
1. Moral Values...................................................................... 482
2. Protection of the Innocent................................................. 483
3. Institutional Players........................................................... 483
4. Constitutional Rights.......................................................... 484
Civil Negotiation Checklist........................................................... 485
Sample Demand Letter................................................................. 488
Sample Settlement Agreement..................................................... 489
Stipulation of Dismissal................................................................ 490
Chapter 13: Alternative Dispute Resolution Advocacy.........................491

I. Alternative Dispute Resolution.............................................. 493
Ii. Choosing the ADR Process.................................................... 494
Iii. Planning and Preparing for an ADR Process.......................... 495
IV. Attributes of Arbitration and Mediation................................ 497
V. Arbitration............................................................................ 497
A. The Arbitration Process......................................................... 497
B. Voluntary or Mandatory......................................................... 498
Voluntary........................................................................... 498
Mandatory......................................................................... 499
C. The Arbitrator........................................................................ 499
D. Arbitration Proceedings......................................................... 500
E. Appeal................................................................................... 502
vI. Mediation............................................................................. 502
A. The Mediation Process........................................................... 502

xxvi Pretrial Advocacy
B. Participation.......................................................................... 504
C. Confidentiality....................................................................... 504
D. Advocacy Techniques and Strategies...................................... 508
Law and Evidence.............................................................. 508
Knowing the Mediator....................................................... 509
Selecting the Mediator....................................................... 509
Mediator Techniques...........................................................510
Advocating to and through the Mediator............................. 511
Advocating the Case Theory............................................... 512
Advocating for Money........................................................ 513
Visual Advocacy................................................................. 515
E. Mediation Settlement Agreement.......................................... 516
VII. Hybrid ADR Processes............................................................517
VIII. Ethical Considerations...........................................................518
A. Scope of Representation, Allocation of Authority, and
Communication..................................................................... 518
The Client’s Decision......................................................... 518
Communication with the Client......................................... 518
B. Aggregate Settlement............................................................. 519
C. Client Counseling................................................................... 519
ADR Checklist...............................................................................519
Characteristics of ADR Processes and Litigation............................ 522
Chapter 14: Introducing the Cases and Assignments......................... 523

I. Experiential Learning............................................................ 525
Ii. Factual Summary.................................................................. 526
Iii. The CD................................................................................. 528
The Case Files........................................................................ 528
Iv. The DVD............................................................................... 528
V. Rules of the “Game”............................................................. 529
A. Jurisdiction............................................................................ 529
B. The Procedural and Professional Responsibility Rules............ 529
C. Dates..................................................................................... 529
D. Civil Case............................................................................... 530
E. Your Responsibilities.............................................................. 530
F. The “Game”........................................................................... 531
Assignment Table of Contents............................................................ 532
Vi. Pretrial Advocacy: Assignments............................................. 536
Assignment 1: The Role of an Attorney in the Adversary
System.............................................................. 536
Assignment 2: Prosecutor: Initial Development of a Case
Theory (Homicide)............................................ 536
Assignment 3: Defense Attorney: Initial Development of a
Case Theory (Charge of Premeditated
First Degree Murder)......................................... 537

Contents xxvii
Assignment 4: Plaintiffs’ Attorney: Theorizing About

Summers v. Hard................................................ 538
Assignment 5: Attorney for Defendant Hard: Theorizing
About Summers v. Hard..................................... 539
Assignment 6: Attorney for Defendant Davola: Theorizing
About Summers v. Hard..................................... 541
Assignment 7: Attorneys for Defendants Hard and Davola:
Meeting and Theorizing About
Summers v. Hard................................................ 542
Assignment 8: Prosecutor and Defense Attorney: Case Fact
Development Overview.................................... 543
Assignment 9: Plaintiffs’ and Defendants’ Attorneys:
Case Fact Development Overview..................... 544
Utilizing Case Analysis and Management
Software........................................................... 545
Assignment 11: Defense Attorney: Interviewing Ed Hard
Regarding a First-Degree Murder (the
Formation of an Attorney-Client
Relationship)..................................................... 546
Assignment 12: Defense Attorney: Interviewing Ed Hard
for a Bail Reduction Motion (Charge of
First-Degree Murder)......................................... 547
Assignment 13: Plaintiffs’ Attorney: Interview of Deborah
Summers.......................................................... 548
Assignment 14: Plaintiffs’ Attorney: Interview of Ronnie
Summers.......................................................... 548
Assignment 15: Attorney for Defendant Hard: Client
Interview.......................................................... 549
Assignment 16: Attorney for Defendant Davola: Client
Interview.......................................................... 550
Assignment 17: Attorney for Defendant Davola: Interview
of Mary Apple................................................... 551
Assignment 18: Prosecutor: Counseling a Witness Whether
to Talk to Your Adversary (Peter Dean).............. 552
Assignment 19: Prosecutor: Counseling a Key Witness
Who Is Threatening to Leave Town
(Deborah Summers).......................................... 553
Assignment 20: Defense Attorney: Counseling the
Defendant Concerning a Drinking Problem
and Testifying at a Suppression Motion............. 554
Assignment 21: Plaintiffs’ Attorney: Counseling Client to
See a Psychologist (Deborah Summers)............ 555
Assignment 22: Plaintiffs’ Attorney: Counseling Client
Concerning Remarriage (Deborah Summers).... 556

xxviii Pretrial Advocacy
Assignment 23: Plaintiffs’ Attorney: Counseling Client

Concerning Granddaughter’s School
Truancy (Gretchen Summers)............................ 557
Assignment 24: Attorney for Defendant Hard: Counseling
Client Concerning His Objections to
Deposition of Adverse Witness
(Deborah Summers).......................................... 558
Assignment 25: Attorney for Defendant Davola: Counseling
Client About the Litigation................................ 559
Assignment 26: Plaintiff’s and Defendants’ Attorneys:
Counseling Clients to Accept Settlement........... 560
Assignment 27: Prosecutor: Interview of Dr. L. H. Jackson
(Medical Examiner)........................................... 561
Assignment 28: Prosecutor: Interview of Peter Dean.................. 562
Assignment 29: Prosecutor: Interview of Jack Waters................. 562
Assignment 30: Prosecutor: Interview of Detective Tharp
(Investigating Officer for the Case).................... 564
Assignment 31: Defense Attorney: Interview of
John Gooding.................................................... 565
Assignment 32: Defense Attorney: Interview of Cindy Rigg....... 566
Assignment 33: Defense Attorney: Interview of Marty
Saunders (Witness for a Suppression
Motion)............................................................. 566
Assignment 34: Defense Attorney: Interview of James
Raven (Polygrapher).......................................... 568
Assignment 35: Plaintiffs’ Attorney: Interview of Bert Kain........ 568
Assignment 36: Plaintiffs’ Attorney: Interview of
Dr. Brett Day..................................................... 569
Assignment 37: Plaintiffs’ Attorney: Interview of Karen Sway.... 570
Assignment 38: Attorney for Defendant Hard: Interview of
Rebecca Karr.................................................... 571
Assignment 39: Ekko Attorney for Defendant Davola:
Interview of Roberta Montbank........................ 572
Assignment 40: Prosecutor: Drafting a Criminal Pleading.......... 573
Assignment 41: Plaintiffs’ Attorney: Planning and Drafting
Pleadings.......................................................... 574
Assignment 42: Defendants’ Attorneys: Planning and
Drafting Responsive Pleadings.......................... 575
Assignment 43: Defense Attorney: Seeking Discovery from
the Government................................................ 576
Discovery Planning........................................... 578
Assignment 45: Plaintiffs’ and Defendants’ Attorneys: Initial
Disclosure and Written Discovery Requests...... 579
Assignment 46: Plaintiffs’ Attorney: Preparing a Client for a
Deposition (Deborah Summers)........................ 580

Contents xxix
Assignment 47: Attorney for Defendant Davola: Preparing a

Client for a Deposition (M.C. Davola)................ 581
Assignment 48: Attorney for Defendant Davola: Preparing
an Expert Witness for a Deposition
(Dr. Thomas Monday, Economist)..................... 582
Assignment 49: Plaintiffs’ Attorney: Preparing an Expert
Witness for a Deposition (Dr. Brett Day,
Treating Physician)............................................ 583
Assignment 50: Plaintiffs’ Attorney: Taking the Deposition
of an Adverse Party (Tom Donaldson)............... 584
Assignment 51: Attorney for Defendant Hard: Taking the
Deposition of an Adverse Party
(Deborah Summers).......................................... 585
Deposition of an Adverse Party
(Gretchen Summers)......................................... 586
Deposition of a Neutral Witness
(Roberta Montbank).......................................... 587
Assignment 54: Attorney for Defendant Davola: Taking the
Deposition of a Neutral Witness (Bert Kain)...... 588
Assignment 55: Attorney for Defendant Davola: Taking the
Deposition of Neutral Witness
(Betty Frank, Nurse).......................................... 590
Assignment 56: Defendant Davola’s Attorney: Taking the
Deposition of an Adverse Expert Witness
(Dr. David Bowman, Plaintiffs’ Behavioral
Psychologist)..................................................... 591
Assignment 57: Defendants’ Attorneys: Taking the
(Dr. Bruce Hann, Plaintiffs’ Economist)............. 592
(Dr. Brett Day, Plaintiffs’ Medical Expert).......... 594
(Hao Tredwell, Firearms Expert)........................ 595
(Dr. Pat Gage, Psychiatrist)................................ 596
Assignment 61: Plaintiffs’ Attorneys: Taking the Deposition
of an Adverse Expert Witness (Dr. Ennis
Martinez, Psychologist)..................................... 597
Assignment 62: Plaintiffs’ Attorneys: Taking the Deposition
of an Adverse Expert Witness (Dr. Dale
Thompson, Hotel Management)........................ 598

xxx Pretrial Advocacy
Assignment 63: Prosecutor and Defense Attorney: Planning

and Visiting the Scene...................................... 599
Assignment 64: Prosecutor and Defense Attorney Prepare
Exhibits and Other Visuals................................ 600
Planning and Visiting the Scene........................ 601
Assignment 66: Plaintiffs’ and Defendants’ Attorneys
Prepare Exhibits and Other Visuals................... 602
Assignment 67: Defense Attorney: Planning Constitution-
Based Pretrial Motions...................................... 603
Assignment 68: Prosecutor: Planning Responses to
Constitution-Based Pretrial Motions
(Suppression Motions)...................................... 604
Assignment 69: Defense Attorney and Prosecutor:
Constitution-Based Pretrial Motion
(Suppression of Ed Hard’s Gun)......................... 605
Assignment 70: Defense Attorney: Constitution-Based
Pretrial Motion (Evidentiary Hearing:
Suppression of Statements to Officer Yale)........ 606
Constitution-Based Pretrial Motion
(Suppression of the Statement Given to
Detective Tharp)............................................... 608
Assignment 72: Defendants’ and Plaintiffs’ Attorneys:
Defendants’ Motion for Summary Judgment
and Plaintiffs’ Response (Mental Distress)..........610
Assignment 73: Plaintiffs’ Attorney and Defendant Davola’s
Ekko Attorney: Plaintiffs’ Motion to Compel
Production of Documents and Defendant
Davola’s Response............................................. 611
Negotiation (Plea Bargaining)............................ 614
Assignment 75: Attorney for Plaintiff Deborah Summers:
Draft a Demand Letter...................................... 615
Assignment 76: Attorneys for Defendant Hard and Sapo
Insurance Company: Negotiation
Concerning Duty to Defend.............................. 616
Negotiation Between Plaintiffs and
Defendants....................................................... 617
Assignment 78: Plaintiff’s and Defendants’ Attorneys:
Arbitration and Mediation................................. 618
Vii. Table of Contents for Case Files on CD.................................. 620
Index................................................................................................ 625

Preface to Third
Edition
T his book reflects the technical, technological, and strategic knowledge

base required of a litigator in the early twenty-first century, where chang-
es such as the significant role of technology in practice, the extensive use of
experts, the increasing importance of dispute resolution, as well as signifi-
cant changes in doctrine that are now standard procedure are all part of the
landscape.
The second edition was a total revision of the book, reflecting the evolu-
tion of pretrial practice over the past two decades. The second edition also
incorporated the pedagogical lessons we learned from using the book in
classes over those years. The third edition continues in this direction,
trying to stay on the edge of both pedagogy and legal practice, while
anticipating the likely trajectory of the future.
The Continued Emergence of

Alternative Dispute Resolution
Alternative dispute resolution (ADR) advocacy skills are required for today’s
litigators. Few cases go to trial; rather, most litigation is referred to arbitra-
tions and mediations, which are commonplace. Consequently Chapter 13
has been expanded to cover advocacy skills and strategies for effective ADR
advocacy. Revisions include getting to know the mediator, selecting the right
mediator, advocating to and through the mediator, and advocating during
both the case theory and the money phases of mediation. Also, a variety
of ethical considerations specific to ADR are discussed: the scope of repre-
sentation, allocation of authority, communication with the client, aggregate
settlement, and client counseling. Finally, a mediation video was added to
the DVD that accompanies the book. This addition to the DVD vividly
illustrates the use of visuals in mediation.
xxxi

xxxii Pretrial Advocacy
Revisions and Additions in Response

to the Rapid Pace of Technology
in Law
Pleading and filing documents electronically is now commonplace in federal
court. Many state court documents can also be electronically filed. These
electronic inroads are included in Chapter 7, Strategic Pleading.
E-discovery is perhaps the most important subject in pretrial litigation
today. The law on e-discovery is rapidly evolving and involves malpractice
traps for the unwary lawyer who bungles. Chapter 8, Creating a Coordinated
Discovery Plan, thus was expanded to cover the essentials of what every
practicing lawyer should know about e-discovery, including the duties to
identify and preserve electronically stored information (ESI); when and how
to place a litigation hold on ESI; sanctions for loss or failure to preserve ESI;
techniques for reducing the risk of turning over privileged information; best
practices and strategies for both the requesting and responding party; and
e-discovery ethical issues—such as disclosure of privileged information in
metadata and whether to mine for metadata.
In further recognition of evolving technology and legal practice, we also
explore how Internet searches can be used to locate free or inexpensive and
yet reliable information during case development. As such, Chapter 3, Case
Development, was revised to cover how the Internet can be employed to
locate witnesses, investigate backgrounds, identify experts, and do public
cyber-sleuthing. Also, websites for legal research are provided.
Rule Changes
Rule changes, such as those made to the Federal Rules of Civil Procedure in
2007 and the Federal Rules of Evidence in 2008 have been incorporated into
this third edition.
The Website
Our website, http://www.aspenadvocacybooks.com, was created as a compan-
ion to the second edition of this book. Since we developed the website, we
have added many new features and materials for the benefit of faculty and
students of pretrial and trial advocacy. For pretrial advocacy alone, the site
contains such resources as articles, like “Fielding Difficult Questions from
the Bench” by Paul H. Anderson, Justice, Minnesota Supreme Court, St. Paul,
Minnesota; sample pleadings (including complaints, answer, motion to com-

Preface to Third Edition xxxiii
pel, motion for summary judgment, interrogatories, requests for production,

requests for admissions); a virtual tour of a courtroom with state-of-the-art
technology; links to pretrial and trial visuals websites; links to legal research
websites; a link to the U.S. v. Bernard Madoff court documents and plea state-
ment; and links to fact investigation websites for locating people, doing back-
ground checks, and other public cyber-sleuthing.
The Five Pedagogical Pillars

Notwithstanding all these changes in the second and third editions, the fun-
damentals of effective litigation advocacy remain constant. Cicero would still
be a great lawyer should he miraculously appear today (once he learned
about e-mail and e-discovery). The essential approach and foundational
knowledge from our original book have not changed: We have written this
edition strictly adhering to the five pedagogical pillars upon which our origi-
nal text was constructed.
1. First, we present the various skills (negotiation, interviewing, discov-

ery, and so forth) as part of an interrelated strategic endeavor, not as
a series of fragmented performances.
2. Second, we present this endeavor guided by the conception of case
theory (Chapter 2).
3. Third, learning takes place through experiential hands-on exercises
that consist of both planning questions and detailed attorney and
witness performance instructions. In this edition, we have grouped
the performance and discussion Assignments at the end of the book,
with a full table of contents for easy access to them.
4. Fourth, all exercises are founded upon extensive criminal and civil
case files, both of which evolve from the same incident.
5. Fifth, the exercises are filled with realistic ethical issues.
We invite your enthusiastic response to advocacy in our technological-

ly exciting world. Please write us with your comments and suggestions at
mjb@seattleu.edu.

Marilyn J. Berger, John B. Mitchell, and Ronald H. Clark

Acknowledgments
T he cover of this book indicates that it is the work of three authors. Yet
there were truly so many other individuals, in so many capacities, who
were essential to this book. Their combined contributions are visible to us
on every page. We do more than thank them; we share credit with them for
this work.
Kwame Amoeteng, Seattle University School of Law graduate, 2002.
Authors of The Appellate Prosecutor.
Mimy Bailey, Seattle University, class of 2007.
William S. (Bill) Bailey, Attorney and Adjunct Professor of Law, Seattle Univer-
sity School of Law.
Mike Bitando, General Manager of The Garage billiards hall and bowling.
Jason Casebolt. Seattle University School of Law, class of 2010.
Nancy Clark, Artist and Editor.
Fred Dekay, Professor at Seattle University School of Law.
Tyler Fox, Instructional Technology Manager at Center for Educational Lead-
ership, University of Washington.
Steve Fury, Attorney.
Captain Tag Gleason, Seattle Police Department, Violent Crimes Section.
Chris Hazelmann, President and CEO, Prolumina Trial Technologies.
Sarah Johnson, Attorney.
Alan Kirtley, Associate Professor of the University of Washington School of
Law.
Law Students at Seattle University School of Law.
Monique M. C. Leahy, Principal, Wordsworth Publishing, Reston, Virginia,
and Contributing Editor to Pretrial Advocacy.
Gretchen Ludwig, Director of the Garage and The Freck Point Trial movies.
xxxv

xxxvi Pretrial Advocacy
The Honorable Judge Terrance Lukens, JAMS, Adjunct Professor of Law, Seat-
tle University School of Law.
Dr. Norman Mar, Ph.D.
Hannalore Merritt, Seattle University School of Law, class of 2009.
Rebecca Miller, Officer, Seattle Police Department, East Precinct.
Theodore Myhre, Legal Writing Professor of Law, Seattle University School
of Law.
The Honorable Judge Jack Nevin, Pierce County District Court and Adjunct
Professor of Law, Seattle University School of Law.
Kyle C. Olive, Attorney.
Rex Prout, Assistant Chief, Enforcement & Education, Washington State
Liquor Control Board.
Michael Riggio, Attorney and Adjunct Professor of Law, Seattle University
School of Law.
Professor Laurie Shanks, Albany Law School.
Richard Sherwin, Professor and Director New York Law School’s Visual Per-
suasion Project.
John Jay Syverson ( Jay), photographer, OnPoint Productions, Seattle.
Tim Tish, Attorney.
Kirk Van Scoyoc, Actor.
Justin Walsh, Seattle University School of Law student and law clerk, class of
2008.
Laurie Sleeper Wells, Administrative Assistant, Seattle University School of
Law.
Matt Williams, Attorney and Adjunct Professor of Law at Seattle University
School of Law.
Katherine Wimble, Graphics Artist.
Ric Wyant, Forensic Scientist, Firearm/Toolmark Section, Crime Laboratory
Division, Washington State Patrol Firearms Examiner for the Washington
State Patrol Crime Laboratory.
The Honorable Mary Yu, King County Superior Court.
Stephanie Zimmerman, Director of Instructional Technology at Seattle Uni-
versity School of Law.
And a special thank you to Aspen Publishers: Steve Errick, Managing Direc-
tor; John Devins, Assistant Managing Editor; and Carmen Corral-Reid,
Associate Managing Editor.

Introduction
T his book, accompanying DVD with videos (demonstration videos of how

to take a deposition and use it in court, a crime scene tour, and sev-
eral ADR and trial videos), and the companion website at http://aspenadvo-
cacybooks.com (with numerous pretrial and trial resources) are intended to
provide you with the experience of being a practicing attorney engaged in
pretrial activities. Through a series of criminal and civil problems, as well
as supportive commentary and case files, the book presents an approach
to thinking about, planning, and performing detailed and realistic problems
that simulate a wide range of pretrial practice situations and foster the kinds
of analytic processes needed to solve these problems.
A discussion of our theory and approach to lawyering in an adversary
system is reserved for Chapter 1; the object of this introduction is to pro-
vide you with a basic understanding of how the book is structured and its
intended use.
A. STRUCTURE
T his book is divided into 13 chapters followed by Chapter 14, which is

an overview of the experiential learning envisioned for this course and
the assignments for the class. Each chapter covers a separate pretrial sub-
ject area—for example, witness interviews, discovery, and negotiation. The
substance of each chapter elaborates a theoretical approach to the particu-
lar pretrial skill that is the subject of that chapter, provides demonstrations
of that approach as applied to hypothetical situations, and offers a series
of practical and strategic pointers in the subject area. The examples that
we provide in the text are intended to be just that, examples. They are not
meant to be exhaustive, but are merely intended to illustrate the point in
question. Where possible, the text also includes references to sources that
may be of help to you.
xxxvii

xxxviii Pretrial Advocacy
In each chapter, the text concludes with checklists that you may con-
sult when you plan to employ the pretrial skills that are the subject of that
chapter.
Each performance assignment simulates a different adversarial practice
situation—plaintiff’s interview with a neutral witness, defendant’s interview
with an expert witness, defendant making a motion to compel discovery,
plaintiff responding to a motion to compel discovery. Most of the problems
are based on a single, but complex, fact pattern that manifests itself in two
fictitious cases—a criminal case, State v. Hard, and a civil case, Summers v.
Hard.
The role or perspective you assume may shift from one problem assign-
ment to another. Thus in the civil case, your entire approach to a particular
problem may vary depending on whether you are a defendant’s privately
retained attorney or an attorney representing a defendant’s insurance com-
pany. Your instructor will clarify each of these roles—and your connection
to them—as they appear. Each problem contains a preparation section that
refers to the background reading you must do to work through the problem.
Usually, this reading will include the text from one or more chapters and
materials from the case file on the CD included with this book. There are also
references to rules of evidence, civil procedure, and criminal procedure.
Case Files: The criminal and civil case files for State v. Hard and Summers
v. Hard on the CD provide the factual and legal details for the problems. The
files include diagrams, documents, expert reports, jury instructions, plead-
ings, research memoranda, statutes, and witness statements. The research
memoranda are a special feature. The memoranda are composed of fictional
cases from our fictional jurisdiction, the State of Major. The memos provide
all the research you need to deal with the multitude of legal issues in the
problems. Of course, your instructor may prefer that you instead research
and use appropriate real cases from your jurisdiction.
Actors’ Guide: The simulated pretrial skills performances generally
involve role-play. Someone in the class must play the client who is being
counseled or the expert economist who is interviewed or the custodian of
records whose deposition is being taken. To make these simulations as real-
istic as possible, your instructor has been provided with a witness guide
that contains for distribution all the information each actor requires to make
his or her performance realistic—memorable background materials detail-
ing the particular witness’s personal history, information about the witness’s
knowledge of the case, and instructions for how the witness is to behave and
respond during the particular assignment.
Additionally, the witness guide contains confidential instructions that at
times will be given to the students who are playing the attorneys, for exam-
ple, during negotiation exercises.

Introduction xxxix
DVD Videos: On the DVD included in the pocket on the back cover are
valuable videos including the following:
• Demonstration video showing how to take a deposition;

• Demonstration video of how to use a deposition at trial;
• Animations that may be used during alternative dispute resolution
and trial;
• A documentary developed for settlement negotiation and ADR; and
• A video of a tour of the crime scene where the shooting that led to the
criminal State v. Hard and civil Summers v. Hard cases took place.
Website: A companion website to the book is available at http://www.

aspenadvocacybooks.com. This site provides a wealth of supplemental mate-
rial and special features for both pretrial and trial advocacy. Specifically for
pretrial advocacy, the website contains resources such as:
• Articles for pretrial;

• Sample pleadings;
• A virtual tour of a courtroom with state-of-the-art technology;
• Links to pretrial and trial visuals websites;
• Links to legal research websites;
• Link to court documents of current cases; and
• Links to fact investigation websites for locating people, doing back-
ground checks, and other public cyber-sleuthing.
B. METHODOLOGY
T he book offers a choice of one (or more) of six learning methodologies

from which your instructor will choose:
Reading: The text provides a wealth of information about each skills
performance ranging from theory to practice, including illustrations of any
given approach so you can understand how the ideas are applied in practice.
All of this information will assist you in working through the corresponding
problems. The occasional references to other authors’ work in the field give
you the opportunity for further reading that can broaden your appreciation
and understanding of the area.
Discussing: As just described, many of the assignments provide oppor-
tunities for you to discuss substantive issues and pretrial strategies.
Watching: The videos and other visuals that are on the DVD that accom-
panies this text allow you to watch veteran, skilled trial lawyers take a depo-
sition and use a deposition in court. You can see visuals that are developed

xl Pretrial Advocacy
for pretrial and trial advocacy including a documentary, animations, and a

PowerPoint storytelling show. The DVD also provides a guided video tour of
a crime scene.
Performing: The assignments provide the opportunity to learn through
simulated performances (interviewing, counseling, arguing motions). The
experience of role-playing a witness, or just observing the role-play of fellow
law students, will also give valuable insights into the factors that constitute
competent attorney performance.
Writing: Assignments also offer a variety of writing opportunities, from
planning memos and discovery motions to pleadings and declarations for
Constitution-based pretrial motions. As such, many of these involve develop-
ing the type of legal analysis you have perfected in law school, translating
that analysis into an adversary perspective, and then communicating your
position by persuasive writing to the appropriate audience.
Critiquing: Following your performances, you will gain a great deal
from the critique of your work by your instructor and perhaps from fellow
class members as well. Furthermore, even as a nonperforming class mem-
ber, learning by example how to critique and what to critique will greatly
enhance your ability to evaluate, and thereby improve, your own subsequent
planning and performances.
C. ICONS AND BOXES
T hroughout the chapters, boxes appear containing information and cover-

ing topics that include checklists, substantive law, facts of a hypothetical,
illustrations, and practical tips. The topical material within each box is desig-
nated by the following:
Checklists
4
Facts of a Hypothetical
y
Stor

Introduction xli
Illustration of a Point
Pointers
Ethical Rules, Statutes, or Procedural Rules
ethics
D. FINAL THOUGHTS
L earn well. In a blink, you will have graduated from law school, passed the
Bar, and be practicing law. Your clients will totally rely on you. They will
entrust their families, businesses, freedom, and even their very lives to your
care and competence. Learn well . . . and have fun.


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Pretrial Advocacy, Planning, Analysis and Strategy

Seattle University School of Law Legal Paper Series # 10−21

This paper can be downloaded without charge from

Electronic copy available at: http://ssrn.com/abstract=1640620

Electronic copy available at: http://ssrn.com/abstract=1640620

Electronic copy available at: http://ssrn.com/abstract=1640620

00 berger pretrial 3d ed.indd 1 1/19/2010 1:29:12 PM

Richard K. Neumann, Jr.

David Alan Sklansky

00 berger pretrial 3d ed.indd 2 1/19/2010 1:29:13 PM

Law & Business

00 berger pretrial 3d ed.indd 3 1/19/2010 1:29:14 PM

No part of this publication may be reproduced or transmitted in any form

To contact Customer Care, e-mail customer.care@aspenpublishers.com,

Printed in the United States of America.

Library of Congress Cataloging in Publication Data

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Wolters Kluwer Law & Business is a leading provider of research information

Aspen Publishers is a leading information provider for attorneys, business

Kluwer Law International supplies the global business community with

Loislaw is a premier provider of digitized legal content to small law firm

Wolters Kluwer Law & Business, a unit of Wolters Kluwer, is headquartered in

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To Albert J. and Dorian S.

To Eva, David, Sarah, J.P., and Tyler—my family.

To Nancy, Brady, Soojin, Malachi, Riley, Clancy, Kara,

And to Laurie Sleeper Wells, our administrative assistant, without whom

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Chapter 1: Entering the Advocate’s World................................................... 1

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Chapter 1: Entering the Advocate’s World............................................. 1

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Chapter 2: Formulating the Case Theory............................................. 15

Chapter 3: Developing and Managing the Case.................................... 47

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C. Organizing the Fact Investigation . .......................................... 53

Chapter 4: Forging the Attorney-Client Relationship............................ 85

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A. Setting the Objectives for the Interview................................... 89

Chapter 5: Counseling the Client.......................................................117

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Chapter 6: Witness Interviewing....................................................... 135

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Chapter 7: Strategic Pleading............................................................ 165

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Rules Governing Joinder of Parties..................................... 193

Chapter 8: Creating a Coordinated Discovery Plan............................. 229

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A. Civil Discovery....................................................................... 232

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B. Drafting Responses to Interrogatories.................................... 269

Chapter 9: Taking and Defending Depositions................................... 299

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Form and Procedure.......................................................... 305

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Vi. Defending the Deposition..................................................... 346

Chapter 10: Creating Visuals............................................................. 359

Chapter 11: Pretrial Motion Advocacy................................................ 383

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B. Developing a Motion Theory.................................................. 387

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Persuasive Storytelling....................................................... 406

Chapter 12: Negotiating the Best Disposition..................................... 437

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Berger,_Marylyn_'PRETRIAL_ADVOCACY,_PLANNING,_ANALYSIS_&_STRATEGY,_3rd_Ed.'_SSRN_2010[1]

Berger,_Marylyn_'PRETRIAL_ADVOCACY,_PLANNING,_ANALYSIS_&_STRATEGY,_3rd_Ed.'_SSRN_2010[1]