CHAPTER 2
Legal Procedures: Journey
of a Case through the Courts
CONTENTS
A. Chapter Competencies
B. Introduction
a. What Is a Claim?
b. Relevant Factors and Costs
C. The Parties and Proof
D. Pretrial Procedure
E. The Trial
F. Appeal
G. Alternative Dispute Resolution
H. Interpreting a Case Citation
I. Answers to End-of-Chapter
Questions
Chapter Summary
Conflicts can be resolved in a variety of ways. Some will grow into lawsuits and be heard in court, or settled
before or after a lawsuit has begun. Conflicts are also resolved through alternative dispute resolution methods.
When a claim is asserted against a hospitality establishment, or if the establishment has a claim against an
individual or a business, a decision on how to proceed must be made. Thus a case begins through the court
system.
Claims can be resolved by a lawsuit, which involves the stages including pleadings, pretrial procedures, the
trial, and appeals. The purpose of pleadings is to identify the factual issues in the case. The function of pretrial
procedures is to eliminate surprises at the trial. The objective of the trial is to determine the facts of the case and
how the law applies to the facts. The reason for an appeal is to provide an opportunity to correct an erroneous
ruling.
The specific steps in a lawsuit are as follows:
1. Commencing the lawsuit
a. Complaint
i. Statement of jurisdiction
ii. Basis for the claim
iii. Claim for relief
b. Summons
c. Service of process
d. Responses of complain
i. Preliminary motions
ii. Answer
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e. Responses to answer
i. Motions directed to the answer
ii. Reply
f. Summary judgment motion
2. Pretrial procedure
a. Discovery
b. Pretrial conference
3. Trial
a. Selection of the jury
b. Opening statements
c. Cases-in-chief
d. Plaintiff’s rebuttal
e. Summations
f. Charge to the jury
g. Jury deliberations
h. Verdict
i. Judgment
4. Appeal
a. Alternative dispute resolution methods
i. Arbitration
ii. Mediation
iii. Summary jury trials
A. Chapter Competencies
After studying Chapter 2, the student should be able to
1. define a “claim.”
2. list the key questions about the handling of a claim.
3. list the various costs related to pursuing or disputing a claim.
4. define the terms “litigants,” “plaintiffs,” and “defendant.”
5. list the three factors essential to the success of a lawsuit by the plaintiff.
6. define “a complaint.”
7. list the three parts of the complaint.
8. define the terms “jurisdiction” and “in personam jurisdiction.”
9. describe the scope and/or role of federal jurisdiction.
10. list the type of courts at different levels in the judicial system.
11. describe the two parts to the complaint.
12. define “summons.”
13. define “service of process.”
14. list the possible responses to the complaint.
15. define “motion.”
16. describe the procedures of filing motions.
17. describe the function and purposes of “the answer.”
18. describe responses to “the answer.”
19. define “pleadings.”
20. define “motion for summary judgment.”
21. list and describe the pretrial procedures.
22. define a “trial.”
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23. list, in order, and describe the 10 components in a trial procedure.
24. list and describe the two types of trials.
25. define “voir dire.”
26. define an “appeal.”
27. describe grounds for appeal.
28. describe the function of appellate courts.
29. define “alternative dispute resolution (ADR).”
30. describe the three methods of ADR.
31. define a “citation.”
32. interpret a case citation.
B. Introduction
❊Start by asking the students the question, “Are all conflicts resolved in a court?”
■Explain the role of insurance companies in choosing the method of conflict resolution. How do
they influence or dictate whether to settle or not? Discuss the probable reasoning for the in-
volvement of insurance companies in this decision.
❊Discuss the various ways of conflict resolution.
■Explain when each is appropriate.
❊Define a “claim.”
■Using case examples from the textbook, ask students to answer the key questions in dealing with
claims.
❊Discuss the three key factors to be considered when dealing with a claim.
■Ask the students about the possible costs of lawsuits and their effects on the future cases and
impacts on hospitality businesses. Make a list on the board or a flip chart.
C. The Parties and Proof
❊Discuss the parties to a lawsuit and definitions of key terms.
■Use cases to explain the terms.
❊Explain what a plaintiff must prove to be successful in the lawsuit.
❊Commencing the lawsuit.
■The lawsuit is begun by serving or filing a complaint and a summons.
■Define “complaint” and the process of filing.
■Use Figure 2-1 in the textbook to explain the key parts in a complaint.
■Using Figure 2-4 in the textbook, explain the service process giving the definition of a summons
and two ways to respond to the summons.
•The case ends if a defendant makes a successful motion to dismiss a case because the court lacks
jurisdiction. However, the plaintiff may file the case in another court that has jurisdiction.
■Explain what pleadings are.
•Discuss responses to the complaint, giving definitions of a motion and an answer.
D. Pretrial Procedure
❊The second stage of the lawsuit.
■Collection of evidence.
■Both parties know the general framework of the opponent’s position once the pleadings have
been filed and, if necessary, clarified through the use of motions. The parameters of the legal dis-
pute become apparent.
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❊Discuss the definition and forms of discovery.
❊Discuss the function of a pretrial conference.
E. The Trial
❊The third and final stage in a lawsuit.
❊Discuss what a trial is and the two types of trials.
■Explain the advantages and disadvantages of the two types of trials.
❊Discuss trial procedure from jury selection to judgment. Define voir dire.
■Explain the importance of jury selection and the role of a jury consultant.
❊Discuss the procedures the attorney may pursue after the verdict and before the judgment.
F. Appeal
❊Discuss the appeal process.
❊Discuss the grounds for appeal and the reasons why mistakes are made.
❊Discuss the role and functions of the appellate court.
■Asking the students to research the locations and jurisdictions of federal district courts and courts
of appeal will be a good homework exercise.
G. Alternative Dispute Resolution
❊In civil cases, a number of alternatives to trial exist, called alternative dispute resolution (ADR).
■Discuss the trend toward ADR due to the high cost of trials in both money and time.
■Explain the methods of ADR.
■Explain the importance of ADR in terms of costs.
■Note that the cost to pursue or defend a lawsuit can be very high due to attorney’s fees, court
costs, witness fees, and the parties’ time away from work.
■Note that ADR is usually quicker, less formal, and less expensive than a trial.
■Discuss why more and more litigants are choosing ADR.
■Discuss why some courts are even requiring it.
❊Arbitration.
■Explain the process of arbitration and the role of the arbitrator.
❊Mediation.
■Explain the process of mediation and the role of the mediator.
■Discuss the similarities and differences between arbitration and mediation.
❊Summary jury trials.
■Explain the process of summary jury trials.
H. Interpreting a Case Citation
❊Define “citation.”
❊Using case citations in the book, explain how to interpret a case citation.
❊Use a couple of citations as an exercise.
❊Example: In the citation 99 N.Y.2d 38 (2002), the cited case begins on page 38 of the 99th vol-
ume in the New York Second reporter series in the library. The date in parenthesis identifies the
year in which the case was decided.
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Key Terms
Allegation In pleading, that which a person will
attempt to prove; an unproven assertion.
Alternative dispute resolution (ADR) Quicker,
less formal, and less expensive than a trial. Methods of
ADR include arbitration, mediation, and summary
jury trials.
Answer A response to a formal written complaint.
Appeal Complaint made by a litigant to a superior
that a trial judge committed an error.
Appellate court A court with the authority to re-
view the handling and decisions of a case tried in a
lower court.
Arbitration The process of dispute resolution by an
arbitrator chosen by the parties to decide the case.
Briefs A written statement of a person’s case to be
submitted to a court, usually including a summary of
the law involved in the case; a condensed statement of
facts and arguments regarding how the law applies to
the facts.
Case-in-chief Presenting evidence and witnesses
during the trial.
Change to the jury How the judge informs that
jury of the law applicable to the case.
Civil case A lawsuit brought by an individual
against an individual or company.
Claim Demand for remedy, usually money, to com-
pensate for a perceived wrong.
Complaint Document issued by plaintiff that con-
tains allegations (unproven statements).
Counterclaim A claim a defendant may have
against a plaintiff.
Criminal case A case for a crime committed against
society.
Cross-examination When opposing counsel ques-
tions a witness during a trial.
Defendant Party being sued.
Deliberations Detailed discussions of the case that
may result in a verdict.
Direct examination When the party who calls a
witness questions that witness during trial.
Discovery The process by which each side obtains
evidence known to the other side.
For cause Challenging a juror’s eligibility.
In personam jurisdiction Authority of a court to
determine a case against a particular defendant.
Judgment Official decision of a judgment about
the rights and claims of each side in a lawsuit.
Jurisdiction Authority of a court to hear a case.
Litigants The parties to a lawsuit.
Mediation The process in which litigants settle
their dispute out of court by mutual agreement with
the aid of a person called a mediator.
Motion A request made to the judge for considera-
tion and action.
Opening statement Presentation to the jury out-
lining the proof a lawyer expects to present during
the trial.
Parties Individuals engaged in a conflict; also re-
ferred to as litigants.
Preemptory challenges Dismissal of potential ju-
rors without a stated cause.
Plaintiff Party who initiates the lawsuit.
Pleadings The complaint, the answer, and the reply.
Rebuttal After the defense has concluded its case,
the plaintiff can present evidence to refute assertions
made by the defense.
Remittur A ruling that the amount of money
awarded by the jury was unreasonable.
Reply A response made if, and only if, an answer
contains a counterclaim.
Service of process Delivery of the summons and
complaint to the defendant.
Settlement A resolution of a dispute without a trial.
Summary jury trail A trial heard by a jury without
witnesses; sometimes used in federal courts to save
time and money. The jury renders a nonbinding de-
cision and the law requires the parties to negotiate
their dispute after the jury rules.
Summons Document ordering the defendant to
appear and defend the allegations made against him.
Trial Process where the parties to a lawsuit present
evidence to a judge and jury.
Verdict Jury’s decision in a case.
Voir dire Examination of prospective jurors.
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