Western District of Washington Pro Se Guide; Attorney Development; Discovery Issues; Motions to Seal; Model Agreement Regarding Discovery of ESI; Settlement Conference Procedures; Courtroom Rules; Conduct at Trial; Expedited Case Management through Individualized Trial Program

=== Western District of Washington Pro Se Guide ===

Pro Se Guide TO FILING YOUR LAWSUIT IN FEDERAL COURT Disclaimer: This guide is intended to assist individuals wishing to file a civil action in the United States District Court, Western District of Washington without an attorney, which is referred to as appearing “pro se.” This manual is provided for informational purposes only and does not constitute legal advice. The Federal Rules of Civil Procedure (FRCP), this court’s Local Civil Rules (LCR) and the Electronic Case Filing System (CM/ECF) Procedures control how civil cases must be filed and processed. Rev. Jul-24 Table of Contents Part One ............................................................................................ 5 BEFORE YOU FILE YOUR CASE ......................................................................... 5 Consider ways to resolve your dispute or problem outside of court. ........................... 5 Are you in the correct court? ................................................................................. 6 Types of cases filed in federal court ....................................................................... 7 Are your claims timely? ......................................................................................... 8 Other issues to consider ........................................................................................ 8 Part Two ............................................................................................ 8 FILING YOUR CASE ......................................................................................... 8 Rules that you must follow .................................................................................... 8 Required forms to file a new case .......................................................................... 9 Complaint ............................................................................................................ 9 Civil Cover Sheet ................................................................................................ 10 Summons .......................................................................................................... 13 Application to Proceed In Forma Pauperis (IFP) ..................................................... 14 Application for Court-Appointed Counsel ............................................................... 14 Where to file your complaint ................................................................................ 15 What does the Clerk’s Office do with the case information? ..................................... 16 Options for Payment of Copy and Filing Fees .......................................................... 17 What the Clerk’s Office can and cannot do ............................................................ 17 Part Three ......................................................................................... 18 ELECTRONIC FILING SYSTEM (CM/ECF) .......................................................... 18 Registration Requirements .................................................................................. 19 How to Register ................................................................................................. 19 E-Filer and E-Service Registration ........................................................................ 20 Complete the Registration Form .......................................................................... 20 PACER (Public Access to Court Electronic Records) ................................................. 21 Electronic Filing Assistance ................................................................................. 21 Electronic Filing Terminology .............................................................................. 22 Part Four ........................................................................................... 23 Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 2 SERVICE OF SUMMONS AND COMPLAINT ....................................................... 23 What does service mean?.................................................................................... 23 When must service be done? ............................................................................... 23 How should summons be presented? .................................................................... 24 Who must be served? ......................................................................................... 24 Who serves the documents? ................................................................................ 24 How do you serve The United States, its agencies, corporations, officers, or employees? ....................................................................................................... 24 How does the Court know when summons have been served? ................................ 25 Part Five ........................................................................................... 26 WHAT HAPPENS AFTER YOUR CASE IS FILED? ................................................. 26 Case assignment ................................................................................................ 26 Defendants do not file an answer ......................................................................... 27 Defendants file an answer ................................................................................... 27 Pretrial process .................................................................................................. 27 Discovery .......................................................................................................... 27 Dispositive motions ............................................................................................. 28 Trial process ...................................................................................................... 28 Judgment .......................................................................................................... 30 Notice of Appeal ................................................................................................. 30 Part Six ............................................................................................. 31 FILING DOCUMENTS AFTER YOUR CASE IS OPEN ........................................... 31 Format of documents .......................................................................................... 31 Motions ............................................................................................................. 32 Noting dates ...................................................................................................... 32 Sealed documents .............................................................................................. 34 Oral argument ................................................................................................... 34 If You Move During Your Case- Change of Contact Information .............................. 34 Part Seven ........................................................................................ 35 RESOURCES THAT MAY HELP YOU ................................................................. 35 Washington State Legal Resources ....................................................................... 35 Federal Civil Rights Legal Clinic ............................................................................ 37 Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 3 Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 4 Part One BEFORE YOU FILE YOUR CASE Consider ways to resolve your dispute or problem outside of court. re you having a disagreement with another person, business, or government agency? Are you thinking about going to court to ask a judge to resolve a disagreement or solve a problem for you? A Federal court is one type of court that can help people resolve disputes. When two or more people (or a person, business, or government agency) have a disagreement and want a judge to resolve the dispute, it’s called a “case” or a “lawsuit.” Before you decide to file a case in federal court, you may want to consider other ways to solve your dispute.  Try talking to the person, business, or government agency that you feel has done something wrong by asking them to fix the problem. Many government agencies have requirements or special rules you must follow before filing a case in federal court.  Seek help from other sources. There are a number of local and state- wide agencies that may be able to assist you.  Contact an attorney. An attorney will be able to help you determine if federal court is the right place to solve your problem and provide you with information about legal resources available in the community. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 5 You also have the right to file your case without an attorney, which is known as proceeding, “pro se.” Appearing pro se means that you will be representing yourself without the assistance of a lawyer. If you decide to represent yourself, the court will treat you the same as it would an attorney. You will be expected to state your issues clearly and concisely, meet all deadlines, and follow the court rules. Are you in the correct court? Before filing a case in federal court, you first need to make sure that you are filing it in the correct court. This can be especially important if you are working with a deadline for certain statutes of limitations. Filing your case in the wrong court may affect whether or not you meet those required deadlines. Before filing your case in federal court, you may want to ask yourself the following questions. Is your case about a divorce, child custody, adoption, name change, landlord-tenant dispute, or a will? If so, you are likely in the wrong court. State courts generally hear family law matters and landlord-tenant disputes. You can learn more about Washington State Courts at www.courts.wa.gov. If in doubt, contact an attorney for legal advice about your specific situation. The Clerk’s Office cannot make this determination for you. Is your case about a federal law, the denial of Social Security benefits, other federal benefits, or a decision by a federal agency? If so, you are likely in the right court. Should you file your case in Tacoma or Seattle? The U.S. District Court for the Western District of Washington has courthouses in Seattle and Tacoma. Where you file your case depends on the county in which the claim arose or where the defendant(s) reside, as established by the Court’s Local Civil Rules (LCR). A list of counties and their corresponding jurisdictional courthouses can be found on the following page. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 6 If the defendant(s) reside in or the incident occurred in one of the following counties, you should file your case in Seattle. Island County • • King County • San Juan County • Skagit County • Snohomish County • Whatcom County If the defendant(s) reside in or the incident occurred in one of the following counties, you should file your case in Tacoma. • Clallam County • Clark County • Cowlitz County • Grays Harbor County • Jefferson County • Kitsap County • Lewis County • Mason County • Pacific County • Pierce County • Skamania County • Thurston County • Wahkiakum County Types of cases filed in federal court Federal courts are courts of limited jurisdiction and therefore, the following types of cases may be filed here. 1. Cases where the United States government is a party to the action. Federal courts hear lawsuits involving the Social Security Administration, Veterans Administration or cases against a federal agency, such as the United States Postal Service or the Internal Revenue Service. 2. Cases brought under federal laws. Federal courts hear specific types of cases arising under the United States Constitution and federal laws such as damages at sea, federal tax matters and other areas. Some federal laws may duplicate some state laws, such as civil rights matters. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 7 3. Cases where the parties reside in different states. Lawsuits between parties residing in different states are governed by “diversity” jurisdiction. For example, if you live in Washington and you file a lawsuit against a defendant who lives in Oregon, the case would be considered diversity. Diversity cases must involve a claim of damages over $75,000. If you are not seeking more than that amount, or your case does not involve federal law of a government defendant, you may need to file your claim in state court. Are your claims timely? The period of time set by law in which a lawsuit must be filed is called the “statute of limitations.” This period of time usually begins when the injury occurs or a right has been violated. If you fail to bring your claim within the timeframe allowed by a specific statute, your lawsuit may be dismissed. Other issues to consider Before filing your case in federal court, please be aware of the following: Frivolous or harassing lawsuits The Federal Rules of Civil Procedures, FRCP 11(b), prohibits the filing of lawsuits that are clearly frivolous or filed just to harass someone. If the judge determines that you have filed a lawsuit for an improper or unnecessary reason, sanctions may be imposed against you, including ordering that you pay the legal fees of the party you sued. What happens if you lose? If you lose your case, the winning party may ask that you be ordered to pay attorney fees. The winning party is also entitled to seek certain costs which were incurred during the lawsuit. These costs can include deposition transcript fees, witness fees, copy expenses, etc. These fees may add up to thousands of dollars. It is very common for a winning party to seek costs from the losing party. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 8 Part Two FILING YOUR CASE Before a judge can address the facts you are contesting, you must submit the required documents to open a case in the United States District Court for the Western District of Washington. Rules that you must follow Before you file a case, you should begin by reviewing the local and federal rules that govern the filing of a case in this court. By appearing pro se and representing yourself, the judge will expect you to be familiar with the court rules that govern the filing of a civil lawsuit in federal court. 1. Federal Rules of Civil Procedure (FRCP) The Federal Rules of Civil Procedure (FRCP) govern court procedures for found at civil cases. A www.law.cornell.edu/rules/frcp rules can be federal link the to 2. Local Civil Rules (LCR) for the Western District of Washington This is a collection of local rules that are written for the practice of law in the United States District Court for the Western District of Washington. They are published in addition to the federal rules. Be aware that local rules differ from court to court, so you should refer to the local rules of the Western District of Washington. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 8 The Local Civil Rules (LCR) and Federal Rules of Civil Procedures (FRCP) can be found on our website at www.wawd.uscourts.gov/representing- yourself-pro-se 3. Western District of Washington’s Electronic Filing System (CM/ECF) Information about how to register to file and receive documents electronically through the court’s Electronic Filing System (CM/ECF) can be found in Part Three of this guide or on our website at wawd.uscourts.gov/attorneys/cmecf Required forms to file a new case The following documents are required to file a new case. 1) 2) 3) Complaint form Civil Cover Sheet Payment of the filing fee ($405.00) or submittal of an Application to Proceed In Forma Pauperis – commonly referred to as an “IFP” – requesting that the court waive the filing fee. Additional information about how to submit an IFP can be found on page 14. Complaint To file a new case, you must first complete a document called a “Complaint.” A complaint is a legal document that describes why you believe the defendant(s) violated the law and what you want the court to do about it. To file a case, you must follow the procedures outlined below. 1. Select the correct complaint form based on the type of case you are filing. Complaint forms can be found on our website at www.wawd.uscourts.gov/court-forms under “Self-Representation” or by calling the Clerk’s Office in Seattle (206-370-8400) or Tacoma (253-882-3800) to request a complaint form be mailed to you. 2. Documents must be typed or neatly written in blue or black ink (no pencils) on white, 8½ x 11 paper. Do not write on both sides of the paper. You must include your name, address and phone number on each document submitted. 3. All documents must be dated and signed with an original signature, as established by FRCP 11(a). Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 9 4. In the body of the complaint, explain in detail what happened, where it happened, when it happened, how it happened and who was involved. 5. You may also choose to supplement your complaint in the form of an “exhibit.” An exhibit is a document, record or physical object. For example, medical reports, transcripts or photographs. 6. Documents with personal identifiers must be redacted (blacked out) or removed before they are filed, as established by LCR 5.2(a). • Dates of birth (redact to year of birth) • Names of minor children under 18 (redact to initials) • Social security numbers (remove entirely) • Financial account numbers (redact to last four digits) • Taxpayer identification numbers (remove entirely) • Passport ID numbers (remove entirely) • Driver license numbers (remove entirely) Civil Cover Sheet A “Civil Cover Sheet” is a document that provides the court with basic information about your case and must be filed when you submit your initial documents, as established by LCR 3(a). The Civil Cover Sheet can be found at the end of this guide or on our website at www.wawd.uscourts.gov/court-forms under “Civil.” Section I - Parties Section 1(a): Your name and name(s) of the defendant(s). Section 1(b): Your county and county of first listed defendant. Section 1(c): Since you are appearing pro se, write your name, address and phone number under “Attorneys.” Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 10 Section II – Basis of Jurisdiction This section lets the court know what type of case you are filing. 1. Government – Plaintiff: This box is for government agencies only. 2. Government – Defendant: Mark this box if you are filing a case against a federal agency or the United States government. 3. Federal Question: Mark this box if your case is about a federal law. 4. Diversity: Mark this box if the defendant(s) live in another state or country; is not a federal agency or if your case involves a claim valued over $75,000. Section III – Citizenship of Principal Parties This section is only used if you marked “Diversity” in Section II. Diversity refers to cases where the parties involved are from different states or countries. If “Diversity” was chosen, mark the correct box where you and the first listed defendant(s) are located. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 11 Section IV – Nature of Suit You can only choose one box. If your complaint includes multiple claims, select the one that most closely represents what your case is about. Section V – Origin This section has several options to choose from. Origin (1) “Original Proceeding,” is frequently chosen as it indicates you are filing a new lawsuit. However, if you are filing a case that you are removing from state court to federal court, you should choose (2) “Removed from State Court.” Section VI – Cause of Action In this section, you will provide a brief statement explaining what your case is about. Section VII – Requested in Complaint The only information you will complete in this section is the jury demand box, as established by LCR 38(b). Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 12 Section VIII – Related Case(s) If Any Complete this section if you currently have or have had cases in this court or other federal courts with the same defendant(s). If so, add the name of the judge and case number to the form. You are also required to file a “Notice of Related Cases,” listing the case information. As the court does have a general form to use, you may create your own. Sign and Date Form Because you are appearing pro se (i.e., acting as your own attorney), you must sign and date the box at the bottom of form under, “Signature of Attorney of Record.” Summons A “Summons” is a document that demands that the defendant(s) respond to your complaint. You must fill out the required fields on the summons form before submitting it to the court. The form may be found on our website at www.wawd.uscourts.gov/court-forms under “Civil” and at the end of this guide. If you pay the filing fee, summons can be issued immediately. If you file an IFP, summons will not be issued until the motion is granted and the clerk receives permission from the court to do so. The clerk will then sign and adhere the court’s seal to the summons. The clerk can only issue summons for defendant(s) listed on the complaint. After summons have been issued and the defendant(s) have been “served” a copy of the complaint and accompanying documents, you must file a document called a “Proof of Service,” which is on the second page of the summons form. This document provides proof to the court that the defendant(s) have been properly served with your lawsuit. See Part Four of this guide for more information. If you prefer to wait and have summons issued later, you may submit them with a “Praecipe” form. A praecipe is a document asking the court to take official action on a specific request. Praecipe forms can be found on our website at www.wawd.uscourts.gov/court-forms under “Civil.” Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 13 Application to Proceed In Forma Pauperis (IFP) The filing fee to open a case in federal court is $405.00. If you cannot afford to pay the filing fee, you can apply to have the fee "waived," which means your case may proceed without payment of the filing fee. In order to make that request, you must complete an “Application to Proceed In Forma Pauperis” – commonly referred to as an “IFP” – and submit it with your initiating documents. It is very important to fill out the form completely as the judge will use this information to determine if you have the financial ability to pay the filing fee. Once a decision has been made, a copy of the order will be mailed to you at the address listed on the complaint. Summons will not be issued until the IFP has been granted and the court gives the clerk permission to do so. The IFP form can be found at the end of this packet or on our website at www.wawd.uscourts.gov/court-forms under “Self-Representation.” Application for Court-Appointed Counsel If you cannot afford an attorney but would like to request one be appointed, you can submit an “Application for Court -Appointed Counsel.” Although this option is available, there is no right to representation in civil matters and no guarantee that the judge will appoint an attorney in your case. The judge may base his or her decision on several factors, including but not limited to: 1. Do you have the financial ability to hire counsel? 2. Have you made reasonable efforts to hire counsel on your own? 3. Can you prepare and present your case without the help of an attorney? 4. How complex is your case? To request an attorney, you must complete the correct form based on the type of case you are filing. One form is specifically for civil rights cases and the other for employment discrimination cases. Both forms can be found at the end of this guide and on our website at www.wawd.uscourts.gov/court-forms under “Self- Representation.” If your claims do not fall under either category, you can create your own form and submit it to the court. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 14 Where to file your complaint 1) In Person The Clerk’s Office window is open to the public Monday-Friday from 9am to 4pm. Please make sure you have completed and signed all of the required forms before submitting them to the court. If you arrive outside of those hours, documents may be filed via the locked drop box located in the lobby of both courthouses. Once your case has been opened, you will receive a letter in the mail with the case number and judge assignment. 2) By Mail Documents may also be mailed to the Seattle or Tacoma courthouse. Where you mail them is based on the county where the incident took place or where the defendant(s) reside (see page 6). After your case has been opened, you will receive a letter with the case number and judge assignment. All documents filed after the case has been assigned should be mailed to the courthouse where your judge is located. Seattle Tacoma U.S. District Court 700 Stewart St., Suite 2310 Seattle, WA 98101 (206) 370-8400 U.S. District Court 1717 Pacific Ave., Room 3100 Tacoma, WA 98402 (253) 882-3800 3) Email You also have the option of submitting new case documents electronically. Where you email them is based on the county where the incident took place or where the defendant(s) reside (see page 6). Seattle: [email protected] Tacoma: [email protected] You are only permitted to email documents when filing a new case. Once a judge has been assigned, documents must be submitted in person, through the mail or via the court’s electronic filing system, if registered (see page 18). Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 15 What does the Clerk’s Office do with the case information? If you pay the filing fee, the clerk will: 1) Randomly assign a case number and judge, based on the county where the incident took place or where the defendant(s) reside. 2) Social Security appeals are randomly assigned to judges in Seattle or Tacoma, regardless of where you reside. 3) Issue summons, if submitted. If you file an IFP requesting that the court waive the filing fee, the clerk will: 1) Randomly assign a case number and judge, based on the county where the incident took place or where the defendant(s) reside. 2) Social Security appeals are randomly assigned to judges in Seattle or Tacoma, regardless of their location. 3) Summons will not be issued until an order is entered by the court and the clerk is given permission to issue them. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 16 Options for Payment of Copy and Filing Fees The Clerk’s Office accepts the following forms of payment: • Visa, MasterCard, American Express and Discover • Personal checks, cashier checks and money orders What the Clerk’s Office can and cannot do Although the clerk can answer most questions, we are legally prohibited from providing legal advice. We can:  Answer general questions about how the court works, including providing you with the required forms to open a new case.  Provide general information about court policies and procedures. We cannot:  Give legal advice. This policy applies to all parties, including attorneys.  Tell you whether you should file a case or what information to include in your court pleadings.  Talk to the judge for you or let you talk to the judge outside of court.  Determine when a decision will be made on your IFP or other pending motions as well as interpreting court orders.  Interpret court rules. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 17 Part Three ELECTRONIC FILING SYSTEM (CM/ECF) hen filing a new case, you must either pay the $405.00 filing fee or submit a Motion to Proceed In Forma Pauperis – referred to as an “IFP” – asking that the court waive the filing fee. W Once the filing fee has been paid or the court has granted your IFP, you have the option of filing documents directly into the Case Management/Electronic Case Filing System, referred to as “CM/ECF.” The CM/ECF program allows you to electronically file documents in your case directly into the system – commonly known as “e-filing” – without having to deliver them in person or through the mail. The term, “e-file” differs from “email” in that the court does not accept pleadings via email. The CM/ECF system allows you to receive and view via email everything that has been filed by you, the judge, the defendants, or any other parties in your case. Information about how to directly file documents into CM/ECF, the rules and procedures that must be followed and the ECF User Manual can be found on our website at www.wawd.uscourts.gov/representing-yourself-pro-se/how-to-e-file. You will also find a CM/ECF Pro Se Registration Form at the end of this guide. It is important that you review the registration form carefully as it is your responsibility to comply with the court’s electronic filing procedures. For questions, please contact the ECF Support Team at (206) 370-8440, option#2 or via email at [email protected]. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 18 Registration Requirements You are not required to use the court’s electronic filing system. If you are not computer savvy or do not have access to a computer, we recommend that you file your documents in person or through the mail. The following requirements must be met to register for electronic filing: • The filing fee has been paid or the Motion to Proceed In Forma Pauperis (IFP) has been granted. • You are a party to the case for which you are applying for electronic filing. • You meet the following technical requirements: 1. A personal computer with Internet access. 2. Internet Explorer or Firefox browser. Other browsers (Safari, Google Chrome; Microsoft Edge) may have functionality issues with the court’s ECF system and are not supported. 3. Software to convert your documents to PDF format (portable document format) OR a scanner set to 200 dpi (dots per inch) for scanning documents to PDF format. 4. Adobe Acrobat Reader software to view and save documents in PDF format. 5. Experience and knowledge of word processing applications, printers and the Internet. 6. An email account to receive notices of filings and court orders. How to Register The court offers two CM/ECF registration options: 1. E-Filer and E-Service With this service, you can directly file documents through the court’s CM/ECF system as well as receive service of court documents via email. 2. E-Service Only With this service, you will receive court documents electronically via email, but you must file all documents in person or through the mail. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 19 E-Filer and E-Service Registration To successfully register to directly file documents in CM/ECF in this court, you must complete the following steps: 1. Complete and submit the registration form, indicating which e-filing service you are applying for. 2. Register for a PACER-Case Search Only account through pacer.gov. 3. Register for Non-Attorney Filers access through pacer.gov. Complete the Registration Form A separate ECF Pro Se Registration Form must be submitted for every case that you file in this court. You are also required to have a case number before your account can be activated. The following instructions are designed to help you successfully register to e-file in this court. 1. Complete all fields on the Pro Se Registration Form, including your name, phone number, case number, email address and mailing address. a) To receive service of documents and notice of electronic filings to your email address, chose the FIRST option. This option does not allow you to file documents electronically. Instead, you must file a paper copy either in person or through the mail. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 20 b) To file documents electronically, receive service of documents and be notified via email when a document has been filed, check the SECOND option. With this option, you waive your right to file and receive documents in your case in person or by other means. You will receive all documents electronically from the court and other parties. A paper copy will not be mailed to you. 2. Read the registration form carefully before signing and dating the document. 3. Once you have completed the form, you can return it via email or through the mail. The court’s email address and mailing address can be found at the bottom of the registration form. PACER (Public Access to Court Electronic Records) Public Access to Court Electronic Records (PACER) is an electronic public service database that allows users to obtain case and docket information from the United States Federal Appellate Courts, United States District Courts and United States Bankruptcy Courts. Electronic access is available by registering with the PACER Service Center, the judiciary's centralized registration, billing, and technical support center. Additional information can be found on their website at www.pacer.gov or by calling (800) 676- 6856. Electronic Filing Assistance If you have questions about electronic filing, the CM/ECF support desk can be contacted by phone or email. (206) 370-8440 [email protected] Monday – Friday, 8am to 5pm Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 21 Electronic Filing Terminology Available Events. A list containing the types of document(s) you are filing. CM/ECF. Case Management/Electronic Case Filing. Docket text. The official court record of your filing. ECF Menu. The menu is the blue bar located at the top of the page. You will choose “Civil” to begin filing your documents. Login Screen. The screen where you will enter your ECF login and password. The redaction agreement box to the right of the login must be checked to begin filing your documents. NOTE: The “Client Code” field is not mandatory. Main Document and Attachments. To search for a PDF document on your computer, click on the “Browse” button. A main document example would be a motion. An attachment example would be a proposed order or exhibit. Notice of Electronic Filing (NEF). A receipt indicating your document has been transmitted to the court. This will be sent to the email address provided to the court when you registered for CM/ECF. You must save or print the notice. The notice will include a copy of the filed document with a hyperlink (in blue) which will allow you to view, print or save the document. Your availability to view the document will expire fourteen days from the date of receipt. You may view a document once without being charged by clicking on the document number in the email you receive. This is known as the “free look.” Make sure you click on the document once (not twice) or you may be charged a viewing fee by PACER, which is currently .10 cents per page. PDF. Portable Document Format. A document created with almost any word processing program can be converted to a PDF. The PDF conversion program takes a picture of the document, so it can be opened across a broad range of hardware and software systems, with layout, format, links and images intact. Only documents in PDF format may be filed with the court using the ECF system. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 22 Part Four SERVICE OF SUMMONS AND COMPLAINT What does service mean? Y ou are required to let the defendant(s) know that you have filed a case against them. Once the filing fee has been paid or your IFP has been granted, you can request that the clerk issue summons to each defendant listed on your complaint. The original summons form will then be returned to you for execution of service on the defendant(s). The court cannot serve the defendant(s) on your behalf, except if ordered by the court. It is your responsibility to ensure that each defendant receives a copy of the certified summons form, a copy of your complaint and any other documents that were filed. This process is called “service” or “serving the defendant.” The rules for serving the complaint are different from the rules for serving other documents. If the complaint is not properly served on the defendants, your case could be subject to dismissal. The requirements for serving the complaint are established by FRCP 4. When must service be done? The defendant(s) must be served within 90 days after the complaint is filed, as established by FRCP 4(m). Since there are different rules for serving individuals living in foreign countries, the United States, federal employees, federal agencies, minors or incompetent persons, corporations and foreign, state or local governments, please review FRCP 4 carefully to ensure defendant(s) are properly served. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 23 How should summons be presented? Once the filing fee has been paid or the court grants your IFP, you may present summons to the clerk for signature and seal, as established by FRCP 4(b). Summons must be presented on the court’s form and can be found at the end of this guide or on our website at www.wawd.uscourts.gov/court-forms under “Civil.” 0 Who must be served? All defendant(s) named in your complaint must be served. Defendants who are not served within the required time limit may be dismissed from your case. The clerk can only issue summons for parties named as defendant(s) on the complaint. You can ask any defendant that is an individual, corporation, or an association that is subject to service, to waive service by sending a copy of the complaint, a Notice of Lawsuit and Request for Waiver of Service (AO Form 398) and a Waiver of Summons (AO Form 399), in accordance with FRCP 4(d). For the plaintiff, the benefit of waiving service is not having to pay the cost of serving the summons. A defendant who waives service is allowed extra time – 60 days - to respond to the complaint. However, the United States and some other parties cannot waive service. If the defendant refuses to waive service, then you must serve the documents (see the next section). Who serves the documents? You are responsible for arranging to have the summons, complaint, and supporting documents served to the defendant(s) within the timeframe established by FRCP 4(m). Any person over the age of 18 and not a party to the case may serve the required documents. NOTE: You may not serve your own documents. In some cases, the judge may order that service be made by a United States Marshal or someone appointed by the court, as established by FRCP 4(c)(3). How do you serve The United States, its agencies, corporations, officers, or employees? FRCP 4(i) explains this process. 1. When the United States of America is a defendant (e.g., John Doe V. United States) you may perfect service: • By either (a) sending the summons and complaint by registered or certified mail to the attention of the civil process clerk in the United States Attorney’s Office in the district where the complaint has been filed, or (b) delivering the summons and complaint to the United States Attorney for the district where the complaint has been filed; and Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) • By sending the summons and complaint by registered or Page | 24 • certified mail to the United States Attorney General in Washington D.C. If your complaint challenges the validity of an order of an officer or agency not listed as a party to your case, you must also serve the summons and complaint on the officer or agency that issued the order by registered or certified mail. 2. When a federal officer, agency, or corporation is a defendant (e.g., John Doe v. Commissioner of Social Security or Jane Doe v. Internal Revenue Service), you may perfect service:  By following the steps above to serve the United States Attorney and Attorney General; and  By sending the summons and complaint by registered or certified mail to the federal officer, agency, or corporation named as the defendant. You must perfect service within 90 days from the date the complaint has been filed, or your case may be dismissed. You must also file proof of service for each defendant with the clerk, in accordance with rules 4(l) and (m) of Federal Rules of Civil Procedure. How does the Court know when summons have been served? Once the defendant(s) have been served, the original proof of service must be filed with the court, as established by FRCP 4(l). Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 25 Part Five WHAT HAPPENS AFTER YOUR CASE IS FILED? E very case is unique and may or may not follow the steps outlined below. This information is intended as a general guideline and not as the schedule for your case. You will receive written communication from the court regarding upcoming hearings or deadlines. Case assignment After your documents have been submitted, the clerk will randomly assign a case number and judge, based on where the incident took place or where the defendant(s) reside. You cannot request that a specific judge be assigned to your case. Once you have been assigned a case number and judge, the case number must be on every document you file with the court. If your case has been assigned to a district court judge, he or she may refer your case to a magistrate judge to handle different stages of your case leading up to trial. A magistrate judge may preside over a civil action or proceeding, including a jury or bench trial, pursuant to FRCP 73(a). If you have questions after your case has been assigned a case number and judge, you may contact the Clerk’s Office at the Seattle or Tacoma office (based on case assignment) and ask to speak with a case administrator. Seattle Clerk’s Office: 206-370-8400 Tacoma Clerk’s Office: 253-882-3800 Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 26 Defendants do not file an answer If a defendant does not file an answer within the timeframe required by law, the court may enter an order of default and default judgment, as established by FRCP 55(a)(b). Defendants file an answer If a defendant responds to the complaint by filing an answer or a motion, the case will then proceed to the pretrial stage. Pretrial process The judge assigned to your case may schedule a “pretrial conference” after discovery has been completed. A pretrial conference is a meeting between the judge and the parties to narrow down the issues and resolve matters necessary to the disposition of the case, as established by LCR 16(a)(1). Discovery To prepare a case for trial, the parties will conduct what is called “discovery.” The purpose of discovery is to prepare the parties for trial by requiring each party to assemble their evidence and be prepared to call witnesses to testify in court. Each side may file requests or “motions” with the court seeking rulings on the discovery of evidence or the procedures to be followed at trial. Discovery is the pretrial process by which one party acquires potential evidence from the opposing party via written interrogatories, depositions, and demands to produce documents. Discovery documents are rarely, if ever, filed with the court. As a general rule, a party may not seek discovery from any source before the parties have held a planning conference as required by FRCP 26(f), FRCP 26(d). However, a party may send a letter called a “litigation hold” or also called “preservation letters” or “stop destruction requests”. The letter or communication basically advises the other side of the possibility of future litigation and identifies the relevant documents and electronically stored information which should be preserved. The following are a few examples of common discovery documents.  Deposition A “deposition” is like an interview where you, the defendant(s) or other witnesses answer questions in person and under oath. A deposition is usually recorded by audio recording, video recording, or by a court reporter, as established by FRCP 30. You are solely responsible for the payment of fees associated with the services of a court reporter. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 27  Interrogatories “Interrogatories” are written questions that must be answered in writing and under oath, as established by FRCP 33.  Requests for Production These are written requests for documents and tangible items, like a defective product. The term “document” can include all forms of items such as drawings, graphs, charts, photographs, etc., as established by FRCP 34.  Requests for admission These are written requests asking that you or the defendant(s) admit that certain facts are true or that certain documents are genuine, as established by FRCP 36. Dispositive motions During the course of the case, any party may file a “dispositive motion,” as established by FRCP 12 and FRCP 56. Dispositive motions are requests asking that the court dismiss one or more of the claims in favor of the moving party or dismiss the case in its entirety. Trial process A. Basic courtroom rules • Gum chewing, eating, drinking, sleeping, or loud talking are not permitted in the courtroom. • When the judge enters or departs the courtroom, you must stand up. • Call the judge “Your Honor” and speak loudly and clearly. • Cameras or other recording devices are not allowed in the courtroom. Cell phones must be completely turned off. B. Bench trial versus jury trial The United States court system has two types of trials, bench trials and jury trials. Bench trial A bench trial takes place in front of a judge. The judge – after listening to the evidence and legal arguments – will enter a final decision at the end of the case (called a “finding”). Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 28 Jury trial A jury trial takes place before a group of citizens who have been sworn to consider the evidence presented at trial and decide whether the case has merit and, if so, what damages should be awarded. C. Opening statement An “opening statement” is an opportunity for you to explain the issues in dispute and summarize what you believe will be proven during trial through witness testimony and evidence admitted by the court. The defendant(s) are not required to make an opening statement but may do so at the beginning of the trial or reserve it until after you have finished presenting your case. D. Evidence presentation Following opening statements, you – as the plaintiff – will begin presenting evidence to the judge or jury. Evidence can be presented through witness testimony and physical evidence. Strict rules govern the kinds of evidence that may be admitted and is governed by the Federal Rules of Civil Procedure (FRCP) and this court’s Local Civil Rules (LCR). E. Resting your case When you have finished presenting all the evidence that you intend to offer at trial, you will indicate to the judge that you have “rested” your case. F. Defense and rebuttal After you have rested your case, the defendant(s) will have an opportunity to call witnesses and offer evidence to the judge or jury. You may then offer evidence in rebuttal to explain or deny the defendant’s evidence. G. Closing argument After each side has rested, the next step is the presentation of “closing argument”. Closing argument is an opportunity for each party to summarize the evidence presented during the trial before the judge or jury enters a final decision. H. Jury instructions (if applicable) At the end of the presentation of evidence and after closing arguments, the judge will read the jury a set of legal standards, called “jury instructions.” These instructions are given to assist the jury in deciding whether the defendant should be held accountable for the plaintiffs’ alleged harm. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 29 I. Verdict If the case was tried before a jury Once a decision has been reached by the jury, the verdict will be announced in open court with all parties present. If the case was tried before the court (bench trial) The judge may enter a finding immediately or – which is more common – inform the parties that additional time is needed to consider the evidence presented at trial. Once a decision has been made, the court will enter a written finding and notify the parties. Judgment If you prevail at trial or win the case by default, the judge will direct the clerk to prepare a judgment indicating the amount of damages you have been awarded. The judgment will include the exact amount – in dollars and cents – and which defendant owes you how much money. The clerk will then prepare and sign a judgment pursuant to the court’s order. If you lose at trial or by summary judgment, the judge will direct the clerk to prepare a judgment stating that the defendant does not owe you damages. The defendant may also request the judge order you to pay costs and attorney fees associated with defending the case. The clerk will then prepare and sign a judgment pursuant to the court’s order. Notice of Appeal If you are not satisfied with the outcome of the trial, you may file an “Appeal,” which is an application to a higher court to reverse the decision made by a judge or jury in a lower court. Appeals from this court are decided by the United States Court of Appeals for the Ninth Circuit, commonly referred to as the “Ninth Circuit.” Time limits associated with filing an appeal can be found in the Federal Rules of Appellate Procedure, Rule 4. The fee to file an appeal is $505.00 unless the judge granted your IFP in this court. However, it is ultimately the decision of the Ninth Circuit whether you will need to pay the filing fee in their court. If you paid the filing fee for your case in this court but you cannot afford to pay the appeal fee, you may file an IFP with your appeal. To file an appeal, you must submit a “Notice of Civil Appeal” which can be found on our website at www.wawd.uscourts.gov/court-forms under “Civil.” Information about the Ninth Circuit Court of Appeals can be found on their website at www.ca9.uscourts.gov or by phone at (415) 355-8000. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 30 Part Six FILING DOCUMENTS AFTER YOUR CASE IS OPEN O nce your case has been filed, you will need to familiarize yourself with the rules regarding how documents are to be submitted to this court. The judge assigned to your case may have specific requirements for how they want documents to be presented. The web page for each judge – along with links to the Local Civil Rules (LCR) and Federal Rules of Civil Procedure (FRCP) – can be found on our website at www.wawd.uscourts.gov/representing-yourself-pro-se. Once your case has been opened, documents must be filed in paper form or electronically, if registered. In addition, you must serve the defendant(s) with a copy of all documents you file, as established by FRCP 5 and LCR 5. The clerk can assist you to a certain extent, but as stated throughout this manual, we are not allowed to provide legal advice. If you have questions about whether you should do something in your case, we suggest you consult with an attorney. Format of documents Documents must be submitted on 8½” x 11” white paper, bear 25-line numbers in the left margin, include the case caption, case number and typed or neatly written. If you submit pleadings in writing, use black or blue ink (no pencils) and write legibly on one side of the paper only. All documents must be signed and dated with an original signature and include your name, address and phone number. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 31 Motions To request that the court review and make a decision on a particular issue in your case, you can file a “Motion.” Motions must be filed in paper or electronically – if registered – and served on all parties. For most motions, the opposing party can file a response and the party who filed the motion can then file a reply. All motions must include a “Noting Date”. This is the date the motion will be ready for the judge’s review. The noting date must appear on the face of the motion directly under the document title, as established by LCR 7. Noting dates A. Same day motions The following motions may be noted for the same day they are filed. A response or reply is not permitted unless ordered by the court.  Stipulations and agreed motions, as established by LCR 10(g).  Motions to file over-length motions or briefs, as established by LCR 7(f).  Motions for reconsideration, as established by LCR 7(h).  Joint submissions pursuant to the optional procedure, as established by LCR 37(a)(2).  Motions to appoint a mediator, as established by LCR 39.1(c)(3).  Motions for default, as established by LCR 55(a).  Requests or motions to enter default judgment when the opposing party has not appeared, as established by LCR 55(b)(1).  Ex parte motions, as established by LCR 55(b)(2).  Motions for a temporary restraining order (TRO), as established by LCR 65. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 32 B. 14-day motions The following types of motions cannot be noted earlier than 1 4 c a l e n d a r d a y s after they are filed. Unless otherwise ordered by the judge, the response is due no later than 9 days after the filing of the motion; the reply is due by the noting date.  Motions for relief from a deadline, as established by LCR 7(d).  Motions for protective orders, as established by LCR 7(d).  Motions to seal, as established by CR 5(g). C. 21-day motions Non-dispositive motions, except those specifically listed in other parts of LCR 7(d), cannot be noted any earlier than 21 calendar days after they are filed. The response is due by 15 days after the filing date and the reply is due by the noting date, unless otherwise ordered by the judge. Examples of non-dispositive motions include, but are not limited to, motions to amend pleadings, motions to remand and motions to compel discovery. D. 28-day motions The following types of motions cannot be noted any earlier than 28 calendar days after they are filed. The response is due by 21 days after the date of filing and the reply is due by the noting date, unless otherwise ordered by the judge.  Motions to dismiss, as established by LCR 7(d)(3).  Motions for preliminary injunction, as established by LCR 7(d)(3).  Motions for class certification, as established by LCR 7(d)(3).  Motions changing the forum through remand, transfer or to compel arbitration, as established by LCR 7(d)(3). E. Motions in limine “Motions in limine” are motions filed by a party asking the judge for an order or ruling limiting or preventing certain evidence from being presented by the other side at the trial, as established by LCR 7(d)(4). Motions in limine cannot be noted any earlier than 21 calendar days after filing but no later than 6 days before the pretrial conference, unless otherwise ordered by the judge. After a party files a motion in limine, the response is due by the Monday before the noting date. A reply is not permitted unless ordered by the judge. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 33 Sealed documents If you are filing a document that you want sealed from public view, you must first seek permission from the judge. The request must be submitted in the form of a “ Motion to Seal” and include a proposed order and declaration or affidavit supporting your motion. Sealed documents cannot be electronically filed and must be submitted in person or through the mail, as established by LCR 5(g)(9). The rule regarding the presentation of sealed documents are established by LCR 5(g)(3). The document(s) must be presented in a sealed envelope with the caption, case number and phrase, “FILED UNDER SEAL” on the front of the envelope. The envelope must be delivered in person to the Clerk’s Office. If the judge grants your motion to seal or permits a document to remain under seal, the document will remain sealed until further order of the court, as established by LCR 5(g)(7). If the judge denies your motion to seal, the clerk will unseal the document. In addition, the party who is relying on the sealed document may also request that the court withdraw the document from the record rather than unseal it, as established by LCR 5(g)(6). Once a document is filed under seal, no one, including the party who filed the document(s), can access, retrieve, review, or print the document unless a motion to unseal is granted by the judge, as established by LCR 5(g)(8). Oral argument To request oral argument on a motion, “Oral Argument Requested” must be written under the case number and document title. If the request for oral argument is granted, the parties will be contacted as to the date and time of argument, as established by LCR 7. If You Move During Your Case- Change of Contact Information If your address, phone number or email address (if registered for electronic filing) changes, you must file a written notice within 10 (ten) days of the change, as established by LCR 10(f). All subsequent pleadings, motions, or other filings must reflect the new contact information. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 34 Part Seven RESOURCES THAT MAY HELP YOU f you cannot afford to hire an attorney, there are several agencies offer legal services. The following list is provided as a courtesy and by no means encompasses all legal resources available in the State of Washington. I Washington State Legal Resources Clark County Volunteer Lawyers Program (360) 695-5313 www.ccvlp.org Clallam – Jefferson County Pro Bono Lawyers (888) 201-1014 www.cjcpbl.org Columbia Legal Services (800) 542-0794 www.columbialegal.org Cowlitz – Wahkiakum Legal Aid (360) 425-2579 www.cwlap.org Eastside Legal Assistance Program (425) 747-7274 www.elap.org Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 35 King County Neighborhood Legal Clinics (206) 267-7070 www.kcba.org/For-the-Public/Free-Legal-Assistance Island County Volunteer Lawyer Program (888) 201-1014 www.islandcountylegal.org Kitsap County Legal Services (360) 479-6125 www.kitsaplegalservices.org Lewis County Legal Aid (360) 748-0430 Northwest Immigrant Rights Project (206) 587-4009 www.nwirp.org Northwest Justice Project (888) 201-1014 www.nwjustice.org Snohomish County Legal Services (425) 258-9283 www.snocolegal.org Tacoma Pro Bono Community Lawyers (253) 572-5134 www.tacomaprobono.org Tacoma-Pierce County Lawyer Referral Service (253) 383-3432 www.tpcba.com/public/lawyer-referral-service Thurston County Volunteer Legal Services (360) 705-8194 www.tcvls.org Washington State Bar Association (206) 443-9722 • (800) 945-9722 www.wsba.org/resources-and-services/find-legal-help Whatcom County LAW Advocates (360) 671-6079 Ext 15 www.lawadvocates.org Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 36 Federal Civil Rights Legal Clinic The Federal Bar Association for the Western District of Washington offers free, limited legal advice and referrals to King and Pierce County residents. The Clinic focuses on Washington State residents who are contemplating filing or have already filed legal actions in the Western District of Washington and are encountering challenges accessing the legal system. Volunteer attorneys cannot provide legal representation but can refer you to other community resources. The Clinic is accessible regardless of one’s disability or fluency in English. Please note that all clinic sessions are by appointment only. Seattle Appointments Tacoma Appointments To make an appointment, call 206.267.7070 and press “1” to leave a message. You may also submit an online form at www.kcba.org/nlc Appointments are scheduled four Thursdays per month from 12:00pm – 2:00pm To make an appointment, call 253.368.6690. Phones lines are open Monday through Thursday from 10:00am to 3:00pm Appointments are scheduled the first Thursday of every month from 12:00pm to 2:00pm NOTE: The Clerk’s Office is not associated with the legal clinic and cannot assist with making appointments or answering questions about their services. Flyers for both locations can be found at the end of this packet or on our website at www.wawd.uscourts.gov/representing-yourself-pro-se. Pro Se Guide to Filing Your Lawsuit in Federal Court (Rev. Jul-24) Page | 37

=== Attorney Development ===

Attorney Development The Court encourages opportunities for Rule 9 licensed legal interns, accompanied and supervised by a more experienced attorney, and for junior attorneys to appear and to argue in Court. Requests for leave for Rule 9 interns to argue in Court will be freely granted, and the Court will permit multiple attorneys to argue for one party if this creates an opportunity for junior attorneys to participate.

=== Discovery Issues ===

Discovery Issues Judge Leupold strongly encourages parties to make every effort to resolve discovery disputes without the Court’s intervention. The Court strictly construes the meet and confer requirements. To the extent motions practice is necessary, Judge Leupold encourages parties to take advantage of the expedited discovery dispute procedures described in Local Civil Rule 37(a)(2). This approach may resolve the dispute in an expedient manner and avoid the extra costs associated with motions practice. The moving party must make reasonable efforts to have all parties to the discovery dispute participate in contacting the Court to request a telephonic motion. See Local Civil Rule 7(i). Counsel may contact the Court’s deputy clerk Kelly Miller by email at [email protected] or by telephone at 253-882-3828 to arrange a telephone conference with the Court.

=== Motions to Seal ===

Mo�ons to Seal Requirements Par�es moving to file documents under seal must comply with Local Rule CR 5(g). All mo�ons to seal, including s�pulated mo�ons, must describe with specificity the documents sought to be protected, provide facts jus�fying sealing, and include a proposed order. If counsel cannot agree, then a properly noted mo�on to seal must be filed prior to or contemporaneously with the document to be sealed. If a party seeks to file a document that another party claims is confiden�al, the party seeking to file the document shall give at least 7 days’ no�ce to the other par�es so a mo�on to seal may be prepared and filed by the proponent of sealing at the same �me the document is submited. Counsel shall advise the Court of the requested disposi�on of confiden�al maters in the event the Court denies a request to seal (e.g., should the informa�on be removed from the docket rather than be unsealed). The Court generally considers all evidence presented at trial, including confiden�al materials, to be maters of public record. Although the par�es may move or s�pulate to maintaining as confiden�al any sealed informa�on used at trial, the Court retains the authority to determine what evidence should be part of the public record.

=== Model Agreement Regarding Discovery of ESI ===

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 UNITED STATES DISTRICT COURT WESTERN DISTRICT OF WASHINGTON AT [PLAINTIFF], CASE NO. [CASE #] v. [DEFENDANT], Plaintiff, Defendant. [MODEL] AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER [The red/italicized portions set forth guidance and instruction to the parties in formulating their agreement and should be deleted from the text of the final agreement. Optional provisions may 16 be useful in cases involving more complicated ESI issues or productions.] 17 The parties hereby stipulate to the following provisions regarding the discovery of 18 electronically stored information (“ESI”) in this matter: 19 A. General Principles 20 21 22 1. An attorney’s zealous representation of a client is not compromised by conducting discovery in a cooperative manner. The failure of counsel or the parties to litigation to cooperate in facilitating and reasonably limiting discovery requests and responses raises litigation costs and 23 contributes to the risk of sanctions. 24 25 26 AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 1 1 2. As provided in LCR 26(f), the proportionality standard set forth in Fed. R. Civ. P. 2 26(b)(1) must be applied in each case when formulating a discovery plan. To further the 3 application of the proportionality standard in discovery, requests for production of ESI and related 4 responses should be reasonably targeted, clear, and as specific as possible. 5 6 B. ESI Disclosures Within 30 days of entry of this Order, or at a later time if agreed to by the parties, each 7 party shall disclose: 8 9 1. Custodians. The five custodians most likely to have discoverable ESI in their possession, custody, or control. The custodians shall be identified by name, title, connection to 10 the instant litigation, and the type of the information under the custodian’s control. [Five 11 custodians may be sufficient in certain cases, but not in others. The parties are expected to meet 12 and confer to establish the appropriate number of custodians to be disclosed based on the 13 complexity, proportionality and nature of the case. This disclosure provision is distinct from the 14 parties’ agreement set forth in Section C below about determining the number of custodians from 15 whom ESI should be gathered.] 16 2. Non-custodial Data Sources. A list of non-custodial data sources (e.g., shared 17 drives, servers), if any, likely to contain discoverable ESI. [These lists can identify the 18 databases that are likely to contain discoverable structured data.] 19 3. Third-Party Data Sources. A list of third-party data sources, if any, likely to 20 contain discoverable ESI (e.g., third-party email providers, mobile device providers, cloud 21 storage) and, for each such source, the extent to which a party is (or is not) able to preserve 22 information stored in the third-party data source. 23 24 25 26 AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 2 1 4. Inaccessible Data. A list of data sources, if any, likely to contain discoverable ESI 2 (by type, date, custodian, electronic system or other criteria sufficient to specifically identify the 3 4 5 6 7 8 9 data source) that a party asserts is not reasonably accessible under Fed. R. Civ. P. 26(b)(2)(B). [Section (D)(3) below sets forth data sources and ESI which are not required to be preserved by the parties. Those data sources and ESI do not need to be included on this list.] 5. [Optional] Foreign data privacy laws. Nothing in this Order is intended to prevent either party from complying with the requirements of a foreign country’s data privacy laws, e.g., the European Union’s General Data Protection Regulation (GDPR) (EU) 2016/679. The parties agree to meet and confer before including custodians or data sources subject to such laws in any 10 ESI or other discovery request. 11 C. ESI Discovery Procedures 12 1. On-site inspection of electronic media. Such an inspection shall not be required 13 absent a demonstration by the requesting party of specific need and good cause or by agreement 14 of the parties. 15 2. Search methodology. [The Court presumes that the use of search terms and 16 queries, file type and date restrictions, and technology-assisted review will be reasonably 17 necessary to locate or filter ESI likely to contain discoverable information. The timelines and 18 search related numbers in this section may be sufficient in certain cases, but not in others. The 19 parties are expected to meet and confer to establish the appropriate timing and numbers based 20 on the complexity, proportionality and nature of the case.] The parties shall timely confer to 21 attempt to reach agreement on appropriate search terms and queries, file type and date restrictions, 22 data sources (including custodians), and other appropriate computer- or technology-aided 23 24 25 26 AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 3 1 methodologies, before any such effort is undertaken. The parties shall continue to cooperate in 2 revising the appropriateness of the search methodology. 3 4 5 6 7 8 9 a. Prior to running searches: i. The producing party shall disclose the data sources (including custodians), search terms and queries, any file type and date restrictions, and any other methodology that it proposes to use to locate ESI likely to contain responsive and discoverable information. The producing party may provide unique hit counts for each search query. ii. The requesting party is entitled to, within 14 days of the producing party’s disclosure, add no more than 10 search terms or queries to those disclosed by the 10 producing party absent a showing of good cause or agreement of the parties. 11 iii. The following provisions apply to search terms / queries of the 12 requesting party. Focused terms and queries should be employed; broad terms or queries, such 13 as product and company names, generally should be avoided. A conjunctive combination of 14 multiple words or phrases (e.g., “computer” and “system”) narrows the search and shall count as 15 a single search term. A disjunctive combination of multiple words or phrases (e.g., “computer” 16 or “system”) broadens the search, and thus each word or phrase shall count as a separate search 17 term unless they are variants of the same word. The producing party may identify each search 18 term or query returning overbroad results demonstrating the overbroad results and a counter 19 proposal correcting the overbroad search or query. [The following provision is optional and 20 includes alternative provisions. The parenthetical numbers given are a starting point for the 21 negotiations and are not intended to prejudge the merits of an overbreadth challenge.] [Optional] 22 A search that returns more than [alternative 1] [(250) megabytes of data, excluding Microsoft 23 24 25 26 AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 4 1 PowerPoint files, audio files, and similarly large file types] [alternative 2] [(400) unique 2 documents, excluding families], is presumed to be overbroad. 3 4 5 b. After production: Within 21 days of the producing party notifying the receiving party that it has substantially completed the production of documents responsive to a request, the responding party may request no more than 10 additional search terms or queries. 6 The immediately preceding section (Section C(2)(a)(iii applies. 7 8 9 c. [Optional] Upon reasonable request, a party shall disclose information relating to network design, the types of databases, database dictionaries, the access control list and security access logs and rights of individuals to access the system and specific files and 10 applications, the ESI document retention policy, organizational chart for information systems 11 personnel, or the backup and systems recovery routines, including, but not limited to, tape 12 rotation and destruction/overwrite policy. 13 14 3. Format. a. ESI will be produced to the requesting party with searchable text, in a 15 format to be decided between the parties. Acceptable formats include, but are not limited to, native 16 files, multi-page TIFFs (with a companion OCR or extracted text file), single-page TIFFs (only 17 with load files for e-discovery software that includes metadata fields identifying natural document 18 breaks and also includes companion OCR and/or extracted text files), and searchable PDF. 19 b. Unless otherwise agreed to by the parties, files that are not easily converted 20 to image format, such as spreadsheet, database, and drawing files, will be produced in native 21 format. 22 c. Each document image file shall be named with a unique number (Bates 23 Number). File names should not be more than twenty characters long or contain spaces. When a 24 25 26 AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 5 1 text-searchable image file is produced, the producing party must preserve the integrity of the 2 underlying ESI, i.e., the original formatting, the metadata (as noted below) and, where applicable, 3 the revision history. 4 5 6 7 8 d. If a document is more than one page, the unitization of the document and any attachments and/or affixed notes shall be maintained as they existed in the original document. e. [Optional] The parties shall produce their information in the following format: single- page images and associated multi-page text files containing extracted text or with appropriate software load files containing all information required by the litigation support system 9 used by the receiving party. 10 f. [Optional] The full text of each electronic document shall be extracted 11 (“Extracted Text”) and produced in a text file. The Extracted Text shall be provided in searchable 12 ASCII text format (or Unicode text format if the text is in a foreign language) and shall be named 13 with a unique Bates Number (e.g., the unique Bates Number of the first page of the corresponding 14 production version of the document followed by its file extension). 15 4. De-duplication. The parties may de-duplicate their ESI production across custodial 16 and non-custodial data sources after disclosure to the requesting party, and the duplicate custodian 17 information removed during the de-duplication process tracked in a duplicate/other custodian 18 field in the database load file. 19 5. Email Threading. The parties may use analytics technology to identify email 20 threads and need only produce the unique most inclusive copy and related family members and 21 may exclude lesser inclusive copies. Upon reasonable request, the producing party will produce 22 a less inclusive copy. 23 24 25 26 AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 6 1 6. Metadata fields. If the requesting party seeks metadata, the parties agree that only 2 the following metadata fields need be produced, and only to the extent it is reasonably accessible 3 4 5 6 7 and non-privileged: document type; custodian and duplicate custodians (or storage location if no custodian); author/from; recipient/to, cc and bcc; title/subject; email subject; file name; file size; file extension; original file path; date and time created, sent, modified and/or received; and hash value. The list of metadata type is intended to be flexible and may be changed by agreement of the parties, particularly in light of advances and changes in technology, vendor, and business 8 practices. 9 7. [Optional] Hard-Copy Documents. If the parties elect to produce hard-copy 10 documents in an electronic format, the production of hard-copy documents will include a cross- 11 reference file that indicates document breaks and sets forth the custodian or custodian/location 12 associated with each produced document. Hard-copy documents will be scanned using Optical 13 Character Recognition technology and searchable ASCII text files will be produced (or Unicode 14 text format if the text is in a foreign language), unless the producing party can show that the cost 15 would outweigh the usefulness of scanning (for example, when the condition of the paper is not 16 conducive to scanning and will not result in accurate or reasonably useable/searchable ESI). Each 17 file will be named with a unique Bates Number (e.g., the unique Bates Number of the first page 18 of the corresponding production version of the document followed by its file extension). 19 D. Preservation of ESI 20 The parties acknowledge that they have a common law obligation, as expressed in Fed. R. 21 Civ. P. 37(e), to take reasonable and proportional steps to preserve discoverable information in 22 the party’s possession, custody, or control. With respect to preservation of ESI, the parties agree 23 as follows: 24 25 26 AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 7 1 1. Absent a showing of good cause by the requesting party, the parties shall not be 2 required to modify the procedures used by them in the ordinary course of business to back-up and 3 archive data; provided, however, that the parties shall preserve all discoverable ESI in their 4 possession, custody, or control. 5 6 7 2. The parties will supplement their disclosures in accordance with Fed. R. Civ. P. 26(e) with discoverable ESI responsive to a particular discovery request or mandatory disclosure where that data is created after a disclosure or response is made (unless excluded under Sections 8 (D)(3) or (E)(1)-(2 . 9 3. Absent a showing of good cause by the requesting party, the following categories 10 of ESI need not be preserved: 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 a. b. c. d. e. f. g. h. Deleted, slack, fragmented, or other data only accessible by forensics. Random access memory (RAM), temporary files, or other ephemeral data that are difficult to preserve without disabling the operating system. On-line access data such as temporary internet files, history, cache, cookies, and the like. Data in metadata fields that are frequently updated automatically, such as last-opened dates (see also Section (E)(5 . Back-up data that are duplicative of data that are more accessible elsewhere. Server, system or network logs. Data remaining from systems no longer in use that is unintelligible on the systems in use. Electronic data (e.g., email, calendars, contact data, and notes) sent to or from mobile devices (e.g., iPhone, iPad, Android devices), provided that a copy of all such electronic data is automatically saved in real time elsewhere (such as on a server, laptop, desktop computer, or “cloud” storage). AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 8 1 [The parties should confer regarding any other categories of ESI that may not need to be 2 preserved, such as text messages and social media data, in light of the General Principles set 3 forth above, and determine whether they can agree that such categories can be added to the non- 4 preservation list above.] 5 E. Privilege 6 7 [The parties should confer regarding the nature and scope of privilege logs for the case, including whether categories of information may be excluded from any logging requirements and whether 8 alternatives to document-by-document logs can be exchanged.] 9 1. A producing party shall create a privilege log of all documents fully withheld from 10 production on the basis of a privilege or protection, unless otherwise agreed or excepted by this 11 Agreement and Order. Privilege logs shall include a unique identification number for each 12 document and the basis for the claim (attorney-client privileged or work-product protection). For 13 ESI, the privilege log may be generated using available metadata, including author/recipient or 14 to/from/cc/bcc names; the subject matter or title; and date created. Should the available metadata 15 provide insufficient information for the purpose of evaluating the privilege claim asserted, the 16 producing party shall include such additional information as required by the Federal Rules of 17 Civil Procedure. Privilege logs will be produced to all other parties [alternative language, choose 18 one of the following clauses] [alternative 1] [no later than 30 days after delivering a production] 19 [alternative 2] [no later than 30 days before the deadline for filing motions related to discovery] 20 unless an earlier deadline is agreed to by the parties. 21 2. Redactions need not be logged so long as the basis for the redaction is clear on the 22 redacted document. 23 24 25 26 AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 9 1 3. With respect to privileged or work-product information generated after the filing 2 of the complaint, parties are not required to include any such information in privilege logs. 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 22 23 24 25 26 4. Activities undertaken in compliance with the duty to preserve information are protected from disclosure and discovery under Fed. R. Civ. P. 26(b)(3)(A) and (B). 5. Pursuant to Fed. R. Evid. 502(d), the production of any documents in this proceeding shall not, for the purposes of this proceeding or any other federal or state proceeding, constitute a waiver by the producing party of any privilege applicable to those documents, including the attorney-client privilege, attorney work-product protection, or any other privilege or protection recognized by law. Information produced in discovery that is protected as privileged or work product shall be immediately returned to the producing party, and its production shall not constitute a waiver of such protection. DATED: [Signature blocks] Based on the foregoing, IT IS SO ORDERED. ORDER DATED: The Honorable UNITED STATES DISTRICT JUDGE AGREEMENT REGARDING DISCOVERY OF ELECTRONICALLY STORED INFORMATION AND [PROPOSED] ORDER (Case No. [CASE #]) PAGE - 10

=== Settlement Conference Procedures ===

Settlement Conference Procedures When a case is referred for a judicial settlement conference before Judge Leupold, the Court will promptly issue an Order setting the date and time for the settlement conference and outlining settlement procedures. Settlement conferences may be in person or, based upon a joint request from the parties, via Zoom. Settlement Conference Scheduling Order

=== Courtroom Rules ===

Courtroom Rules The parties and counsel are encouraged to advise the Court of their pronouns and may do so by including their pronouns in signature lines or advising the in-court deputy clerk of pronouns and honorifics before a hearing begins, either via email or in person. Mobile devices must be turned off before entering the courtroom. Please provide advance notice when you intend to utilize the courtroom’s video displays or have other presentation technology questions. The Court encourages parties and counsel to be mindful of opportunities for new lawyers (practicing less than seven years) to conduct hearings before the Court, especially where these lawyers drafted or significantly contributed to motions and responses. The Court is aware that having a new lawyer appear may not be appropriate or in the client’s best interest in all instances. Therefore, an experienced attorney may supplement a new lawyer’s arguments and witness examination questions with their own if necessary.

=== Conduct at Trial ===

MAGISTRATE JUDGE GRADY J. LEUPOLD CONDUCT OF COUNSEL AT TRIAL When appearing in this Court, unless excused by Judge Leupold, all counsel (including any other people at counsel table), shall adhere to the following rules: 1. Stand as Court is opened, recessed, or adjourned. 2. In jury trials, stand when the jury enters or exits the courtroom. 3. Stand when addressing, or being addressed by, the Court. 4. Stand at the lectern while examining any witness—except that counsel may approach the Courtroom Deputy's desk or the witness for purposes of handling or tendering exhibits. 5. Address all remarks to the Court, not to opposing counsel. 6. Be respectful of opposing counsel and the litigants and/or witnesses. 7. Refer to all persons, including witnesses, other counsel, and parties by their surnames and not by their first or given names. 8. Only one attorney for each party shall examine, or cross-examine, each witness. The attorney stating objections, if any, during direct-examination, shall be the attorney recognized for cross-examination. 9. Request permission before approaching the bench. 10. All exhibits will be handled electronically. If for some reason a hard copy exhibit becomes necessary, any such hard copy that counsel wishes to have the Court examine should be handed to the Courtroom Deputy. 11. All exhibits that are admitted into evidence will go to the jury electronically through JEEPS. Hard copies will not be used unless the electronic system does not work properly. The DEPS program will be used for presenting exhibits. Any exhibit offered in evidence should, at the time it is offered, be displayed electronically first to opposing counsel. At the end of trial, counsel should make sure they have all of their exhibits. The Courtroom Deputy is not responsible for them. 12. If you intend to question a witness about a group of documents, avoid delay by having all the documents organized and electronically ready to use, when you start examination. 13. In making objections, counsel should state only the legal grounds for the objection and should withhold all further comment or argument unless elaboration is requested by the Court. 14. For any exhibits that were not stipulated as admissible or otherwise ruled admissible before trial and admitted into evidence at the start of the trial, the following steps will be taken. In advance of each trial session, counsel for the party going forward at that session should show opposing counsel the exhibits s/he intends to introduce at the session. The opponent shall indicate those exhibits to which s/he has no objection, and the Court will admit them when offered at the session. Those exhibits to which there is an objection shall be presented to the Court for ruling before the opening of the session. If possible, the Court will rule on the objection then, thereby eliminating the necessity for a sidebar conference when the exhibit is offered. 15. Offers of, or requests for, a stipulation should be made privately, not within the hearing of the jury. 16. Do not face or otherwise appear to address yourself to jurors when questioning a witness. 17. Sidebar conferences will presumptively not be tolerated, except in extraordinary and unforeseen circumstances. These conferences have a distracting effect on the jury and the parties should strive to postpone raising issues outside the jury's presence until the next recess, except when an immediate conference appears necessary. 18. In opening statements and in argument to the jury, counsel shall not express personal knowledge or opinion in any matter in issue.

=== Expedited Case Management through Individualized Trial Program ===

Expedited Case Management through the Individualized Trial Program The Court encourages parties to consider agreeing to an Individualized Trial, which is a consensual, binding trial before a jury or a judge with limited discovery and limited rights to appeal. The Individualized Trial Program offers an abbreviated, efficient and cost-effective litigation and trial alternative. See LCR 39.2. Recognizing that individualized trial procedures are most efficient when tailored to the specific needs of a case, the parties may propose modifications to the standard procedures, subject to the Court’s approval. If the parties agree to participate in the Individualized Trial Program, the Court will set a case management conference to discuss the limits on discovery and the need for dispositive motions. Trial will be held no later than six months after the Individualized Trial Agreement is approved by the Court.