Summary Judgment Evidence
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TRIAL TECHNIQUES AND TACTICS JUNE 2019 IN THIS ISSUE Winning or losing summary judgment mayOctober turn on the 2014 admissibility of the evidence on which the parties rely. This article is a reminder that evidence supporting, or opposing, a summary judgment motion must be, or must forecast, evidence that will actually be admissible at trial. Don’t foul up a righteous summary judgment motion by supporting it with evidence that is in the wrong form! Summary Judgment Evidence ABOUT THE AUTHOR Jim King is a partner with the law firm of Porter, Wright, Morris & Arthur LLP in Columbus, Ohio. Jim’s practice centers on commercial and business litigation in courts throughout Ohio and the Midwest. He can be reached at [email protected]. ABOUT THE COMMITTEE The Trial Techniques and Tactics Committee promotes the development of trial skills and assists in the application of those skills to substantive areas of trial practice. Learn more about the Committee at www.iadclaw.org. To contribute a newsletter article, contact: Bryant J. Spann Vice Chair of Newsletter Thomas Combs & Spann, PLLC [email protected] The International Association of Defense Counsel serves a distinguished, invitation-only membership of corporate and insurance defense lawyers. The IADC dedicates itself to enhancing the development of skills, professionalism and camaraderie in the practice of law in order to serve and benefit the civil justice system, the legal profession, society and our members. w: www.iadclaw.org p: 312.368.1494 f: 312.368.1854 e: [email protected] - 2 - TRIAL TECHNIQUES AND TACTICS COMMITTEE NEWSLETTER June 2019 Civil trial lawyers are all familiar with that there is no genuine dispute of material summary judgment. If a case is not fact and the movant is entitled to judgment otherwise dismissed or settled, then it will as a matter of law. The court may consider be resolved either in trial or, most only the materials cited by the parties to commonly, by summary judgment. But just support or oppose the motion, although it because most civil actions are not tried does has the discretion to consider other not mean that trial lawyers can ignore the materials in the record. See Fed. R. Civ. P. Rules of Evidence. Rule 56 of the Federal 56(c)(3). But whatever materials the parties Rules of Civil Procedure states that a motion cite, that material must constitute for summary judgment must be supported admissible evidence. “An affidavit or or opposed by “citing to particular parts of declaration used to support or oppose a materials in the record,” to include motion must . set out facts that would be “depositions, documents, electronically admissible in evidence.” Fed. R. Civ. P. stored information, affidavits or 56(c)(4). A party may object that material declarations, stipulations * * *, admissions, cited in support of or in opposition to the interrogatory answers, or other materials.” motion “cannot be presented in a form that Fed. R. Civ. P. 56(c)(1)(A). Whatever would be admissible in evidence.” Fed. R. “particular parts” of the record are cited, the Civ.P. 56(c)(2). content or substance of the evidence must either be admissible or capable of being While Rule 56 only refers to admissible presented in a form that would be evidence in the context of affidavits or admissible in evidence in order to be declarations, any materials offered in considered by the court. In short, the Rules support of or in opposition to a summary of Evidence need to be understood not just judgment motion that would be inadmissible by trial lawyers, but by the litigators and at trial, assuming the presence of all brief writers who, these days, are not in trial testifying witnesses in the courtroom, may as much as they would like. be disregarded. This is implicit from the summary judgment standard that a court This article provides a brief overview of the must determine whether there are any admissibility requirements of Rule 56 of the genuine disputes of material fact. 13 James Federal Rules of Civil Procedure, what Wm. Moore et al., Moore’s Federal Practice evidence can and cannot be considered, and ¶ 56.91[1] (3d ed. 2013). A genuine dispute the obligations that the rule imposes in is one that will go to the trier of fact, often supporting and opposing a summary the jury. Without admissible evidence judgment motion. regarding that material fact, no dispute of fact will exist. Basic Requirements of Rule 56 As noted, Rule 56(c)(2) also makes clear that Rule 56 allows a party to a civil lawsuit to a party may object to material cited to move for summary judgment on a claim, support or dispute a fact on the grounds of counterclaim, or cross-claim on the ground admissibility. And Rule 56(d)(1) provides w: www.iadclaw.org p: 312.368.1494 f: 312.368.1854 e: [email protected] - 3 - TRIAL TECHNIQUES AND TACTICS COMMITTEE NEWSLETTER June 2019 that a motion that is not properly supported, evidence – that is, the affidavit or even if no response is filed, may still be declaration – will not preclude the court denied. Summary judgment by default is from considering it. As the Ninth Circuit generally not available. But, if a party fails to explained, “[a]t the summary judgment object to the admissibility of evidence used stage, we do not focus on the admissibility of to support or oppose a motion for summary the evidence’s form. We instead focus on judgment, the court may consider the fact as the admissibility of its contents.” Fraser v. undisputed in deciding the motion. Fed. R. Goodale, 342 F.3d 1032, 1036 (9th Cir. 2003). Civ. P. 56(e)(2). Depending on the jurisdiction and the local rules, a party can Testimony raise the objection in the motion papers, by filing a separate motion or paper with the Deposition testimony is commonly used as court, or by waiting to object at a hearing on summary judgment evidence. Rule the motion. The court is permitted, 56(c)(1)(A) makes clear that both oral however, to give a party an additional depositions and depositions on written opportunity to support an assertion of fact questions can be used, as well as deposition or an objection to an assertion of fact. Fed. testimony from another case. Rule 32(a)(8), R. Civ. P. 56(e)(1). for example, provides that a deposition taken and, if required, filed, “in any federal- Although the law is clear that only admissible or state-court action may be used in a later evidence may be considered on summary action involving the same subject matter judgment, that does not mean that the between the same parties, or their material must be presented in a form that representatives or successors in interest, to would be admissible at trial. Affidavits and the same extent as if taken in the later declarations are the classic examples. action.” If deposition testimony is presented Affidavits and declarations are hearsay since in support or in opposition to a motion for they are out-of-court statements. And it is summary judgment, only testimony that generally understood that hearsay cannot be would be admissible at trial may be considered on summary judgment. “When introduced. Sworn testimony outside of a an affidavit contains an out-of-court deposition, such as at a hearing, can be used statement offered to prove the truth of the so long as it is otherwise admissible. Arceo statement that is inadmissible hearsay, the v. City of Junction City, 182 F. Supp.2d 1062, statement may not be used to support or 1080-81 (D. Kan. 2002) (prior grand jury defeat a motion for summary judgment.” testimony may be considered). Courts have Jenkins v. Winter, 540 F.3d 742, 748 (8th Cir. held that it is not necessary to submit the 2008). However, if the proponent of the entire transcripts; excerpts are permitted. evidence can demonstrate that it will be See Alexander v. Caresource, 576 F.3d 551, possible to introduce the content or 560 (6th Cir. 2009). substance of the material at trial – for instance, the affiant will testify as a live witness – the court may take into account the material in deciding the summary judgment motion. The “form” of the w: www.iadclaw.org p: 312.368.1494 f: 312.368.1854 e: [email protected] - 4 - TRIAL TECHNIQUES AND TACTICS COMMITTEE NEWSLETTER June 2019 Affidavits, Declarations, and Exhibits ensure that the witness has the requisite personal knowledge and is someone through Rule 56(c)(4) provides that a formal affidavit whom the exhibit could be admitted into or a written unsworn declaration that evidence. The witness also must be able to complies with 28 U.S.C. § 1746 can be used lay the proper foundation for admissibility. to support or oppose a motion for summary A copy of an e-mail of which the witness was judgment. Whether an affidavit or a not the author or recipient, for instance, may declaration is used, it must be sworn or not be admissible because the person was subscribed to under penalty of perjury, be not part of the communication and, thus, based on personal knowledge, present facts lacks personal knowledge, or because the e- that are admissible in evidence, and mail is just reciting hearsay. But what if the demonstrate that the affiant or declarant is e-mail might be admissible if submitted in competent to testify about the matters another manner at trial? Again, as noted stated. Conclusory or self-serving affidavits above, courts have held that a hearsay that fail to set out each of these elements statement can be considered if there is a may be ignored.