Chapter 1

Going It Alone in Court

The Scope of This Book........................................................................... 2

Can You Really Represent Yourself?...................................................... 5

Coping With Being a Stranger in a Strange Land...................................... 6

Finding a Legal Coach.............................................................................. 7

Using This Book...................................................................................... 10

If Time Permits, Read Through the Entire Book................................ 10

Use This Book in Conjunction With Local Court Rules...................... 10

Make a Trial Notebook....................................................................... 12

Trying to Settle Your Case..................................................................... 12

Alternatives to Trial................................................................................. 13

Court Hearings.................................................................................... 13

Arbitration............................................................................................ 13

Mediation............................................................................................ 14

Negotiation.......................................................................................... 14

Administrative Agency Hearings........................................................ 15

This book provides the information you need to prepare for trial and represent yourself in court.

Understanding the procedures and techniques described here will help you present a persuasive, legally proper case whether you are a plaintiff (meaning that you have filed a lawsuit yourself) or a defendant (meaning that you have been sued). Illustrated with sample forms, pleadings, and courtroom dialogues, the book will take you through the litigation process step by step, from deciding whether you have a valid legal claim or defense to preparing an appeal if you lose.

If you had your druthers, you might prefer to turn your case over to a trial attorney (often called a “litigator”), who is trained to gather and present evidence in court. But in many common situations, it doesn’t make economic sense to hire a lawyer. Perhaps you find yourself in a situation like one of the following:

•   You injured your back when you slipped on loose carpeting in an office building you were visiting.

•   You own a small manufacturing business and have sued a supplier for delivering faulty raw material.

•   Your landlord has sued to evict you from your apartment, and you claim that the eviction is unlawful.

•   You have filed a claim against your ex-spouse seeking increased child support.

•   You are a building contractor who has been sued by a homeowner for using building ­materials other than those specified in a ­remodeling contract, and you claim that the homeowner asked you to modify the contract after work was begun.

•   Money that was left to you in trust by your parents has been depleted by improper investments made by the trust company that controls the trust assets.

In any of these instances—and count­less more—if you can’t resolve your dispute in a friendly way, you may have to go to court to protect your rights.

Unfortunately, with fees charged by lawyers commonly running in excess of $150 an hour, it may not make economic sense—or even be financially possible—for you to hire a lawyer. Even if you win and are able to collect what the other side owes you, the lawyer’s fees may devour much of your gain. As a result, representing yourself in court or dropping your claim or defense altogether may be your only realistic alternatives.

The Scope of This Book

This book explains rules and techniques for preparing and trying a civil case, including how to handle a case in family court or bank­ruptcy court. It does not cover criminal cases. See “Civil and Criminal Cases,” below. You will learn how to figure out what evidence you need to present a legally solid case, whether you are a plaintiff or a defendant. Among other things, you will learn:

•   how to prepare the initial pleadings (usually called a “complaint” or an “answer”) that get a civil case underway (see Chapter 3)

•   how to comply with the important “pre­trial procedures” and activities that typically take place after the initial pleadings but before trial (see ­Chap­ter 4)

•   how to investigate your case and gather evidence, using both informal methods and formal “discovery” (see Chapter 5)

•   how to try to settle your case with­out going to trial (see Chapter 6)

•   how to select a jury if you are in­volved in a jury trial (see Chapter 10)

•   how to present your own testimony and conduct direct examination of your witnesses and cross-examination of your adversary’s witnesses (see Chapters 12 and 13)

•   how to apply rules of evidence so that a judge will accept your admissible evidence and ­exclude your adversary’s improper evidence (see Chapter 16)

•   how to locate, hire, and effectively use expert witnesses (see Chapter 19)

•   how to present a persuasive opening statement and closing argument (see Chapters 11 and 14), and

•   how to comply with courtroom procedural rules, such as where and when to sit and stand (see Chapter 2), how to handle exhibits (tangible objects like photographs and receipts) (see Chapter 15), and how to address the judge and opposing counsel (see Chapters 2 and 17).

The book guides you, step by step, through every phase of a civil trial.

Unless you are in court regularly, you may not know how a case proceeds from initial filing through trial. Therefore, this book also provides you with background information about what you will see—and what you need to do—when you enter the courtroom where your case will be heard.

You will learn where to file your court papers; how to subpoena witnesses (order witnesses to come to court and testify); the functions of a courthouse Clerk’s Office and a courtroom clerk; and the powers and duties of all the personnel who typically carry out courthouse business, including bailiffs, court ­reporters, interpreters, attorneys, jurors, and judges.

Finally, the book devotes separate chapters to two types of specialized court proceedings. Chapter 21 provides information about hearings in ­divorce and related family law matters, such as spousal abuse, child custody, child support, and spousal support. Chapter 22 provides information for debtors and creditors about contested hearings that often occur in bankruptcy cases.

Family law and bankruptcy matters merit separate chapters for a number of reasons. Each ­involves specialized hearings that you don’t find in other types of civil cases. Also, judges usually decide these disputes alone, without juries. And litigants ­frequently represent themselves in both family law and bankruptcy cases. This is especially true in divorce court, where at least one of the parties is self-represented in 80% of cases.

Can You Really Represent Yourself?

Unless your case is unusually complex, you really can represent yourself. You may not have all the legal training of a lawyer, but you do not need to go to law school to have common sense, to learn how to ask intelligent questions, or to recognize what makes people and information believable. In the words of Oliver Wendell Holmes, one of the country’s most revered U.S. Supreme Court justices, “The life of the law has not been logic, it has been experience.” As these words suggest, your everyday life experience is the foundation of most of what you need to know to present a coherent, convincing case. Besides, as former Supreme Court Chief Justice Warren Burger was fond of pointing out, many lawyers are not such hotshots; they often come to court ill-prepared and lacking professional skills.

Nor do you need to be intimidated by the difficulty of the law or legal reasoning. Your trial will probably be concerned with facts, not abstract legal issues. For the most part, you can look up the law you need to know. (See Chapter 23 for information on how to do this.) Legal reasoning is not so different from everyday rational thinking. Forget the silly notion that you have to act or sound like an experienced lawyer to be successful in court. Both lawyers and nonlawyers with extremely varied personal styles can succeed in court. The advice to “be yourself” is as appropriate inside the courtroom as outside.

No matter how many times you read this book and how carefully you prepare, you will probably feel anxious when you represent yourself in court, especially if your opponent has a lawyer. Perhaps it will help you if you know that you aren’t alone. Many professionals feel anxiety—particularly before a first performance—whether they are lawyers about to begin a trial, teachers about to teach a class, or actors about to perform on stage. So take a deep breath and gather up your courage. As long as you combine your common sense with the principles and techniques described in this book, and are not afraid to ask a court clerk, a law librarian, an attorney, or even the judge for help if you become confused, you should be able to represent yourself competently and effectively.

To represent yourself successfully, especially ­if your adversary has a lawyer, you must be ­­­­­­prepared to invest substantial amounts of time in your ­­­­case­­­­­­­—and particu­larly in the many pretrial procedures and maneuvers that can mean the difference ­between winning and losing. To non-lawyers, the legal system seems to center on the outcomes of trials. After all, that’s the dramatic part—and the focus of so many movies and TV shows. If you believe these portrayals, you might think you just have to file a few papers, tell your story to a judge, and claim victory. (This was the belief of Vinny, who represents two ­defendants charged with murder in the wonderful court­room comedy film, My Cousin Vinny. Vinny shows up for an ­arraignment and tries to explain to the judge that the police made a mistake. Vinny is shocked when the judge advises him that he’s not going to set aside all of his state’s procedures just because Vinny finds himself “in the unique position of representing clients who say they didn’t do it.”)

For lawyers, in contrast, the legal system is an array of procedures that begin long before trial (and often continue long afterwards). In fact, few cases ever actually make it to trial. Instead, they settle out of court—or are dismissed—because of these pretrial procedures. Although individually justifiable, collectively these procedures create the potential for adversaries to engage in lengthy “paper wars” that you might find harrowing. Many lawyers are fair and reasonable and will not try to “paper you to death.” Never­theless, you have to realize from the outset that representing yourself effectively is likely to require a substantial commitment of time—even if your case never goes to trial.

Coping With Being a Stranger in a Strange Land

Courts are public institutions belonging to the people, and you have the right to represent yourself there. However, courts are also bureaucratic institutions with very heavy case­loads. Historically, filing clerks, courtroom clerks, court reporters, and even judges have usually preferred to deal with lawyers rather than with people who represent themselves. (When you represent yourself, you may find yourself referred to as a “pro per” or “pro se” litigant, Latin abbreviations favored by judges and lawyers.) Although the increasing number of people representing themselves is beginning to change these attitudes in some places, many court personnel ­believe (often mistakenly) that they can do their work more quickly and easily when they work with lawyers than when they work with people who are representing themselves.

So even if it seems highly unfair, do not be surprised if you encounter initial hostility from court personnel. In your eyes, you are an individual seeking justice and doing what you have a right to do. But to the people who work in courthouses every day, you may be perceived as someone who will make their jobs more difficult. Instead of helping you, they may even attempt to put obstacles in your path, hoping that you will get discouraged and go away.

Knowing ahead of time that you may encounter a hostile attitude is the best weapon against it. Read and study this book and other legal resources, many of which are available free online or in your local library. Learn how to prepare and present a persuasive case and follow the proper procedures for the Clerk’s Office and the courtroom. If you believe that court personnel at any level are being rude to you, be courteous and professional in ­return, even as you insist upon fair treatment. By knowing and following court rules and courtroom techniques, you can often earn the respect of the judge and the others who work in the courtroom. As a result, you may well find that they will go out of their way to help you.

Realize too that even those lawyers who are in their comfort zone in the court system often get yelled at and harassed by other lawyers, judges, and court personnel. For many lawyers, hassles like these go with the job, and they tend to develop a thick skin. To survive as a stranger in this strange land, your skin probably has to be even thicker.

Finding a Legal Coach

Even if it does not make economic sense for you to turn your entire case over to an attorney, you may want or need to seek occasional legal advice during the pro­ceedings. A legal coach—someone you can turn to on an as-needed basis—might help you in a number of areas. For example, your legal coach might prepare documents, shorten the time you spend on legal research by suggesting helpful ­sources, suggest evidence that might help you establish a legal claim, advise you of filing deadlines, and ­inform you of rules and customs peculiar to your local courts (and, therefore, beyond the reach of this book). Throughout the book, we point out the specific stages of a lawsuit when it might be wise to seek help from a legal coach.

An experienced civil litigator (an attorney who primarily works on civil lawsuits) who is willing to work with you on a part-time basis is generally the best choice for a legal coach. However, you may have difficulty finding an attorney who will agree to such an arrangement. Traditionally, almost all litigators took cases on an all-or-nothing basis. That is, they assumed complete responsibility for a case or declined representation altogether. In part, litigators’ reluctance to help self-represented parties is probably attributable to fears about violating lawyers’ ethical codes or committing legal malpractice for giving advice based on incomplete knowledge. Reluctance also stems, at least to some extent, from professional bias; many attorneys believe that only lawyers are competent to deal with America’s courts.

Fortunately, many lawyers’ attitudes toward serving as a legal coach are changing. The American Bar Association’s Standing Committee on the Delivery of Legal Services has sponsored conferences on “unbundling,” which refers to providing legal advice and services on a piecemeal basis to consumers who are representing themselves. The benefits of unbundling are further promoted in the book Unbundling Legal Services, by attorney Forrest Mosten (ABA). (Consider asking an attorney of good will who is nevertheless hesitant to act as a legal coach to read that book!)

Many states allow attorneys to offer ­unbundled services, sometimes referred to as “limited representation” or “limited scope representation.” A lawyer’s services may include providing advice, preparing documents, and even making court appearances. (For example, an ethics opinion issued by the New York County Lawyers Association states that Rule 1.2 of New York’s Rules of Professional Conduct allows lawyers to prepare court documents for pro se litigants without disclosing their involvement to courts or to adversaries. Rule 1.2 recognizes that lawyers can undertake limited scope representation.)

The scope of the lawyer’s services should be clearly explained in a written agreement. Limited scope representation should also be reasonable under the circumstances. For ­example, lawyers should be reluctant to serve as a legal coach when legal issues are very complex or a client has a serious disability or has suffered horrific injuries.

Some lawyers may not be familiar with the term “legal coach.” When you are looking for a legal coach, explain to the attorneys you interview that you are looking for coaching or limited scope representation, or ask them whether they’re willing to do the specific tasks you need, such as reviewing documents or helping you prepare for a court hearing or trial.

You may also be able to hire someone other than a lawyer to be your legal coach. Some states now allow licensed paralegals (attorney assistants) to perform some tasks that formerly were the exclusive domain of lawyers. For instance, in California and Florida, paralegals are allowed to prepare many types of documents for self-represented parties to file. If you are considering hiring a legal coach, therefore, check to see whether paralegals are available in your area and what services they are allowed to provide. (We the People is the name of one business that provides paralegal services directly to consumers in some states.)

Legal websites may provide another source of legal coaching. While websites such as www.nolo.com offer loads of high-quality legal information and tools to create many simple forms, very few Internet companies provide case-specific legal advice and compre­hensive document preparation services to people who represent them­selves. Here are a few websites that may be able to provide legal information, form preparation, or advice:

•   www.lawguru.com

•   www.AllLaw.com

•   www.legalzoom.com

•   www.findlaw.com, and

•   www.courtinfo.ca.gov/self.help (prepared by the California Judicial Council. This website has extensive articles and information on unbundling).

Before consulting a legal coach, read through this book and your local court rules. (Court rules are discussed and explained in the next section of this chapter.) You may find answers to questions that you would other­wise pay a legal coach to answer. (For more detailed advice about hiring and working with an attorney as a legal coach, see Chapter 23.)

Using This Book

This book is very different from other books written for nonlawyers. It does not focus on any single area of the law or type of legal problem but serves as a guide to courtroom self-representation in any kind of case. Because of the book’s unique nature, you may find the following comments and suggestions helpful.

If Time Permits, Read Through the Entire Book

This book is designed both to increase your overall understanding of the litigation process and to provide detailed advice about each stage of trial. Unless you are ­already in the midst of trial and need to refer to a particular chapter immediately, begin preparing to represent yourself by read­ing through the book as a whole. As you become familiar with the litigation process, you will understand the significance of procedures and techniques that may initially seem peculiar or unnecessary.

Use This Book in Conjunction With Local Court Rules

This book can guide you through nearly every kind of trial in every court system (state or federal) because the litigation process is remarkably uniform throughout all of them. In part, this is because federal courts and most state courts share a “common law” heritage—a way of trying cases that came over from England and developed along with the country. And, in part, it is because many local procedures are consistent with national legal codes (sets of rules and regulations).

For example, the Federal Rules of Evidence (often referred to as the FRE) govern the introduction of evidence in federal court trials. But about 40 states also use the FRE in their state court trials. And even those states that have not formally adopted the FRE have evidence rules that are quite similar to them. This means that, for the most part, trials are conducted in the same way nationwide. Another set of federal rules, the Federal Rules of Civil Procedure (or FRCP) apply similarly to govern procedural (rather than evidentiary) rules. Because of this basic uniformity, the book frequently refers you to ­specific rules that, even if they differ somewhat from your state’s rules, should help you understand the basic procedures that will apply to your case.

However, this book cannot serve as a complete guide to all the rules you need to know. For one thing, the exact rule in your court system may be somewhat different from the example we give. In that event, knowing about another similar rule—either a federal rule or another state’s rule—can help you locate the rule in your state. (See Chapter 23 for information on doing your own legal ­research.) Also, each court system has its own procedural rules that, though important, cannot be covered in this book. For example, local court rules set time limits for filing various kinds of documents and page limits on the length of those documents. You will have to learn and comply with these local requirements.

Whenever you are concerned about a specific rule of evidence or procedure, you should always read your court system’s specific provision. In ­general, the rule books you will need to have handy are these:

•   Your state’s “Rules of Evidence.” These rules define the evidence you and your adversary are allowed to introduce for a judge or jury to consider. Evidence rules may be collected in an “Evidence Code” or a particular “chapter” or “title” of your state’s laws, or they may be included in a larger collection of laws called “Rules of Civil Procedure.”

•   Your state’s “Rules of Court.” These are rules that set the procedures and deadlines that the courts in a state must follow. Generally, states have separate sets of rules for different kinds of courts. For example, a state may have one set of rules for its municipal courts (courts that try cases involving limited amounts of money), another for its superior courts (courts that try cases involving higher amounts of money), and still others for its appellate courts (courts that review the decisions of municipal and superior courts). All the rules may, however, be published in a single book. Some states also have separate sets of rules for specialized courts, such as family law courts, which hear cases involving divorce, child custody, and child support; or probate courts, which hear cases involving wills and trusts.

•   Your court’s “Local Rules.” These are the rules for a specific courthouse or set of courthouses in one county that generally allocate business between different courtrooms, ­specify where to file documents, set rules of courtroom behavior, and the like.

Books containing all of these rules should be available in a public law library. You may also want to purchase these books separately from the Clerk’s Office in the courthouse in which your case is filed, or from a legal bookstore, so that you can have them close at hand for reference as you read through this book and go to court. You can also find most court rules on the Internet. The information in Chapter 23 will help you start your search.

CAUTION

You must follow court rules. Even though you are not a lawyer, judges will expect you to know and follow all court rules. If you miss a deadline, use the wrong kind of paper, or violate some other rule, you will suffer the consequences even though you are representing yourself.

For instance, assume that you want to ask for a jury trial and that your local rule requires a jury trial request to be made 30 days after the initial pleadings are filed. If you miss that deadline, you will not have a jury trial unless you go through a laborious process to request an extension of time to file your demand and the judge is willing to make an exception (but don’t count on it!).

Make a Trial Notebook

We strongly recommend that you prepare a trial notebook. A trial notebook is a series of outlines covering matters such as what you must prove (or, if you are a defendant, disprove); the evidence you will use to prove (or disprove) those matters; the topics you intend to cover on direct and cross-examination; a list of the names, addresses, and telephone numbers of your witnesses; and the ­exhibits you plan to introduce into evidence. The notebook serves as your courtroom manager. You can refer to it to make sure that you do not overlook evidence you planned to offer or an argument you intended to make.

As you read through the chapters describing the various stages of a trial, you will find specific sections on how to prepare related outlines for your trial notebook. Chapter 18 pulls together suggestions from earlier chapters and describes how to organize a trial notebook.

Trying to Settle Your Case

Over 90% of all lawsuits are resolved without a trial. If you and your adversary can arrive at a fair resolution without going to trial, you can save yourself time and money. By showing you how to prove and disprove legal claims, this book can help you arrive at a fair resolution of your dispute using settlement procedures. For a complete discussion of settlement, see Chapter 6.

Alternatives to Trial

There are many popular alternatives to trials that still require you to organize and make your case­—such as hearings, arbitrations, and mediation. If you become involved in one or more of them, you can still use this book to understand and prepare your arguments.

Here are the typical situations aside from a trial in which you may also be representing yourself.

Court Hearings

A court hearing is usually a short and narrowly defined proceeding in which you are not entitled to a jury. A judge conducts the hearing and makes a ruling. Depending on the kind of dispute you’re facing, you may find yourself in a hearing rather than a trial. For example, you’ll probably have a hearing if you are seeking an increase or a decrease in spousal or child support following your divorce or if you need to prove how much money you are entitled to after a defendant has failed to respond to your claims. This book’s advice is as pertinent to hearings as it is to trials. Many of the courtroom procedures and rules of evidence are exactly the same in a hearing as in a trial. And you still must offer evidence in a way that persuades the judge or hearing officer to rule in your favor.

Arbitration

Arbitration is an alternative to trial that is often perceived to be quicker and less costly. In arbitration, a privately agreed-to arbitrator, not a judge, rules on the case. There is no jury, procedures before the hearing are more informal, and the arbitrator is not strictly bound by rules of evidence. Arbitrators generally charge by either the full or half day; you and your adversary split the arbitrator’s fee.

If you have a legal dispute, you may well find yourself involved in an arbitration rather than a trial. One reason is that in many states, judges have the power to order you and your adversary to arbitrate certain kinds of disputes. Or you may have signed an agreement that provides for binding arbitration of all disputes arising under the agreement. For example, if you are an investor who believes a brokerage house violated securities laws while handling your account, a condominium owner who has filed suit against your ­condominium association for unreasonably restricting your right to remodel your unit, or a business­person who wants to sue for breach of a written contract, you may have agreed in writing (in the broker’s agreement, the condominium association’s set of rules, or the business contract) to arbitrate all ­disputes.

Though arbitration proceedings are generally less formal than trials, most of the principles ­described in this book also apply to arbitration. As in a trial, you and your adversary present evidence to the arbitrator through your own testimony and the testimony of witnesses. Like a judge, an arbitrator evaluates the credibility and legal significance of evidence to decide whether you win or lose the case.

Also, because most arbitrators are lawyers or retired judges, their actions tend to be strongly influenced by their legal training. The rules and procedures they follow generally closely resemble those used by judges in trials.

RESOURCE

Resouces on arbitration. Settle It Out of Court: How to Resolve Business and Personal Disputes Using Mediation, Arbitration, and Negotiation, by Thomas Crowley (John Wiley & Sons), is a comprehensive guide that includes strategies for selecting arbitrators and mediators.

Alternative Dispute Resolution: Panacea or Anathema? by Harry T. Edwards, 99 Harvard Law Review 668 (1986), is an analysis of the advantages and disadvantages of arbitration and other dispute resolution procedures.

Dispute Resolution: Negotiation, Mediation, and Other Processes, by Stephen B. Goldberg et al. (Aspen Publishers), is a textbook that sets forth arbitration principles and methods.

Mediation

Another popular method of resolving disputes outside of court is mediation, which is generally less formal and less costly than arbitration. Mediation is a voluntary process in which you meet with your adversary in the company of a neutral third person, the mediator. The mediator has no power to impose a solution; rather, the mediator’s role is to facilitate settlement by clarifying each party’s position, encouraging cooper­ation, and suggesting possible solutions. Professional mediators charge for their services, typically by the hour. Normally, the parties split the mediator’s fee.

Even though mediation is informal, to reach a successful result you will need to show your adversary that you have strong evidence to support your legal position—evidence that is admissible in court should mediation fail. Otherwise, your adversary may not be willing to settle the case on terms you think are fair. This book will help you represent your position effectively during mediation.

RESOURCE

Resources on mediation. Mediate, Don’t Litigate: Strategies for Successful Mediation by Peter Lovenheim & Lisa Guerin (Nolo), available as an electronic book at www.nolo.com.

Mediation: A Comprehensive Guide to Resolving Conflicts Without Litigation, by Jay Folberg & Alison Taylor (Jossey-Bass).

The Mediation Process: Practical Strategies for Resolving Conflict, by Christopher Moore (Jossey-Bass).

A Student’s Guide to Mediation and the Law, by Nancy H. Rogers and Richard A. Salem (Matthew Bender).

Divorce Without Court: A Guide to Mediation & Collaborative Divorce, by Katherine E. Stoner (Nolo).

Negotiation

The most ancient way to settle a dispute is negotiation, in which you sit down with your adversary and try to resolve your differences. Whether or not your case goes to trial, you will almost certainly find yourself negotiating some or all of the issues that are important to you.

Against this background, it doesn’t normally make sense to interpret your adversary’s offer to “talk settlement” as a sign of weakness. Nor should you be reluctant to be the one to suggest a negotiated settlement. In fact, judges, arbitrators, and mediators routinely urge adversaries to explore settlement even if previous attempts have failed. It’s a wise person who never closes the door to a reasonable settlement.

RESOURCE

Resources on negotiation. Effective Legal Negotiation and Settlement, by Charles Craver (Matthew Bender).

Effective Approaches to Settlement: A Handbook for Lawyers and Judges, by Wayne Brazel (Prentice Hall).

Getting to Yes: Negotiating Agreement With­out Giving In, by Roger Fisher et al. (Houghton Mifflin) (considered to be the bible on positional bargaining).

The Joy of Settlement: The Family Lawyer’s Guide to Effective Negotiation and Settlement Strategies, by Gregg Herman (ABA).

Administrative Agency Hearings

Administrative hearings rather than trials typically result when individuals contest decisions made by government agencies, or when government agencies refuse to act favorably on individuals’ requests. Thanks in part to movies and TV, a popular notion is that in the U.S., trials are the most common method of resolving civil disputes. In fact, across the country many more administrative hearings than trials occur.

Examples of the numerous kinds of situations in which you will participate in an administrative agency hearing rather than a trial include the following:

•   After you were fired from a job your claim for government unemployment insurance benefits was denied, and you ask for a hearing to establish that you are entitled to benefits.

•   You seek to establish that you are totally disabled after the Social Security Administration reduces your disability payments.

•   You are a licensed building contractor or liquor store owner and challenge the licensing agency’s decision to suspend or revoke your license.

•   You request a hearing to challenge the notice from your state’s Department of Motor Vehicles that your driving privileges have been suspended.

•   The Internal Revenue Service claims back taxes based on its determination that you took improper deductions, and you ask for a hearing to establish that the deductions were proper.

Administrative law judges (often called “ALJs”) preside over administrative hearings. ALJs are typically appointed based on their expertise concerning the work of a ­particular agency. Most ALJs are not in fact judges; some may not even be lawyers. Moreover, administrative hearings typically take place in small officelike hearing rooms rather than in courtrooms, and no juries are present. Usually, indiv­iduals ­involved in administrative hearings represent them­selves. However, whereas only lawyers can represent people in court, agency rules usually allow nonlawyers called “lay ­representatives” to appear on behalf of individuals in administrative agency hearings. If you will participate in an admin­istrative hearing, you may want to prepare for it by at least conferring with a lay representative before the hearing takes place.

If you represent yourself in an admin­istrative hearing you should be as respect­ful to the ALJ as you would be to a judge, even though the former wears a suit and the latter a robe. Moreover, whether you address your arguments to a judge or an ALJ, you have the same need to present a clear and persuasive case. Make sure you understand the basis of an agency’s action, or what evidence you need to produce to uphold your claim. Also, any witnesses you rely on should attend the hearing, and you should be ready to support your claim with documents and records.

If the ALJ rules against you, you typically can appeal within the agency. If the agency’s decision is still unfavorable, you have “exhausted your administrative remedies” and can go to court and file a pleading asking a judge to overturn it. However, the judge who reviews the case will decide it based on the information you provided at the hearing. You won’t be able to present new evidence in court.

Every agency tends to make its own rules and follow its own unique set of procedures. Many agencies describe their procedures on a website. In addition, an agency will furnish you with its rules as soon as you indicate that you want to file a claim. Be sure to contact the agency, ask for a copy of its rules before initiating a hearing, and follow them. The federal government and every state have an Administrative Procedure Act that provides basic protections in administrative hearings. You should read the applicable law and make sure the agency follows it. You can get information about these laws from a convenient database maintained by Florida State University at www.law.fsu.edu/library/admin.

While practices vary widely from state to state and even among different agencies within the same state, here are a few characteristics that administrative hearings tend to have in common:

•   Formal “discovery” (see Chapter 5) is unavailable. You can examine an agency’s records, but you cannot depose agency officials nor submit written questions that they have to answer under oath.

•   ALJs do not normally have to follow the rules of evidence that govern court­room trials. For example, you can offer hearsay evidence.

•   You may be the only person other than the ALJ who is present at a hearing. In Social Security hearings, for example, ALJs typically question claimants, review any information they submit, and make decisions, all without any representative appearing for the agency.

•   While ALJs are, of course, supposed to be fair and impartial, the ALJ who hears your case will probably be employed by the agency involved in your case.