PRO SE PACKAGE

A SIMPLE GUIDE TO FILING A CIVIL ACTION

UNITED STATES DISTRICT COURT

EASTERN DISTRICT OF CALIFORNIA

Office of the Clerk of Court

501 “I” Street 2500 Tulare Street

Suite 4-200 Suite 1501
Sacramento, CA 95814-2322 Fresno, CA 93721-2201
(916) 930-4000 (559) 499-5600

Office Hours are 9:00 to 4:00 p.m., Monday through Friday

revised 01/2016
 The following instructions have been compiled to assist any person wishing to file a complaint in this
court. We have attempted to simplify procedures; however, we cannot and will not act as lawyers nor give
advice as counsel. We do not anticipate that these simple procedures will satisfy all needs, and the Local Rules of
Practice for the U.S. District Court are available for more specific guidance. You should use the Local Rules along
with the Federal Rules of Civil Procedures. The Federal Rules are available at a public library and the Local Rules
are available on our web site at www.caed.uscourts.gov.

*********

If you believe that you have been injured or wronged by someone, some individual, corporation or

government agency and you also believe you should be compensated for the harm you have suffered, you may

decide to file a civil suit in the United States District Court, without the help of an attorney.

FUNDAMENTAL INFORMATION

First, there are a few simple concepts you must get to know and understand.

The PLAINTIFF is the person who files the lawsuit.

The DEFENDANT is the person who is being sued.

If you are representing yourself without the benefit of an attorney, you are known as a PRO SE

LITIGANT. “Pro Se” is a Latin term meaning “for yourself.”

As a pro se litigant, you enjoy every right entitled to you under the law. You need not worry if you

have had little or no experience with the courts before. However, pro se litigants are expected to follow/abide by

the rules that govern the practice of law in the Federal Courts. Pro Se Litigants should be familiar with the Federal

Rules of Civil Procedure and the Local Rules of this Court.

FEDERAL COURT vs STATE COURT

There is a difference between State (Superior) Court and Federal Court. The difference being in what

types of cases (law suits) they can decide. This is called JURISDICTION. State Court has general/broad

jurisdiction and Federal Court has limited/specific jurisdiction. Under Federal Court jurisdiction, the two main

types of cases are Federal Question Cases and Diversity Cases.

FEDERAL QUESTION CASES: are cases where the issue involves violation of Federal Law.

DIVERSITY CASES: are cases where the plaintiff and defendant are citizens of different states
and the amount in controversy exceeds the sum or value of $75,000.
exclusive of interest and costs.

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STEP ONE: WRITE YOUR COMPLAINT

All cases are comprised of documents prepared and filed by litigants. The most common documents are

the complaint, answer and motions. The first document that you must write/file is called a COMPLAINT.

The function of the COMPLAINT is to tell the Court and the defendant the reason for filing the lawsuit

and what relief you desire. You must provide an original and one copy of the complaint, if you would like a copy for

your records. The COMPLAINT must state:

1. The NAME AND ADDRESS of the plaintiff in the

upper left hand corner of the complaint. The names
of all the plaintiffs and defendants must be stated in
the caption. The Court will provide the case number.

2. The JURISDICTION or reason your case is being filed

in Federal Court. See 28 U.S.C. § 1331et seq.

3. The ALLEGATIONS or claims that you are making

against the defendant(s). Place each allegation in
a short clearly-written paragraph. See Rule 10
Federal Rules of Civil Procedure.

4. The RELIEF you are seeking from the Court. This can
be money or something you want the Judge to make
the defendant do or stop doing. This information is
usually written in the last paragraph of the COMPLAINT.

If you believe that you are entitled to a trial by jury, you must indicate in a paragraph following the relief

requested that you claim trial by jury. See Rule 38(b) of the Federal Rules of Civil Procedure.

Do not worry if your COMPLAINT is not professionally written. It should be typed if possible. The

Court will take into consideration that you are a PRO SE litigant and untrained in drafting legal documents. You

should, however, make every effort to state your case in clear, concise terms. See Rules 8 and 10 of the

Federal Rules of Civil Procedure. YOU MUST SIGN AND DATE YOUR COMPLAINT.

Forms for filing a petition under Title 28 U.S.C. § 2254 for writ of habeas corpus by a person in state

custody or a motion under Title 28 U.S.C. § 2255 to vacate, set aside, or correct sentence by a person in Federal

custody are available from the Clerk’s Office.

All pleadings submitted to this Court must be on 8 ½ x 11" paper. See Rule 130 of the Local Rules.

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STEP TWO: FILE YOUR COMPLAINT

Your next step is to file the COMPLAINT with the Court. In addition to filing the COMPLAINT, the

following forms will have to be completed and submitted with the complaint:

1. A Civil Cover Sheet

2. A $402.00 filing fee for a civil case

The filing fee may be waived if you cannot afford to pay it. For more information, see below. All checks

or money orders should be made payable to: “CLERK, UNITED STATES DISTRICT COURT”.

IF YOU CANNOT AFFORD TO PAY THE FILING FEE you may be allowed to have the filing fee

waived if you fill out an APPLICATION FOR LEAVE TO PROCEED IN FORMA PAUPERIS and send it to the

Court with the COMPLAINT and Cover Sheet. The Financial Affidavit is required to be completed so that the

selected Judge can make a determination of your inability to pay the filing fee.

When you file the COMPLAINT, Cover Sheet and Application for Leave to Proceed in Forma

Pauperis, each of these will be reviewed and forwarded to a Judge for consideration. If your Application is

approved, the filing fee will be waived and your case will proceed. If your Application is not approved, you

must pay the filing fee to have your case proceed.

If your In Forma Pauperis Application is granted, you will receive an order from the Court with

instructions on how to proceed. The Court will direct the U.S. Marshal to serve your summons and complaint upon

the defendants. In order for the Marshal to effectuate service on all defendants, you will be ordered to provide

service copies of the complaint for each defendant and complete a Marshal’s 285 form for each defendant. You

are responsible for the movement of your case once it is filed.

CONSENT FORMS

When you file your complaint you will be given forms called: NOTICE OF RIGHT TO CONSENT TO

THE EXERCISE OF CIVIL JURISDICTION BY A MAGISTRATE JUDGE AND APPEAL OPTION and

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CONSENT TO PROCEED BEFORE UNITED MAGISTRATE JUDGE, which you will need to serve on the

parties in your case. Upon the voluntary consent of ALL parties (who must file the consent form with the Court), a

Magistrate Judge may conduct any and all proceedings in your civil case, including a jury or non-jury trial, and the

entry of final judgment, in accordance with the provisions of Title 28, U.S.C. § 636(c) and Local Rule 305.

STEP THREE: SERVICE OF PROCESS

If you are NOT proceeding In Forma Pauperis, your next step is to SERVE (inform) each of the defendants

that he or she is being sued. This may be done in two ways:

1. NOTICE AND REQUEST FOR WAIVER OF SERVICE

If you are suing the United States (and its agencies, corporations, or officers) or
a state, local or foreign government, you CANNOT use this method and you
MUST arrange for Service of Process (described below at number 2).

You may notify non-government defendant(s) of the commencement of the lawsuit

by sending a “NOTICE OF LAWSUIT AND REQUEST FOR WAIVER OF SERVICE
OF SUMMONS” along with a copy of the complaint by first-class mail or other reliable
means. You must also include a copy of the WAIVER OF SERVICE OF SUMMONS
and a self-addressed return envelope. See Rule 4(d) of the Federal Rules of Civil
Procedure. If service is waived by the defendant, the Waiver of Service form is returned
to the plaintiff for filing with the Court and the action shall proceed. If the defendant
does not waive service, the plaintiff must proceed with service of process.

2. SERVICE OF PROCESS

Making “service of process” involves serving a copy of the complaint upon each
of the defendants.

A SUMMONS is a writ used to notify the person named as the defendant of the
commencement of the civil action and the requirement to appear and answer.

If a defendant has not “waived service of summons” OR you are suing a government
(federal, state, local, foreign) you MUST arrange to have a copy of an original
Summons and a copy of the complaint served upon each defendant.

The court will issue a Summons for all defendants and a copy of the Summons must
be served upon each defendant with a copy of the complaint. The original Summons
is for the use of the person making service.

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 You can make service of process by having a “disinterested” (non-party) person who
is over the age of eighteen deliver copies of the SUMMONS and COMPLAINT
to each of the defendants. When using this method of making service of process, have
the server fill out the back of the original SUMMONS and send it to the
Court. See Rule 4, Federal Rules of Civil Procedure.

NOTE: If the filing fee was paid, service of the COMPLAINT on the defendant(s)
must be made within 90 days from the date the complaint was filed or the case
will be subject to dismissal. See Rule 4(m), Federal Rules of Civil Procedure.

THINGS YOU SHOULD KNOW

The ANSWER is the formal written statement by the defendant(s) responding to a complaint setting forth

any defenses and objections to the claims by the plaintiff.

A MOTION is an application or request made to the court for the purpose of obtaining a ruling or order

directing some act to be done in favor of the applicant. See Rule 7(b), Federal Rules of Civil Procedure and Local

Rule 7.1.

AFTER THE ANSWER

In most cases, the Court will issue a SCHEDULING ORDER which sets forth a timetable with deadlines

the litigants must follow.

The DISCOVERY PERIOD is the time frame allowed by the Court for both plaintiff and defendant to

discover facts, research the law, and gather evidence to be presented at trial to prove the litigant’s position/case.

The discovery period always comes after the filing of the answer by the defendant and before the first day of the

trial.

COMPLAINT/ANSWER/DISCOVERY PERIOD/TRIAL

Whenever you file any document with the Court, you must always:

1. Send a copy to each of the parties who are involved in the case, or their lawyers,
and indicate on a Proof of Service form (see attachment 6) at the end of the
document that you have done so in accordance with Federal Rule of Civil Procedure 5.

2. Provide the correct civil action number of your case on ALL documents and
correspondence and have it readily available whenever you call the Court for
information.

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 3. Sign and date all documents you file with the Court. Place the words “PRO SE” after
your name. Place your address and telephone number on all documents and inform
the Court in writing of any changes, in accordance with Local Rule 182(d), as soon as
possible to ensure proper service of Court issued orders. It is very important that you
provide a telephone number in the event it is necessary to obtain further information
or clarification or advise you of any changes in hearing schedules. In addition, you
must comply with the Local Rule 131, regarding counsel identification.

If you do not know an attorney, perhaps you should contact the Lawyer Referral Service of your local

county Bar Association.

If you cannot afford an attorney, perhaps you should contact the Neighborhood Legal Services or Legal

Aid in your area.

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 About These Forms

1. In General. This and the other pleading forms available from the www.uscourts.gov
website illustrate some types of information that are useful to have in complaints and
some other pleadings. The forms do not try to cover every type of case. They are limited
to types of cases often filed in federal courts by those who represent themselves or who
may not have much experience in federal courts.
2. Not Legal Advice. No form provides legal advice. No form substitutes for having or
consulting a lawyer. If you are not a lawyer and are suing or have been sued, it is best to
have or consult a lawyer if possible.
3. No Guarantee. Following a form does not guarantee that any pleading is legally or
factually correct or sufficient.
4. Variations Possible. A form may call for more or less information than a particular
court requires. The fact that a form asks for certain information does not mean that every
court or a particular court requires it. And if the form does not ask for certain
information, a particular court might still require it. Consult the rules and caselaw that
govern in the court where you are filing the pleading.
5. Examples Only. The forms do not try to address or cover all the different types of
claims or defenses, or how specific facts might affect a particular claim or defense. Some
of the forms, such as the form for a generic complaint, apply to different types of cases.
Others apply only to specific types of cases. Be careful to use the form that fits your case
and the type of pleading you want to file. Be careful to change the information the form
asks for to fit the facts and circumstances of your case.
6. No Guidance on Timing or Parties. The forms do not give any guidance on when
certain kinds of pleadings or claims or defenses have to be raised, or who has to be sued.
Some pleadings, claims, or defenses have to be raised at a certain point in the case or
within a certain period of time. And there are limits on who can be named as a party in a
case and when they have to be added. Lawyers and people representing themselves must
know the Federal Rules of Civil Procedure and the caselaw setting out these and other
requirements. The current Federal Rules of Civil Procedure are available, for free, at
www.uscourts.gov.
7. Privacy Requirements. Federal Rule of Civil Procedure 5.2 addresses the privacy and
security concerns over public access to electronic court files. Under this rule, papers filed
with the court should not contain anyone’s full social-security number or full birth date;
the name of a person known to be a minor; or a complete financial-account number. A
filing may include only the last four digits of a social-security number and taxpayer
identification number; the year of someone’s birth; a minor’s initials; and the last four
digits of a financial-account number.
Name ___________________
Street Address ___________________
City and County ___________________
State and Zip Code ___________________
Telephone Number ___________________

IN THE UNITED STATES DISTRICT COURT

FOR THE EASTERN DISTRICT OF CALIFORNIA

_________________________________________
Complaint for a Civil Case
_________________________________________
_________________________________________
Case No. _______________________
(Write the full name of each plaintiff who is filing
(to be filled in by the Clerk’s Office)
this complaint. If the names of all the plaintiffs
cannot fit in the space above, please write “see
Jury Trial: տ Yes տ No
attached” in the space and attach an additional
(check one)
page with the full list of names.)

-against-

_________________________________________
_________________________________________
_________________________________________
(Write the full name of each defendant who is
being sued. If the names of all the defendants
cannot fit in the space above, please write “see
attached” in the space and attach an additional
page with the full list of names.)
I. The Parties to This Complaint

A. The Plaintiff(s)

Provide the information below for each plaintiff named in the complaint. Attach
additional pages if needed.

Name __________________________________________
Street Address __________________________________________
City and County __________________________________________
State and Zip Code __________________________________________
Telephone Number __________________________________________

B. The Defendant(s)

Provide the information below for each defendant named in the complaint,
whether the defendant is an individual, a government agency, an organization, or
a corporation. For an individual defendant, include the person’s job or title (if
known). Attach additional pages if needed.

Defendant No. 1
Name __________________________________________
Job or Title __________________________________________
(if known)
Street Address __________________________________________
City and County __________________________________________
State and Zip Code __________________________________________
Telephone Number __________________________________________

Defendant No. 2
Name __________________________________________
Job or Title __________________________________________
(if known)
Street Address __________________________________________
City and County __________________________________________
State and Zip Code __________________________________________
Telephone Number __________________________________________

2
 Defendant No. 3
Name __________________________________________
Job or Title __________________________________________
(if known)
Street Address __________________________________________
City and County __________________________________________
State and Zip Code __________________________________________
Telephone Number __________________________________________

Defendant No. 4
Name __________________________________________
Job or Title __________________________________________
(if known)
Street Address __________________________________________
City and County __________________________________________
State and Zip Code __________________________________________
Telephone Number __________________________________________

II. Basis for Jurisdiction

Federal Courts are courts of limited jurisdiction (limited power). Generally, only two
types of cases can be heard in Federal Court: cases involving a federal question and cases
involving diversity of citizenship of the parties. Under 28 U.S.C. § 1331, a case arising
under the United States Constitution or federal laws or treaties is a federal question case.
Under 28 U.S.C. § 1332, a case in which a citizen of one state sues a citizen of another
state or nation and the amount at stake is more than $75,000 is a diversity of citizenship
case. In a diversity of citizenship case, no defendant may be a citizen of the same state as
any plaintiff.

What is the basis for Federal Court jurisdiction? (check all that apply)

տ Federal question տ Diversity of citizenship

3
Fill out the paragraphs in this section that apply to this case.

A. If the Basis for Jurisdiction Is a Federal Question

List the specific federal statutes, federal treaties, and/or provisions of the United
States Constitution that are at issue in this case.

__________________________________________________________________
__________________________________________________________________
__________________________________________________________________

B. If the Basis for Jurisdiction Is Diversity of Citizenship

1. The Plaintiff(s)

a. If the plaintiff is an individual

The plaintiff, (name) _______________________, is a citizen of

the State of (name) _______________________.

b. If the plaintiff is a corporation

The plaintiff, (name) _______________________, is incorporated

under the laws of the State of (name) _______________________,
and has its principal place of business in the State of (name)
_______________________.

(If more than one plaintiff is named in the complaint, attach an additional
page providing the same information for each additional plaintiff.)

2. The Defendant(s)

a. If the defendant is an individual

The defendant, (name) ______________________, is a citizen of

the State of (name) _______________________. Or is a citizen of
(foreign nation) _______________________.

4
 b. If the defendant is a corporation

The defendant, (name) _______________________, is

incorporated under the laws of the State of (name)
_______________________, and has its principal place of
business in the State of (name) _______________________. Or is
incorporated under the laws of (foreign nation)
_______________________, and has its principal place of
business in (name) _______________________.

(If more than one defendant is named in the complaint, attach an

additional page providing the same information for each additional
defendant.)

3. The Amount in Controversy

The amount in controversy—the amount the plaintiff claims the defendant

owes or the amount at stake—is more than $75,000, not counting interest
and costs of court, because (explain):

____________________________________________________________
____________________________________________________________
____________________________________________________________

III. Statement of Claim

Write a short and plain statement of the claim. Do not make legal arguments. State as
briefly as possible the facts showing that each plaintiff is entitled to the damages or other
relief sought. State how each defendant was involved and what each defendant did that
caused the plaintiff harm or violated the plaintiff’s rights, including the dates and places
of that involvement or conduct. If more than one claim is asserted, number each claim
and write a short and plain statement of each claim in a separate paragraph. Attach
additional pages if needed.

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

5
IV. Relief

State briefly and precisely what damages or other relief the plaintiff asks the court to
order. Do not make legal arguments. Include any basis for claiming that the wrongs
alleged are continuing at the present time. Include the amounts of any actual damages
claimed for the acts alleged and the basis for these amounts. Include any punitive or
exemplary damages claimed, the amounts, and the reasons you claim you are entitled to
actual or punitive money damages.

________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________
________________________________________________________________________

V. Certification and Closing

Under Federal Rule of Civil Procedure 11, by signing below, I certify to the best of my
knowledge, information, and belief that this complaint: (1) is not being presented for an
improper purpose, such as to harass, cause unnecessary delay, or needlessly increase the
cost of litigation; (2) is supported by existing law or by a nonfrivolous argument for
extending, modifying, or reversing existing law; (3) the factual contentions have
evidentiary support or, if specifically so identified, will likely have evidentiary support
after a reasonable opportunity for further investigation or discovery; and (4) the
complaint otherwise complies with the requirements of Rule 11.

I agree to provide the Clerk’s Office with any changes to my address where case-
related papers may be served. I understand that my failure to keep a current
address on file with the Clerk’s Office may result in the dismissal of my case.

Date of signing: __________, 20__.

Signature of Plaintiff ___________________________________________

Printed Name of Plaintiff ___________________________________________

6
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Date and Attorney Signature.'DWHDQGVLJQWKHFLYLOFRYHUVKHHW

AO 240 (Rev. 07/10) Application to Proceed in District Court Without Prepaying Fees or Costs (Short Form)

UNITED STATES DISTRICT COURT

for the
__________ District of __________

)
Plaintiff/Petitioner )
v. ) Civil Action No.
)
Defendant/Respondent )

APPLICATION TO PROCEED IN DISTRICT COURT WITHOUT PREPAYING FEES OR COSTS

(Short Form)

I am a plaintiff or petitioner in this case and declare that I am unable to pay the costs of these proceedings and
that I am entitled to the relief requested.

In support of this application, I answer the following questions under penalty of perjury:

1. If incarcerated. I am being held at: .

If employed there, or have an account in the institution, I have attached to this document a statement certified by the
appropriate institutional officer showing all receipts, expenditures, and balances during the last six months for any
institutional account in my name. I am also submitting a similar statement from any other institution where I was
incarcerated during the last six months.

2. If not incarcerated. If I am employed, my employer’s name and address are:

My gross pay or wages are: $ , and my take-home pay or wages are: $ per
(specify pay period) .

3. Other Income. In the past 12 months, I have received income from the following sources (check all that apply):

(a) Business, profession, or other self-employment u Yes u No

(b) Rent payments, interest, or dividends u Yes u No
(c) Pension, annuity, or life insurance payments u Yes u No
(d) Disability, or worker’s compensation payments u Yes u No
(e) Gifts, or inheritances u Yes u No
(f) Any other sources u Yes u No

If you answered “Yes” to any question above, describe below or on separate pages each source of money and
state the amount that you received and what you expect to receive in the future.
AO 240 (Rev. 07/10) Application to Proceed in District Court Without Prepaying Fees or Costs (Short Form)

4. Amount of money that I have in cash or in a checking or savings account: $ .

5. Any automobile, real estate, stock, bond, security, trust, jewelry, art work, or other financial instrument or
thing of value that I own, including any item of value held in someone else’s name (describe the property and its approximate
value):

6. Any housing, transportation, utilities, or loan payments, or other regular monthly expenses (describe and provide
the amount of the monthly expense):

7. Names (or, if under 18, initials only) of all persons who are dependent on me for support, my relationship
with each person, and how much I contribute to their support:

8. Any debts or financial obligations (describe the amounts owed and to whom they are payable):

Declaration: I declare under penalty of perjury that the above information is true and understand that a false
statement may result in a dismissal of my claims.

Date:
Applicant’s signature

Printed name