Litigation Ontology
Overview: events and attributes
The SCALES Litigation Ontology is a curated collection of features that can be extracted from docket sheets using the SCALES NLP Python module. The creation of this ontology is the product of a collaborative effort between lawyers, legal scholars, and software engineers. The SCALES team will continue to add new event and attribute labels in future updates.
There are two types of labels: events and attributes. Events are high-level categories of activity in a case. Attributes are paired with events and provide additional detail pertinent to a given event. Some attributes pertain only to certain specific events; others are "floating" attributes and can be attached to any event or larger categories of events.
We apply labels to the docket entries only on the basis of the text present on the face of the docket sheet, not using any information available in documents filed by the parties or the court.
Events and their specific attributes
Attributes are listed in bold under the events to which they can attach.
Complaint
In civil cases, an initial pleading filed by a plaintiff that outlines the facts of the case and legal claims against a defendant. In criminal cases, a document that establishes probable cause that a crime was committed and the defendant is likely responsible.
Removal
The removal of a case initially filed in state court to federal court.
Petition
A formal written request submitted to a court, asking for a specific action or order, often used to initiate certain types of legal proceedings.
Petition for habeas corpus: A legal action challenging the legality of a person's detention or imprisonment, seeking a court order for their release if the detention is deemed unlawful.
Summons
A legal document issued by a court, informing a person that they are required to appear in court or respond to a legal action
Warrant
A legal document issued by a judge or other judicial authority, authorizing law enforcement to perform specific actions, such as conducting a search or making an arrest.
Arrest
Documentation of arrest.
Information
A formal charge, similar to an indictment, but filed by a prosecutor instead of a grand jury, initiating a criminal case.
Indictment
A formal charge issued by a grand jury, accusing a defendant of committing a crime, initiating a criminal prosecution.
Plea
A criminal defendant's response to the charges against them.
Guilty plea: A criminal defendant's response of guilty to the charges against them.
Not guilty plea: A criminal defendant's response of not guilty to the charges against them.
Waiver
A party's voluntary relinquishment of a legal right, claim, or privilege.
Waiver of indictment: A voluntary agreement by a defendant to waive their right to have a grand jury review the criminal charges against them.
Answer
A defendant's formal response to a plaintiff's claims, addressing and contesting the allegations in a complaint.
Motion
A formal request submitted to the court by a party in a legal proceeding, asking for a specific action, ruling, or order.
Motion for default judgment: A motion made by a plaintiff for a judgment in their favor due to the defendant's failure to respond or appear in court.
Motion for summary judgment: A motion for the court to decide a case without a trial when there are no genuine disputes of material fact.
Motion for judgment as a matter of law: A motion made during a trial for the court to decide in their favor based on the evidence presented, arguing that no reasonable jury could reach a different conclusion.
Motion for judgment on the pleadings: A motion for a court to decide a case based solely on the pleadings filed.
Other motion for judgment: Motion for judgment in a case in full or in part that does not fall into any of the other judgment-related motion types.
Motion to dismiss: A motion requesting the court to terminate a case in full or in part. (n.b.: The vast majority of motions receiving this label are contested motions filed under FRCP 12(b) or 41(b). However, some docket entries that receive this label may in fact be voluntary motions filed under FRCP 41(a) or filed as a result of a settlement, but that information is not present on the face of the docket sheet. When a docket entry contains only bare "motion to dismiss" languge, with no other indication of which type of motion it is, the motion to dismiss attribute label is applied as a default. When some indication of voluntariness is present in the docket entry, the relevant voluntary dismissal label is applied instead.)
Motion for voluntary dismissal: A document filed by a party to voluntarily dismiss their case or specific claims or counter-claims. (n.b.: Voluntary dismissal itself may or may not mean that a settlement has occurred. Where the docket entry also contains signals of settlement, the separate settlement labels are applied. Where no separate indications of settlement appear on the docket sheet, researchers may choose how to treat "bare" voluntary dismissals vis-a-vis settlement.)
Other motion for dismissal: Motion for dismissal of a case in full or in part that does not fall into any of the other dismissal-related motion types.
Motion for settlement: A motion for the court to take some action, often dismissing the case in full or in part, as a result of the parties' settlement.
Motion to remand: A motion asking the court to send a case to a lower court or administrative body for further action or reconsideration.
Motion for habeas corpus: A legal action challenging the legality of a person's detention or imprisonment, seeking a court order for their release if the detention is deemed unlawful.
Motion for arbitration: A motion seeking dismissal of the case for purposes of arbitration.
Motion to seal: A motion requesting the court to protect sensitive or confidential information in a case by restricting public access to specific documents or portions of the court record.
Motion to certify class: A motion to certify the case as a class action.
Motion for time extension: A motion asking the court to extend a deadline or time limit.
Brief
A document that accompanies a motion and contains support for the motion.
Notice
A notification by the parties or court.
Notice of motion: A document filed by a party that notifies the court and other parties of the intention to seek a specific court order or ruling, usually accompanied by the motion and supporting documents.
Notice of voluntary dismissal: A document filed by a party to voluntarily dismiss their case or specific claims or counter-claims. (n.b.: In civil cases, voluntary dismissal itself may or may not mean that a settlement has occurred. Where the docket entry also contains signals of settlement, the separate settlement labels are applied. Where no separate indications of settlement appear on the docket sheet, researchers may choose how to treat "bare" voluntary dismissals vis-a-vis settlement.)
Other notice of dismissal: Notice of dismissal of a case in full or in part that does not fall into any of the other dismissal-related notice types.
Notice of settlement: A document filed by a party to inform the court of a settlement.
Notice of appeal: A formal notification filed by a party to inform the court and other parties of their intention to appeal a decision or judgment to a higher court.
Notice of consent: A document filed by a party to indicate consent to some action in the case.
Response
A party's written opposition, respones, or reply to a document or motion filed by another party.
Stipulation
A document that indicates an agreement between parties that establishes facts or terms to be accepted as true or binding.
Stipulation for judgment: An agreement between the parties for entry of judgment in a case in full or in part.
Stipulation of dismissal: An agreement between the parties to dismiss a case in full or in part.
Stipulation for settlement: An agreement between the parties to resolve a case by settlement in full or in part.
Order
A court decision on a matter in a case or instructions/mandate to the parties.
Minute entry
A notation or other communication on the docket sheet recorded by the judge or court clerk.
Judgment
The document that formalizes the final adjudication or resolution of a case. (n.b.: Judgments are not considered dispositive in the labeling scheme, as they formalize a separate dispositive event such as a granted motion for summary judgment. Therefore, the "dispositive" attribute attaches to the separate dispositive event rather than to the "judgment" event.)
Settlement
An indication on the docket sheet that the parties have resolved the case by settlement, in full or in part.
Consent decree settlement: A court-approved agreement between parties to resolve a case. Includes docket entries labeled with variations on the term "consent decree," including e.g. "consent judgment.""
Rule 68 settlement: An accepted offer of judgment under FRCP 68, which allows a defendant to make a formal settlement offer to the plaintiff, potentially shifting the costs of litigation if the plaintiff ultimately recovers less than the offer amount.
Plea agreement
A negotiated agreement between a defendant and a prosecutor in a criminal case in which a defendant pleads guilty or no contest to a criminal charge in exchange for concessions from the prosecutor.
Trial
A formal legal proceeding where parties present evidence and arguments to a judge or jury to determine the outcome of a case, either in a criminal prosecution or a civil lawsuit. The "trial" label attaches to any docket entry that indicates that trial has begun in the case.
Bench trial: A trial where the case is decided by a judge rather than a jury.
Jury trial: A trial where the case is decided by a jury rather than a judge.
Other trial: A trial where the face of the docket sheet is unclear as to whether the trial is a jury or bench trial.
Findings of fact
Short for "Findings of Fact and Conclusions of Law." A court's written determination of the facts and conclusions of law relevant to a case, usually based on evidence presented during a bench trial or hearing.
Verdict
The final decision made by a judge or jury at the close of a trial.
Sentence
The final judgment of punishment imposed by a court in a criminal case.
Floating attributes
Attachable to any event
Proposed: A document or action filed by the parties in "proposed" form for the court to consider.
Bilateral/unopposed: Docket entry language that indicates agreement between/among the parties to the action described in the docket entry.
Dismiss with prejudice: Docket entry language indicating that a dismissal is with prejudice, foreclosing further action in the case.
Dismiss without prejudice: Docket entry language indicating that a dismissal is without prejudice, allowing further action in the case.
Transferred entry: Docket entries that were copied from one court's docket sheet to another to capture activity pre- and/or post-transfer between courts.
Error: Notice by the court of an error in filing the given docket entry.
Case opened in error: Notice by the court that the case was opened in error.
Attachable to orders and minute entries
Inbound transfer: The transfer of a case from one court to another. The "inbound" label applies to entries indicating a transfer on the docket sheet of the receiving court.
Outbound transfer: The transfer of a case from one court to another. The "outbound" label applies to entries indicating a transfer on the docket sheet of the sending court.
Unknown transfer: The transfer of a case from one court to another. The "unknown" label applies to entries where it is unclear from the entry itself whether the present court is the sending or receiving court.
Default judgment: A decision granting default judgment to a plaintiff.
Granting motion for summary judgment: A court order granting a party's motion for summary judgment in full or in part.
Granting motion to dismiss: A court order granting a party's motion to dismiss in full or in part.
Voluntary dismissal: An action that dismisses a case pursuant to a party's request for voluntary dismissal.
Other dismissal: Actions that dismiss a case in full or in part but do not fall into any of the other dispositive event categories, e.g. sua sponte dismissals by the court.
Remand: A court's decision to send a case to a lower court or administrative body for further action or reconsideration.
Administrative closing: A procedural action taken by the court to remove a case from its active docket, often but not always pending finalization of the parties' settlement discussions.
Attached automatically to certain events
Opening: The event that opens the case in federal court. Only one opening event can occur in a single docket sheet. (Attached to a complaint, removal, petition, or inbound transfer.)
Dispositive: An action by the parties or the court that ends a case in full or in part. Because these include partial resolutions, multiple dispositive events can occur in a single docket sheet. (Attached to verdicts, findings of fact, settlements, outbound transfers, default judgments, granted motions for summary judgment or motions to dismiss, voluntary or other dismissals, remands, and/or administrative closings.)