UNITED STATES DISTRICT COURT
SOUTHERN DISTRICT OF TEXAS
HOUSTON DIVISION
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Plaintiff(s), §
V. § CIVIL ACTION NO.
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Defendant(s). §
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INITIAL DISCOVERY PROTOCOLS FOR PREMISE LIABILITY
CASES INVOLVING SLIPS, TRIPS, OR FALLS
PART 1: INTRODUCTION
In premise liability cases involving slip, trips, or falls, this court requires the parties
to use these Initial Discovery Protocols. The purpose of these Initial Discovery
Protocols is to require the exchange of the most relevant information and documents
early in the case, to assist in framing the issues to be resolved and to plan for more
efficient and targeted discovery.
These Initial Discovery Protocols supersede the parties’ obligations to make initial
disclosures under Federal Rule of Civil Procedure 26(a)(1) but do not preclude a
party from seeking additional discovery under the Federal Rules of Civil Procedure.
PART 2: DEFINITIONS AND INSTRUCTIONS
(1) Definitions.
a. Claimed Loss. “Claimed Loss” means the loss or damage that Plaintiff seeks to
recover from Defendant in this litigation.
b. Condition. “Condition” means the object, substance, or thing that caused the Event.
c. Document. “Document” and “documents” are defined to be synonymous in meaning
and equal in scope to the phrase “documents or electronically stored information”
in Federal Rule of Civil Procedure 34(a)(1)(A). A draft of a document or a
nonidentical copy is a separate document.
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d. Event. “Event” means the incident alleged to have caused the Claimed Loss.
e. Identify (Documents). When referring to documents, to “identify” means either (1)
to describe, to the extent known: (i) the type of document; (ii) the general subject
matter; (iii) the date; (iv) the author(s), according to the document; and (v) the
person(s) to whom, according to the document, the document (or a copy) was to
have been sent; or (2) to produce a copy.
f. Identify (Persons). When referring to natural persons, to “identify” means to give
the person’s: (i) full name; (ii) present or last known address and telephone number;
(iii) email address; (iv) present or last known place of employment; (v) present
or last known job title; and (vi) relationship, if any, to the parties. Once a person has
been identified in accordance with this subparagraph, only the name of that person
need be listed in response to subsequent requests to identify that person.
g. Identify (Non-Natural Persons or Entities). When referring to a corporate entity,
partnership, or other unincorporated association, to “identify” means to give the:
(i) corporate or entity name and, if known, the trade or other names under which it
has done business during the relevant time period; (ii) state of incorporation or
registration; (iii) address of its principal place of business; and (iv) primary phone
number and internet address. Once a corporate or other business entity has been
identified in accordance with this subparagraph, only the name of that entity needs
be listed in response to subsequent requests to identify that entity.
h. Relating to. “Relating to” means concerning, referring, describing, evidencing, or
constituting.
i. Premises. “Premises” means the place where the Event occurred.
(2) Instructions.
a. This Initial Discovery is to be responded to without objections (except attorney-client
and work-product privilege).
b. If a partial or incomplete answer or production is provided, the responding party must
state the reason that the answer or production is partial or incomplete.
c. This Initial Discovery is subject to Federal Rule of Civil Procedure 26(e) on
supplementation and Federal Rule of Civil Procedure 26(g) on certification of
responses.
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d. This Initial Discovery is subject to the attached Interim Protective Order unless the
parties agree or the court orders otherwise. The Interim Protective Order will remain
in place until and unless the parties agree on, or the court orders, a different protective
order.
PART 3: INFORMATION AND DOCUMENTS TO BE PRODUCED BY PLAINTIFF
(1) Timing.
Plaintiff’s responses to these Initial Discovery Protocols must be provided within
the earlier of 30 days after: (i) a responsive pleading or motion to dismiss has been
filed; or (ii) a notice of removal has been filed, unless the court orders otherwise.
(2) Information to be produced by Plaintiff.
a. Describe in detail how the Event occurred, where specifically it occurred, and when
it occurred.
b. Identify each Condition that Plaintiff contends caused the Event.
c. Does Plaintiff contend that Defendant had actual notice of the Condition? If the
answer is “yes,” please state whether Plaintiff contends that (i) Defendant created the
Condition; (ii) Defendant was made aware of the Condition before the Event; or (iii)
both.
d. If Plaintiff contends that Defendant had actual notice of the Condition before the
Event, identify: (i) each of Defendant’s employees whom Plaintiff contends had
actual notice of the Condition; (ii) how long before the Event the employee[s] had
actual notice of the Condition; and (iii) each person whom Plaintiff contends gave
Defendant actual notice of the Condition.
e. If Plaintiff contends that Defendant had constructive notice of the Condition before
the Event, identify: (i) the time period Plaintiff believes the Condition existed before
the Event; (ii) the appearance of the Condition before the Event; and (iii) the basis
for these beliefs.
f. Identify each person who: (i) was a witness to the Event; (ii) was present with
Plaintiff at the Premises when the Event occurred; or (iii) responded to the Event.
g. If Plaintiff obtained any information relating to the Event from any of Defendant’s
employees, identify: (i) each person who provided Plaintiff such information; (ii)
how long after the Event the information was provided; and (iii) generally state what
information that person told Plaintiff.
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h. Identify each medical practitioner, hospital, or other facility Plaintiff visited for
medical reasons as a result of the Event.
i. Describe the physical, mental, or emotional injuries Plaintiff sustained as a result of
the Event.
j. With regard to each bodily area injured as a result of the Event, identify whether
Plaintiff had any prior injury or pain to that bodily area. If so, identify each medical
practitioner, hospital, or other facility Plaintiff visited before the Event to receive
treatment or medication for those injuries or pain.
k. Provide a computation of each item or type of Claimed Loss.
l. If Plaintiff is claiming any loss of compensation or earning capacity as a result of the
Event, identify: (i) the date(s) between which Plaintiff was unable to work as a result
of the Event; (ii) the total amount of earnings (including benefits) that Plaintiff
contends was lost as a result of Plaintiff’s absence from work; (iii) the name and
address of Plaintiff’s employer on the date of the Event; (iv) Plaintiff’s job title and
duties on the date of the Event; (v) whether Plaintiff was a full-time or part-time
employee on the date of the Event; (vi) Plaintiff’s hourly rate if Plaintiff was paid
hourly, or Plaintiff’s annual salary if Plaintiff was salaried, on the date of the Event;
and (vii) any job, position, or other employment opportunity Plaintiff was denied or
could not apply for as a result of the Event.
m. If Plaintiff has received any money as a result of the Event (for example, in settlement
or insurance payments), identify: (i) the source of the money; (ii) the amount of
money received; and (iii) the date the money was received.
n. If, before the Event, Plaintiff sustained a personal injury for which Plaintiff sought
medical treatment due to an incident or accident that occurred on another’s property
or premises, identify: (i) the date of the incident; (ii) the location of the incident;
(iii) an explanation of how Plaintiff was injured; and (iv) an explanation of lingering
effects of that injury.
(3) Documents to be produced by Plaintiff.
a. All photographs or video recordings depicting the location of the Event, or the
substance, object, or condition that allegedly caused Plaintiff to slip, trip, or fall.
b. All documents relating to the injuries Plaintiff sustained as a result of the Event,
including: medical records, hospital records, emergency medical personnel reports,
x-rays, office notes, or other medical reports.
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c. All documents relating to the charges incurred with respect to the injuries allegedly
sustained by Plaintiff as a result of the Event, including: medical bills, hospital bills,
emergency response services bills, or medication bills.
d. Plaintiff must complete and sign the attached medical authorization to allow
Defendant to secure the medical records of all physicians and other healthcare
providers who treated Plaintiff as a result of the Event.
e. All nonprivileged written or recorded statements made by Plaintiff relating to the
Event.
f. All nonprivileged written or recorded statements made by Defendant or Defendant’s
employees relating to the Event.
g. All nonprivileged written or recorded statements made by any witness to the Event.
h. All documents exchanged between Plaintiff and Defendant relating to the Event.
i. All incident, accident, and other nonprivileged investigative reports relating to the
Event.
j. All document(s) on which Plaintiff relies to support the Claimed Loss. This includes
all documents supporting any claim for loss of wages or earning capacity.
PART 3: INFORMATION AND DOCUMENTS TO BE PRODUCED BY DEFENDANT.
(1) Timing.
Defendant’s responses to these Initial Discovery Protocols must be provided within
14 days after Plaintiff has submitted responses to these Initial Discovery Protocols.
(2) Information to be produced by Defendant.
a. Describe any investigation Defendant conducted relating to the Event, not claimed to
be protected as conducted in anticipation of litigation.
b. Identify each person who: (i) was an eye or ear witness to the Event; (ii) worked in
the area of the Event on the day of the Event; (iii) supervised those who worked in
the area on the day of the Event; or (iv) responded to the Event.
c. Identify the policies and procedures Defendant had in effect at the time of the Event
relating to slip, trip, or fall hazards.
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d. If Defendant obtained any information relating to the Event from Plaintiff, identify:
(i) each person to whom Plaintiff spoke about the Event from whom the Defendant
obtained information; and (ii) generally state what Plaintiff said. To the extent
Defendant contends that Plaintiff made any admissions against interest, describe
those admissions and when and to whom they were made.
e. On the date of the Event, did Defendant have a policy, procedure, or routine that
required the area where the Event occurred to be inspected or maintained? If the
answer is “yes,” provide (i) a general description of the policy, procedure, or routine;
(ii) the identity of each person directly responsible for the operation of the policy,
procedure, or routine on the day of the Event; and (iii) the identity of each person
responsible for the general supervision of the operation of the policy, procedure, or
routine on the day of the Event.
f. On the date of the Event, did Defendant conduct any inspection of the area of the
Event before the time of the Event? If so, identify (i) each person who made such an
inspection; and (ii) the time each inspection was made.
g. Has Defendant terminated, reprimanded, counseled, or otherwise disciplined any of
its employees as a result of the Event? If so, please describe such discipline or
counseling.
h. For any similar slip and fall or trip and fall incidents occurring within the last five
years at the Premises where the Event occurred (other than the Event), identify: (i)
the date of the incident; (ii) a brief description of the incident; and (iii) the style of
any lawsuit relating to the incident.
(3) Documents to be produced by Defendant.
a. All photographs and video recordings of the Event, or of the condition or object that
caused Plaintiff to slip, trip, or fall. This includes all photographs and video
recordings taken of the Event location one hour before and after the Event.
b. All written or recorded statements made by Plaintiff relating to the Event.
c. All written or recorded statements made by Defendant relating to the Event.
d. All written or recorded statements made by any witness to the Event.
e. All documents exchanged between Plaintiff and Defendant relating to the Event.
f. All incident, accident, and other nonprivileged investigative reports relating to the
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Event.
g. All written logs or other documentation relating to any inspection of the Event
location conducted by Defendant on the date of the Event.
h. All policies and procedures Defendant had in effect at the time of the Event: (i)
relating to slip, trip, or fall hazards; or (ii) requiring the area where the Event occurred
to be inspected or maintained.
i. All documents on which Defendant relies to support its defenses.
j. Any insurance agreement under which an insurance business may be liable to satisfy
all or part of a possible judgment in the action or to indemnify or reimburse for
payments made to satisfy the judgment.
SIGNED on this day of , .
GEORGE C. HANKS, JR.
UNITED STATES DISTRICT JUDGE
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AUTHORIZATION FOR RELEASE OF
PROTECTED HEALTH INFORMATION
Patient Information
Name: __________________________________________________________________
Date of Birth: ____________________________________________________________
Social Security Number: ___________________________________________________
Address: ________________________________________________________________
Health Care Provider Authorized to Release Information
I authorize the following persons and/or organizations to disclose my entire medical record, which
may include information concerning HIV or AIDS, mental illness, and chemical or alcohol
dependency. "Medical record" includes patient histories, patient questionnaires, intake information
sheets, office notes (except psychotherapy notes), consultations, test results, laboratory reports,
radiology studies or reports, pathology reports, x-ray reports, films, diagnostic tests, referrals,
medication records, prescription and pharmacy records, assessments, treatment plans (including
treatments prescribed, performed, or recommended), diagnosis or prognosis information, periods of
stays or hospitalization, discharge summaries and instructions, progress notes, billing and payment
records, insurance records, correspondence, records sent to you by other health care providers,
computer data or compilations or reports, and all other forms or documents.
Name: ________________________________________________________________________
Address: ______________________________________________________________________
Name: ________________________________________________________________________
Address: ______________________________________________________________________
Name: ________________________________________________________________________
Address: ______________________________________________________________________
Name: ________________________________________________________________________
Address: ______________________________________________________________________
Authorized Recipient of Medical Records
I authorize the following person and/or organization to receive the health information described
above:
Name: ________________________________________________________________________
Address: ______________________________________________________________________
THIS AUTHORIZATION DOES NOT AUTHORIZE YOU TO DISCLOSE MY MEDICAL
RECORDS TO ANYONE OTHER THAN THE AUTHORIZED RECIPIENT SPECIFIED
ABOVE.
Reason for Release of Information
The release of this information is made at the request of the undersigned due to a pending lawsuit in
which the individual’s medical condition is at issue.
Expiration of Authorization
This authorization shall remain in effect for one year from the date listed below
Patient Certification and Acknowledgment of Understanding
In accordance with the Privacy Rule of the Health Insurance Portability and Accountability Act of
1996 (HIPAA), I request that health information regarding my care and treatment be released as set
forth on this form. I certify that I am the patient, and the identification that I have provided is true and
correct.
________________________________________
Signature of Patient
________________________________________
Date of Signature
