Civil Procedure – Capsule Outline Professor Vaughns Spring 2002 Angie Zagami I. Subject Matter Jurisdiction – involves a court’s authority to rule on a particular type of case [NOT waivable – the defendant can bring it at any time] A. Diversity Jurisdiction 1. Article III §2 authorizes diversity jurisdiction to provide a forum for persons who might be victims of local prejudice 2. §1332 – complete diversity a. diversity is determined by a person’s domicile b. a corporation is a citizen of every state it is incorporated and the state of its principal place of business c. in class actions, only citizenship of the named defendants is considered d. diversity need only exist at the commencement of the action 3. the amount in controversy must exceed $75,000 a. Legal Certainty Test – the amount claimed by plaintiff is determinative unless defendant shows to a legal certainty that the minimum cannot be met b. Aggregation of claims – separate claims can be aggregated to satisfy the requirement in the following situations i. all claims of a single plaintiff against a single defendant, even if the claims are unrelated ii. the claims of a single plaintiff against several defendants only if all defendants are jointly liable iii. claims of several plaintiffs against one defendant only if plaintiffs have a common undivided ownership interest in the claims iv. counterclaims cannot generally be aggregated B. Federal Question 1. Article III §2 extends the federal judicial power to cases arising under the constitution, the laws of the U.S., and treaties, cases affecting ambassadors, consuls, etc; admiralty cases; and cases to which the U.S. is a party. 2. § 1331 – The district court shall have original jurisdiction of all civil actions arising under the Constitution, laws, or treaties of the U.S. 3. Well – Pleaded Complaint Rule – the federal question must appear in the properly pleaded allegation in the complaint. If the federal law did not create the claim sued upon, this means the federal issue must be a required element of the state law claim a. anticipation on a defense based on a federal question is insufficient II. Supplemental Jurisdiction – where jurisdiction is proper, federal courts have jurisdiction over all jurisdiction over all issues in the case, not just the federal question A. In determining whether supplemental jurisdiction is proper, the Court will ask whether, 1. the federal claim is sufficiently substantial; 2. the federal and nonfederal claims arise from a common nucleus of operative facts 3. the federal and nonfederal claims are such that they would ordinarily be tried in one judicial proceeding B. § 1367 (b) When subject matter is based soley on diversity, there is no supplemental jurisdiction over claims under 1. Rule 14 (impleader) 2. Rule 19 (necessary party joinder)
3. Rule 24 (intervention) 4. Rules 19 – 24 (joinder) C. A federal court can decline to exercise supplemental jurisdiction where 1. a novel or complex issue of state law involved 2. the nonfederal claim predominates 3. all original jurisdictional claims are dismissed 4. in other extraordinary circumstances III. Personal Jurisdiction – territorial jurisdiction is a state’s power to hear a case and enforce its judgment A. Types of Jurisdiction 1. In Personum Jurisdiction – on the person 2. In Rem Jurisdiction – on all possible claims in a specific piece of property 3. Quasi In Rem Jurisdiction – on property B. Minimum Contacts – International Shoe generated a two stage approach to jurisdiction problems, looking first to whether the defendant purposefully availed himself to the privilege of conducting business in that forum and then at the reasonableness of permitting jurisdiction 1. Presence – the Court is split (Scalia says presence is enough/ O’Connor says you need minimum contacts and purposeful availment) 2. Defendant’s conduct should reasonably anticipate being hauled into court there 3. Fair play and substantial justice (reasonableness) a. state’s interest b. relative burdens on the parties c. nature of defendant’s activities in the forum d. the avoidance of multiple suits C. Long Arm Statutes 1. Specific v. General D. Stream of Commerce E. Notice – due process requires that reasonable effects to provide notice be made with regard to persons whose interests are to be determined. Notice must inform defendant of the nature and place of the proceeding 1. Service of Process – may be made by person, mail, or by leaving at a person’s home of reasonable age and suitability F. Collateral Attack – when defendant ignores the suit, he may assert the claim later G. Direct Attack – Special Appearance before the Court IV. Venue A. venue is a statutory limitation on the geographic location of litigation to prevent a plaintiff from suing where it would be burdensome for the defendant to appear and defend B. Transfer may be allowed when 1. If venue or jurisdiction is improper 2. a court generally will respect plaintiff’s choice of forum, but may, for the convenience of the parties and witnesses, transfer a case to another district where it might have been brought. C. Forum non Conveniens – Even if jurisdiction and venue are proper, a court may decline to exercise jurisdiction if the venue by the plaintiff is grossly inconvenient.
V. Erie Doctrine – Look in Outline A. Rules of Decision Act – the laws of the states are the rules to be followed on substantive issues B. Rules of Enabling Act – Congress creates the FRCP to be followed over procedural matters C. Two Stage Analysis 1. Conflict determination stage – it should be first determined whether there is any direct conflict between the federal and state rules 2. Conflict Resolution Stage – if a true conflict is found, the source of the federal rule should be considered D. In diversity cases requiring application on state law, the court will apply the law of the state in which it sits, including that state’s choice of law rules E. Two Pillars of Erie 1. eliminate discrimination in favor of out-of-staters because an in-state plaintiff has no choice of where to bring a claim 2. eliminate forum shopping by making possible the application of different state laws in a diversity suit, depending on plaintiff’s residence, her choice of forum, and that forum’s choice of law rules F. Outcome determination test – will the application of federal law instead of the state law significantly affect the outcome of the litigation VI. Pleadings – complaint and answer documents containing the factual allegations that each party is required to communicate before trial. A. Rule 11 – governs all papers filed (stop think investigate and research) B. Rule 8 – substance of the complaint – short and simple C. Rule 9 – special pleading matter (fraud or malice) D. Burdens 1. Production – plaintiff 2. Persuasion – plaintiff, clear and convincing 3. Dismissal – defendant VII. Answer A. Pre Answer Motion – 12(a)(4)(b) B. Defenses – 12(b) 1-7 C. Affirmative Defenses – 8(c) D. Counterclaim/ Crossclaim – 13(a),(b) E. Amendments – 15 1. Relation back doctrine VIII. Discovery – anything relevant or reasonably calculated to lead to admissible evidence (the goal is that both sides gather information about both sides claims and defenses) A. Unilateral – 26(a) B. Expert – 26(a)(2) C. Adversarial – 16 IX. Summary Judgment A. may be granted if there are no genuine issues of material fact “Delayed Motion for Summary Judgment” B. Judgment as a Matter of Law 1. Defendant may assert after Plaintiff presents his case
2. Defendant and Plaintiff may assert after Defendant presents his case C. Renewed Judgment as a Matter of Law 1. May be asserted only if they asserted it after Defendant’s case X. Trial A. Jury Selection B. Opening Statement C. Presentation of Evidence D. Post Trial Relief XI. Appeals – independent appellate review of legal issues best serves the dual goals of doctrinal coherence and economy of judicial administration A. Final Judgment Rule B. Collateral Orders C. Interlocutory Appeals D. Clearly Erroneous Standard XII. Prior Adjudication A. Claim Preclusion (Res Judicata) – a final judgment on a claim or cause of action precludes reassertion of that claim or cause of action in a subsequent suit B. Issue Preclusion (estoppel) – a decision regarding an issue of fact may be binding in later litigation between the same parties or sometimes against a prior party (but usually not against a prior nonparty) 1. Mutuality – when someone can take advantage XIII. Joinders A. Compulsory Joinder – 19(a) – any person with an interest in the subject matter of pending action shall be joined as a party under certain circumstances B. Permissive Joinder – 20(a) - parties may join for certain reasons C. Impleader – 14 – “Third Party Defendant” allows a defendant to join the third party in the main lawsuit, and it extends to any type of indemnification or contribution relationship 1. Must check to make sure it has subject matter jurisdiction D. Intervention – 24 – a non party, upon timely application, may become a party in a lawsuit in order to protect her interests in that action 1. supplemental jurisdiction does not usually work under diversity E. Interpleader – Rule 22 v. Statutory Interpleader – join all adverse claims into one F. Class Actions – 23 – members of a class can be sued with a binding effect on the class as a whole 1. Rule 23 (a) asserts requirements for class actions XIV. ADR A. Settlement B. Arbitration C. Mediation D. Supplemental 1. Mini-trial, rent a judge . . .
Rules Rule 3 – A civil action is commenced by filing a complaint with the court Rule 4 – Summons (Service of Process) Rule 4 (a) – contents of the Summons Rule 4 (c)(1) – What documents must be served Rule 4 (c)(2) – Who must serve the Summons Rule 4 (d) - Waiver Rule 4 (e) – (j) – how the Summons must be served Rule 4 (m) – When it must be served Rule 4(k) – Provides that service of process is effective to establish jurisdiction over the person of a defendant in four circumstances (1) if the courts in the state would allow it (2) impleaded parties within 100 miles of the courthouse (3) parties subject to interpleader jurisdiction (4) in federal question cases over parties who have sufficient contact with the United States as a whole, but no particular state Rule 8 – General Rules of Pleading Rule 9 – Pleading Special Matters Rule 11 – Signing of Pleadings, Motions and other Papers; Representations to the Court; Sanctions Rule 12 – Defenses Rule 12 (b)(1)-(7) defenses Rule 12 (g) – (h) – objections to Personal Jurisdiction, Venue, the Form of Process and the Method of Service of Process must be made in the pre-answer motion or motion (whichever comes first) Rule 13 – Counterclaim and Cross-Claim Rule 13(a) – compulsory Rule 13 (b) – permissive joinder allows counterclaims to be brought even though it arises from a transaction unrelated to the main claim Rule 13 (g) – limits cross-claims to those arising out of the same transaction or occurrence as the main claim Rule 14 – Third Party Practice Rule 15 – Amended and Supplemental Pleading Rule 15 (c) - relation back doctrine Rule 15 (d) - supplemental pleading Rule 16 – Pretrial Conference; Scheduling; Management Rule 19 – Joinder of Persons Rule 18 – Joinder of Claims
Rule 18 (a) – authorizes a single plaintiff to join any claims she has against an opposing party regardless of whether they arise from a single transaction or occurence Rule 20 – Permissive Joinder of Parties Rule 20 (a) – governs joinder of multiple defendants, and only authorizes joinder if the plaintiff’s claims against both defendants arise out of the same transaction or occurrence Rule 21 – Mis-Joinder and Non-Joinder of Parties Rule 22 – Interpleader Rule23 – Class Action Rule 24 – Intervention Rule 24 (a) – as of right Rule 24 (b) – permissive Rule 26 – Discovery Rule 30 – Depositions and Oral Examination Rule 33 – Interrogatories to Parties Rule 34 – Production of Documents Rule 35 – Mental and Physical Examination Rule 36 – Request for Admission Rule 37 – Failure to make disclosure or cooperate in discovery Rule 37 (b) (2) – list of sanctions Rule 41 – Dismissal of Action Rule 41 (b) – Involuntary Dismissal (Failure to do something – the court has a sua sponte power Rule 45 – Subpoena Rule 50 – Judgment as a Matter of Law (Directed Verdict) Rule 52 – Judgment on Partial Findings Rule 54 – Judgments Rule 56 – Summary Judgment Rule 57 – Declaratory Judgment Rule 59 – New Trial
Rule 60 – Relief from Judgment or Order §1291 – Final Decisions of District Courts §1292 – Interlocutory Decisions § 1331 – Federal Question §1332 – Diversity Jurisdiction §1335 – Interpleader §1367 – Supplemental Jurisdiction §1391 – Venue Generally §1404 – Change of Venue §1406 – Cure or Waiver of Defect (When venue is improper) §1441 – Actions Removable Generally §1445 – Nonremovable actors §1651 - Writs