Appeals and Preclusion Flashcards
What is the deadline to file a notice of appeal?
Within 30 days of the final judgment or order being appealed (60 days if party is United States or federal agency).
FRCP 4(a).
Which courts can hear appeals from the district courts?
Federal courts of appeal
Define final judgment rule
Appeals courts can only hear cases with a final judgment on the merits of the whole case (i.e. there is nothing left for the court to address). Exception: Can hear cases without final judgment if there is a basis for an interlocutory appeal.
Define interlocutory orders
Orders issued during litigation that are not final.
28 USC § 1292.
What are interlocutory appeals?
Appeal of an interlocutory order. Rarely granted, because interlocutory orders are not final. Some interlocutory orders are appealable as a matter of right (e.g. denial of class certification), while others are only appealable pursuant to analysis under the collateral order doctrine.
28 USC § 1292.
What interlocutory orders are appealable as a matter of right?
Injunctive orders, Orders appointing or refusing to appoint a receiver, Orders directing the sale or disposal of property, Patent order that is final except for accounting, Order denying arbitration.
28 USC § 1292.
Can a district court order an interlocutory appeal?
Yes, the judge may do so in a written order stating: Order being appealed involves a controlling question of law; There is a substantial ground for difference of opinion; and Decision on the appeal could help bring about the end of litigation.
28 USC § 1292(b).
What three conditions must be met for the collateral-order doctrine to permit an interlocutory appeal?
If the order: Conclusively determines the disputed question; Resolves an important issue that is completely separate from the merits; and Is effectively unreviewable on appeal from a final judgment.
When are class certifications appealable?
Within 14 days following the district court’s decision to grant or deny certification.
FRCP 23(f).
What is a writ of mandamus?
Gives appeals court authority to review lower court decisions for abuse of judicial authority. Granted if: Petitioner has a clear and indisputable right to relief; No alternative route to desired relief exists; and Writ is proper under the circumstances.
List the standards of review used by appellate courts.
De novo (legal rulings), Clearly erroneous (factual findings), Abuse of discretion (discretionary rulings), Plain error (an error that the parties did not preserve by objecting to it at the time it occurred).
Define: de novo review
When the appeals court reviews the trial court’s findings ‘from the new’ or without deference. Allows appeals court to reach an independent conclusion as to the correct legal interpretation.
What is the standard of review for findings of fact?
Clearly erroneous: appeals court cannot overturn a district court’s findings of fact unless clearly erroneous.
When is a finding of fact clearly erroneous?
When, in light of all the evidence in the record, the appeals court has a ‘definite and firm conviction that a mistake has been committed.’
What is the standard of review for discretionary rulings (evidence admissibility, etc)?
Abuse of discretion: Did the district court abuse its discretion in making the ruling?
What is the standard of review for jury verdicts?
Against the weight of evidence.
When does an appellate court use the plain error standard?
When an error was not preserved (i.e. objected to) by the appealing party, but is so patently obvious and substantial that the appellate court must address it.
If a post-trial motion has been filed and the court denies the motion, when must the appellant file a notice of appeal?
30 days from the denial.
Define doctrine of claim preclusion (res judicata)
Prohibits relitigating the same claim once a final judgment on the merits has been issued.
In the pleading stage, when must claim preclusion be raised as a defense?
Since claim preclusion is an affirmative defense, it must be raised in D’s answer or else it is considered waived.
What are the required elements of claim preclusion?
A valid final judgment on the merits; Same parties (same P against same D); and Same claims (arising out of same transaction or occurrence).
What is a valid final judgment on the merits?
Court had valid SMJ, PJ, & venue; Judgment was final; and Judgment was made on the merits.
What are examples of valid final judgments on merits?
Decision after full adjudication, Default judgment if court had valid PJ & SJ, Judgment as a matter of law, Summary judgment.
What factors determine whether claims are sufficiently related for the purposes of claim preclusion (res judicata)?
Whether facts are related in time, space, origin, or motivation; Whether they form a convenient trial unit; and Whether their treatment as a unit conforms to the parties’ expectations.
Does claim preclusion bar a party from bringing the claim again if the claim is voluntarily dismissed?
No, because unless otherwise specified, voluntary dismissals are not ‘on the merits.’
Does claim preclusion bar a party from bringing the claim again if the claim was involuntarily dismissed?
Yes, because unless otherwise specified, involuntary dismissals are ‘on the merits.’
If a case is dismissed for lack of SMJ, PJ, or venue, or indispensable parties under Rule 19, is the judgment on the merits?
No, does not count as adjudication on the merits; claim can be relitigated.
What is issue preclusion (‘collateral estoppel’)?
Prohibits relitigation of issues of fact or law that have been previously determined.
What are the requirements of issue preclusion?
Same issue was actually litigated and determined; Issue was essential to the judgment; Valid final judgment on the merits; Party against whom preclusion is asserted must have had a full and fair opportunity to litigate the issue in the first suit.
What is non-mutual issue preclusion (‘collateral estoppel’)?
When an individual who was not a party to the original action becomes involved in a suit.
What is non-mutual defensive collateral estoppel and when is it allowed?
When a new D seeks to assert a final judgment decided in a prior suit against P. Only allowed if P had a full chance to litigate the issue previously.
What is non-mutual offensive collateral estoppel?
P tries to prohibit D from relitigating issue D previously lost against another P.
What factors do courts balance when deciding whether to allow non-mutual offensive collateral estoppel?
Did prior party have a full incentive & opportunity to litigate? Are there multiple, prior inconsistent judgments? Could the party trying to invoke collateral estoppel have participated in the prior action? Are there any procedural opportunities available to D that were not available in the first suit?
