Appeals & Preclusion

Question 1

What is the deadline to file a notice of appeal?

Answer 1

Within 30 days of the final judgment or order being appealed (60 days if party is United States or federal agency).

FRCP 4(a).

Question 2

Which courts can hear appeals from the district courts?

Answer 2

Federal courts of appeal

Question 3

Define

final judgment rule

Answer 3

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.

Question 4

Define

interlocutory orders

Answer 4

Orders issued during litigation that are not final.

28 USC § 1292.

Question 5

interlocutory appeals

Answer 5

Appeal of an interlocutory order.

⚠️ Rarely granted, because interlocutory orders are not final. Some interloctory orders are appealable as a matter of right (e.g. denial of class certification), while others are only appealeable pursuant to analysis under the collateral order doctrine.

28 USC § 1292

Question 6

What interlocutory orders are appealable as a matter of right?

Answer 6

• 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 (9 USC § 16)

28 USC § 1292

Question 7

Can a district court order an interlocutory appeal?

Answer 7

Yes, the judge may do so in a written order stating:

1. Order being appealed involves a controlling question of law;
2. There is a substantial ground for difference of opinion; and
3. Decision on the appeal could help bring about the end of litigation

28 USC § 1292(b)

Question 8

The collateral-order doctrine permits a party to appeal an interlocutory order if what three conditions are met?

Answer 8

If the order:

1. Conclusively determines the disputed question;
2. Resolves an important issue that is completely separate from the merits; and
3. Is effectively unreviewable on appeal from a final judgment

⚠️ Note: Collateral order doctrine is extremely narrow and rare; has only been applied to cases involving immunity and double jeopardy.

See more: Collateral Order Doctrine

Question 9

When are class certifications appealable?

Answer 9

Within 14 days following the district court’s decision to grant or deny certification.

⚠️ Note: Court of appeals has discretion whether or not to grant the appeal.

FRCP 23(f)

Question 10

What is a writ of mandamus?

Answer 10

Gives appeals court authority to review lower court decisions for abuse of judicial authority. Granted if:

1. Petitioner has a clear and indisputable right to relief;
2. No alternative route to desired relief exists; and
3. Writ is proper under the circumstances

⚠️ Note: this is an “extraordinary” measure that is extremely rare.

Question 11

List the standards of review used by appellate courts

Answer 11

1. De novo (legal rulings)
2. Clearly erroneous (factual findings)
3. Abuse of discretion (discretionary rulings)
4. Plain error (an error that the parties did not preserve by objecting to it at the time it occurred)

Question 12

Define:

de novo review

Answer 12

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.

Question 13

What is the standard of review for findings of fact?

Answer 13

Clearly erroneous: appeals court cannot overturn a district court’s findings of fact unless clearly erroneous.

Question 14

When is a finding of fact clearly erroneous?

Answer 14

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.”

Question 15

What is the standard of review for discretionary rulings (evidence admissibility, etc)?

Answer 15

Abuse of discretion: Did the district court abuse its discretion in making the ruling?

⚠️ Note: Standard has many different formulations, but usually is rather deferential to the district court.

Question 16

What is the standard of review for jury verdicts?

Answer 16

Against the weight of evidence.

Question 17

When does an appellate court use the plain error standard?

Answer 17

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.

⚠️ Note: “Clear error” is used to review factual findings, while “plain error” is used when parties fail to object. Both standards are difficult for an appealing party to overcome.

Question 18

If a post-trial motion has been filed and the court denies the motion, when must the appellant file a notice of appeal?

Answer 18

30 days from the denial.

Question 19

If a motion for a new trial is filed, when does time for giving notice of appeal begin to run?

Answer 19

From the entry of the order denying the new trial.

Question 20

Define

doctrine of claim preclusion (res judicata)

Answer 20

Prohibits relitigating the same claim once a final judgment on the merits has been issued.

Question 21

In the pleading stage, when must claim preclusion be raised as a defense?

Answer 21

Since claim preclusion is an affirmative defense, it must be raised in D’s answer or else it is considered waived.

Question 22

What are the required elements of claim preclusion?

Answer 22

1. A valid final judgment on the merits;
2. Same parties (same P against same D); and
3. Same claims (arising out of same transaction or occurence)

Question 23

What is a valid final judgment on the merits?

Answer 23

1. Court had valid SMJ, PJ, & venue;
2. Judgment was final; and
3. Judgment was made on the merits

Question 24

What are examples of valid final judgments on merits?

Answer 24

• Decision after full adjudication
• Default judgment if court had valid PJ & SJ
• Judgment as a matter of law
• Summary judgment

Question 25

What factors determine whether claims are sufficiently related for the purposes of claim preclusion (res judicata)?

Answer 25

• 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

Question 26

Does claim preclusion bar a party from bringing the claim again if the claim is voluntarily dismissed?

Answer 26

No, because unless otherwise specified, voluntary dismissals are not “on the merits”

Question 27

Does claim preclusion bar a party from bringing the claim again if the claim was involuntarily dismissed?

Answer 27

Yes, because unless otherwise specified, involuntary dismissals are “on the merits.”

⚠️ Note: Party can however, refile claim in state court, just not federal court.

Question 28

If a case is dimissed for lack of SMJ, PJ, or venue, or indispensible parties under Rule 19, is the judgment on the merits?

Answer 28

No, does not count as adjudication on the merits → claim can be relitigated.

Question 29

What is issue preclusion (“collateral estoppel”)?

Answer 29

Prohibits relitigation of issues of fact or law that have been previously determined.

⚠️ Note: Much narrower than claim preclusion (which bars whole claim, not just the issue).

Question 30

What are the requirements of issue preclusion?

Answer 30

1. Same issue was actually litigated and determined;
2. Issue was essential to the judgment (ie if decided on in the opposite way it would change the result of the case);
3. Valid final judgment on the merits;
4. Party against whom preclusion is asserted must have had a full and fair opportunity to litigate the issue in the first suit

Question 31

What is non-mutual issue preclusion (“collateral estoppel”)?

Answer 31

When an individual who was not a party to the original action (a new party) becomes involved in a suit.

Either:

1. The new party requests that a final judgment against a previous party be enforced; or
2. The previous party attempts to prevent the new party from litigating an issue that the previous party already lost to another, previous party.

Question 32

What is non-mutual defensive collateral estoppel and when is it allowed?

Answer 32

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.

Question 33

What is non-mutual offensive collateral estoppel?

Answer 33

P tries to prohibit D from relitigating issue D previously lost against another P.

⚠️ Note: Rarely granted

Question 34

What factors do courts balance when deciding whether to allow non-mutual offensive collateral estoppel?

Answer 34

1. Did prior party have a full incentive & opportunity to litigate?
2. Are there multiple, prior inconsistent judgments?
3. Could the party trying to invoke collateral estoppel have participated in the prior action?
4. Are there any procedural opportunities available to D that were not available in the first suit?