Claim and Issue Preclusion Flashcards
CLAIM AND ISSUE PRECLUSION - BASIC IDEA
The question is whether a judgment already entered (Case 1) precludes litigation of any matters in another case (Case 2).
If Case 1 and Case 2 are in different judicial systems (for example, state and federal courts or courts in different U.S. states), the court in Case 2 applies the preclusion law of the judicial system that decided Case 1.
what is CLAIM PRECLUSIOn // RES JUDICATA?
Claim preclusion is that a claimant may sue only ONCE to vindicate a CLAIM - so they only get one case in which to seek recovery for all rights to relief for that claim
what are the requirements of claim preclusion?
for a claim to be barred or precluded from a second case, 3 elements must be met:
1) same claiming suing the same defendant (case 1 had the same claiming against the same defendant)
2) valid, final judgment on the merits (case 1 must have ended in a valid final judgment ON THE MERITS)
3) Case 1 and Case 2 must be the “SAME CLAIM”
when is a judgment “valid and final judgment on the merits?
Unless the court said the judgment was “without prejudice” when entered, any judgment is “on the merits” unless it was based on:
a) a lack of jurisdiction (both personal and subject matter),
b) improper venue, or
c) a failure to join an indispensable party.
This is true even if there was no adjudication in Case 1.
3) Case 1 and Case 2 must be the “SAME CLAIM”
Case 1 and Case 2 must assert the “same claim.”
The majority view (including federal law) is that a claim is any right to relief arising from a transaction or occurrence.
minority view, “primary rights doctrine. –> there are separate claims for property damage and for personal injuries that arise in a single event. (The theory is that property damage and personal injury invade different rights. (One to be free from personal injury and one to be free from property damage.)
3) Case 1 and Case 2 must be the “SAME CLAIM”
Case 1 and Case 2 must assert the “same claim.”
The majority view (including federal law) is that a claim is any right to relief arising from a transaction or occurrence. But there is one minority view,
the so-called “primary rights doctrine.” Under this view, there are separate claims for property damage and for personal injuries that arise in a single event. The theory is that property damage and personal injury invade different rights. (One to be free from personal injury and one to be free from property damage.)
EXAMPLES
what is issue preclusion (collateral estoppel)?
Issue preclusion is narrower than claim preclusion.
Here, an issue was litigated in Case 1. The same issue is then presented in Case 2.
But if issue preclusion applies, the issue cannot be relitigated in Case 2. It is deemed established in Case 2, thereby streamlining the scope of litigation in Case 2. There are five requirements for issue preclusion.
what are the 5 requirements for issue preclusion to be satisfied?
1) case 1 ended in valid, final judgment on the merits
2) same issue actually litigated and determined in Case 1
3) issue was essential to judgment in case 1
4) against whom is preclusion used (due process factor) – is issue preclusion being asserted AGAINST someone who was a party to case 1?
5) by whom is preclusion used? (mutuality rules
– nonmetal defensive – is it being asserted BY someone who was not a party to case 1??
– nonmutual offensive
1) case 1 ended in valid, final judgment on the merits
Unless the court said the judgment was “without prejudice” when entered, any judgment is “on the merits” unless it was based on:
a) a lack of jurisdiction (both personal and subject matter),
b) improper venue, or
c) a failure to join an indispensable party.
This is true even if there was no adjudication in Case 1.
2) same issue actually litigated and determined in Case 1
The issue must actually have been litigated in Case 1.
3) issue was essential to judgment in case 1
The issue must have been essential to the judgment in Case 1.
what does “essential to the judgment” mean?
“Essential to the judgment” means that the finding on the issue is the basis for the judgment.
4) against whom is preclusion used (due process factor)
Issue preclusion can be used only against somebody who was a party to Case 1 or in “PRIVITY” with a party.
“Privity” means that a party to Case 1 represented someone who was not a party to Case 1. (For example, a class action binds all members of the class even though not all class members are parties to the action. They were represented by the class rep.)
The requirement that the person against whom issue preclusion is being asserted be a party (or in privity) is a principle of due process; every person generally is entitled to a day in court before her property is taken or her rights are affected.
5) by whom is preclusion used? (mutuality rules)
Every court agrees that issue preclusion can be used by someone who was a party to Case 1 (or in privity with a party).
The big question is whether it can be used by someone who was not a party to Case 1 (or in privity with a party).
When someone who was not a party to Case 1 tries to use issue preclusion in Case 2, it is called “nonmutual” issue preclusion.
what is “nonmetal issue preclusion”?
When someone who was not a party to Case 1 tries to use issue preclusion in Case 2, it is called “nonmutual” issue preclusion.
there are 2 types;
a) nonmutual DEFENSIVE issue preclusion
b) nonmutual OFFENSIVE issue preclusion
