Federal Civil Procedure Flashcards
Jdx –> Federal SMJ: 4 Types and Application
SMJ: Power of ct over a particular case.
- —–> Federal DCs have limited SMJ
- —–> Nothing to do w/ geographic location of lawsuit.
4 Main Types of SMJ:
(1) Federal Question
- —> Face of P’s complaint pleads a violation or question of fed law.
(2) Diversity
- —> Action involves parties who are citizens of diff states.
- —> Amount in controversy greater than 75k
(3) Supplemental
- —> Claim arises out of the same case/controversy as claim giving rise to original SMJ.
(4) Removal
Jdx –> Federal SMJ: Federal Question Jdx (+ well pleaded complaint rule + fed question inside state law claims)
Federal courts are empowered to hear claims presenting a question of federal law.
——> Federal law includes the federal Constitution, federal statutes and treaties, and federal common law.
Well-Pleaded Complaint Rule
——> A question of federal law must arise in the plaintiff’s affirmative claim, regardless of any defense the defendant might raise.
Federal Question Inside State Law Claims
- —-> A court can assert jurisdiction over a state law claim that raises a federal issue if the FQ is (main claim, main thing lawsuit is about):
(1) Necessarily raised;
(2) Actually disputed;
(3) Substantial; and
(4) Capable of resolution in federal court without disrupting the federal-state balance approved by Congress.
Jdx –> Federal SMJ: Diversity Jdx (generally + exception + determining citizenship - 4 Scenarios)
Fed cts have jdx over actions between citizens of different states where the amount in controversy is greater than $75,000.
——> Diversity must be “complete” (no P and no D are citizens of the same state).
EXAM TIP: The easiest way to figure this out is to make a list of the citizenship of every plaintiff and every defendant and then see whether any state is on both sides of the “v.”
Exception
Class Actions where more than 100 persons and $5.
——> Diversity need only be minimal (a single P is diverse from a single D).
Jdx –> Federal SMJ: Supplemental Jdx (def + 3 steps)
SJ allows a claim falling outside Fed Ques or Diversity jdx to “piggyback” onto a claim that does fall w/in FQ or Diversity.
3 Steps
Step 1: Determine Relatedness
—> Does claim 2 (piggyback claim) arise from same transaction/occurrence as the one w/ FQ of Diversity (anchor claim)?
Step 2: Sneaky Ps Where Anchor Claim is Based on Diversity Jdx
- –> A sneaky P is trying to circumvent the limitations on diversity jdx.
- –> Is the anchor claim FQ? (If yes, step 3; If no, anchor claim is based on diversity)
- ———–> Need to determine how potential piggyback claim is being brought into the suit.
- ———–> If the piggyback claim is brought in by the plaintiff against a defendant joined under Rules 14, 19, 20 or 24, then the plaintiff is trying to sneak the claim in.
- ———–> SJ is not available for these claims.
- ———–> If the plaintiff did not do that (or if the defendant brought in the claims), advance to step 3.
Step 3: Consider State Prerogatives
- –> Steps 1 and 2 are satisfied, but is there a good reason for the court to decline to exercise jdx anyway? If yes, the court may decline; possible reasons:
(1) Involves novel or complex issue of state law;
(2) Claim “substantially dominates” over FQ or diversity;
(3) Anchor claim was dismissed; or
(4) Other compelling reasons.
Jdx –> Federal SMJ: Concurrent Jdx
A fed ct has concurrent jdx over a particular case if the case could also have been brought in state court.
—-> When a ct has concurrent jdx to hear case, both state and fed laws or policies may apply, resulting in a conflict of laws.
Jdx –> Federal SMJ: Removal from State Ct to Fed Ct (when + exception + timing)
A D can remove a case from state to fed ct if the case could have originally been filed in fed ct.
- -> Note: counterclaims, cross-claims, and impleader claims are not suff (on their own) to permit removal.
- –> If there are multiple Ds, removal allowed only if ALL Ds agree to remove.
Exception: Home-State D Rule
- –> D can’t remove if:
(1) Fed jdx would be grounded only in diversity jdx; and
(2) The D is a citizen of the state where the P filed suit.
Timing
- –> D must remove w/in 30 days of when grounds become apparent.
- –> Normally when the D is served w/ complaint (but can be later); if P amends complaint, then D has 30 days from that point.
- –> If P sues MULT Ds and serves them w/ process at different times, 30 day window for removal runs from moment final D served
- ———-> later service on other Ds does NOT (however) empower the first-served D to remove of its own accord; the first D may only join in a removal initiated by a later-served D.
- –> If removal based on DIVERSITY, D must remove w/in one year of filing unless the P attempted to thwart removal.
Jdx –> Federal SMJ: Dismissal
The ct must dismiss an action if it determines that it does not have SMJ over the case.
—> Lack of SMJ may not be waived by the parties.
Jdx –> Territorial Jdx
Territorial jdx is the authority of a ct to bind a party to the action.
How to Est
(1) Fed ct has TJ over state in which federal district is located.
(2) Fed statute creates a particular CoA may provide that fed cts have nationwide jdx.
(3) Fed ct may exercise jdx over D outside state where ct is located if D is joined under Rule 14/19 and is served w/in a US judicial district not more than 100 miles from where summons was issued (100 mile bulge rule).
Jdx –> Personal Jdx: Generally
PJ = Power of ct over particular party.
—> PJ must be est’d separately for each D.
To determine whether a fed ct has PJ over a party, need to analyze two bodies of law:
(1) PJ law of state in which fed ct sits; and
(2) PJ law w/in the USC
2 Steps
(1) Look at state law
(2) Constitutional considerations
Jdx –> Personal Jdx: Long-Arm Statute (Step 1 of PJ Analysis)
Could a state court in that state assert PJ over that party?
- –> Yes – federal court can assert PJ (subject to constitutional considerations).
- –> No – state court cannot, federal court cannot assert PJ either.
Jdx –> Personal Jdx: Constitutional Considerations - Generally (Step 2 of PJ Analysis) (+ memory device)
State law must be constitutional under the Due Process Clause (DP) of the 14th Amendment. A state law is constitutional if it authorizes PJ in one of five circumstances:
- Memory Device: pj Rarely Causes Severe Mental Anguish
- Residency
- Consent
- Service
- Min Contacts
- At Home General Jdx
Jdx –> Personal Jdx: Constitutional Considerations - Residency
If a party is a resident (domiciled) in the state where the suit was filed, PJ is constitutional.
- –> Human beings reside in the states where they live.
- –> A corporation is a resident of the state(s) where it is incorporated and where it has its principal place of business (= headquartered).
- –> Other entities are residents of the state where they maintain headquarters or their principal place of business.
Jdx –> Personal Jdx: Constitutional Considerations - Consent
A party can consent to PJ over it (3 ways)
- –> Contract: If the defendant signed a contract with a choice-of-forum clause = consent.
- –> Appointment: Some states require businesses to appoint agents located in the state to receive process = consent. Courts are split on whether this is a sufficient basis for PJ.
- –> Rule 12 Motion: A party appears in court without objecting to PJ (must object to PJ in initial filing).
Jdx –> Personal Jdx: Constitutional Considerations - Service
Human defendant is served with process while in the state where the suit was filed (tag).
—> Not constitutional if the plaintiff coaxed the defendant into the state under false pretenses OR the defendant was in the state to participate in a different legal proceeding.
Jdx –> Personal Jdx: Constitutional Considerations - Minimum Contacts
Three-part test (need all 3):
(1) The defendant has established a minimum contact with the forum state;
- –> Established if the defendant causes harm in the state, does business, or has an interest in real property in the state (must be purposefully established).
(2) Claim against the defendant arises from that contact; and
- –> A lawsuit “arises from” the defendant’s contacts if the contacts played a role in causing the lawsuit.
(3) PJ won’t offend traditional notions of fair play + substantial justice.
- –> Fair Play factors:
- Burden on the defendant
- Forum state interests
- Plaintiff’s interest in obtaining relief
- Interstate judicial system’s interest in efficient resolution of controversies
- Shared interest of states in furthering fundamental social polices
Jdx –> Personal Jdx: Constitutional Considerations - Substantial Business (At Home General Jdx)
Very high bar to clear (extremely rare)
—-> Parties are subject to “at home” general jurisdiction where contacts are so substantial that they are “essentially at home.”
Jdx –> Personal Jdx: In Rem Jdx
D has property in the forum state and the lawsuit is about that property.
—> Then, IRJ over D.
Jdx –> Personal Jdx: Quasi In Rem Jdx
P is suing D and D has property in forum state and P is attaching that property to satisfy the judgment in case D can’t pay, but that property is not what the suit is about.
—> QIRJ not enough anymore for PJ.
Jdx –> Service of Process and Notice: Commencement of an Action
A civil action in fed ct is commenced by filing the complaint w/ the ct.
- –> After complaint is filed, P presents a summons to the clerk for signature and seal.
- —> Service must occur w/in 90 days of filing of complaint.
- —> Anyone at least 18 years old and not a party can serve process.
If the plaintiff fails to serve the defendant within 90 days, the court must dismiss the suit without prejudice.
—-> If the plaintiff can show good cause, the court must provide the plaintiff additional time for service.
Jdx –> Service of Process and Notice: Summons Reqs
Summons must:
(1) be signed by the clerk
(2) identify the ct and the parties
(3) be directed to the D
(4) state the name and address of either the P’s attny or the P itself (if unrepresented)
(5) notify the D of the time period w/in which it must appear or file an answer and the potential for default judgment if the D fails to appear w/in time specified
(6) contain the seal of the ct
Jdx –> Service of Process and Notice: Service of Process
General
- –> A summons must be served w/ a copy of the complaint.
- –> Service may be effected by any person who is at least 18 years of age and not a party to the suit.
- –> If P fails to effect service according to the rules, the case will be dismissed for insuff’y of service of process
Waiver
- –> A D may waive service of process upon request of the P.
- –> A waiver allows the P to save the cost of service.
Jdx –> Service of Process and Notice: How Process is Served
Process can be served on D by following the manner prescribed by the state ct in the state where the fed suit has been filed or the state ct in the state where the D will be served.
D natural person, can also be served by:
(1) personally delivering the process to D himself, wherever that may be
(2) leaving process at D’s usual place of abode w/ a person of suitable age and discretion who resides there
(3) serving the D’s registered agent; or
(4) Mail w/ a letter req’ing the D waive in-person service
- —> If the D declines to waive, they become responsible for the cost of personal service.
D is corp, etc. process can also be served by delivering a copy of the summons and complaint to:
(1) an officer;
(2) a managing agent or general agent; or
(3) any other agent authorized by appointment/law to receive service of process
Jdx –> Venue
Venue = region (judicial district) w/in a particular state where suit can be brought
Venue is dictated by: residency of defendant(s), location of events giving rise to the suit, or if and only if venue is not proper under the first two locations, where at least one defendant is subject to PJ (“gap filler”).
- –> Residency: If all defendant’s reside in the same state = district where any single defendant resides.
- ———-> Humans reside where they live.
- ———-> All other defendants (corporations, partnerships, etc.) reside in every district in which they are subject to PJ for that suit.
Location of Events
- –> The plaintiff can also lay venue in the district where a substantial part of the events or omissions giving rise to the claim occurred, or a substantial part of the property that is the subject of the action is situated.
- –> If the defendants reside in multiple states, then proper venue will always be at the location of harm.
- –> NOTE: “Substantial events” giving rise to a lawsuit can happen in more than one judicial district.
Gap Filler
—> If there is no other district in which the action could be brought – then the district in which any D would be subject to PJ.
Jdx –> Transfer of Venue
Can move a case between federal courts (can also dismiss case), but not state or foreign courts.
3 Reasons
(1) Convenience (commonly used)
- –> If the case could have been filed there in the first place and transfer is necessary for the convenience of the parties and/or witnesses.
(2) Agreement
- –> If all parties join the request to transfer, the court does not need to consider PJ or venue (if they agree they are consenting).
(3) Interest of justice
- –> If the case was filed in an improper venue, the court can dismiss the case or in the interest of justice, transfer it where it could have been filed originally.
Jdx –> Forum Non Conveniens
If the most convenient forum is not in the US, the court cannot transfer the case, but can dismiss it without prejudice so the plaintiff can refile in the proper country. —> This may not be in the US.
–> The same factors are considered as in the transfer of venue.
Note that the court, in dismissing a case under forum non conveniens, will often condition the dismissal on the D waiving any future challenges (should the case be re-filed in a different country) to the statute of limitations or other similar defenses.
Law Applied by Fed Cts –> State Law in Fed Ct: Rules of Decision Act
The Rules of Decision Act states that applicable provisions of the fed USC, treaties, and constitutional statutes enacted by Congress always take precedence over state law.
—> The fed cts apply federal law when considering issues involving the USC and constitutional fed statutes.
Law Applied by Fed Cts –> State Law in Fed Ct: The Erie Doctrine
In diversity cases, fed cts will apply both state and federal law; the court conducts an “Erie analysis” – 2 step process:
(1) Do what Congress or the Constitution says if it is valid and on point.
If a valid fed statute or USC provision is on point, the fed ct must apply the relevant provision.
—-> It is irrelevant whether the provision is “substantive” or “procedural,” or whether it causes forum shopping, or otherwise seems unwise to apply.
Validity: The federal statute must be valid (Constitution is per se valid). If the statute is invalid, the court ignores it and moves to Step 2.
- —> Invalidity of a statute has special application in cases involving the Federal Rules of Civil Procedure. These rules are statutes drafted by the judicial branch and approved by Congress.
- —> Congress says that a valid federal rule must “not abridge, enlarge, or modify any substantive right.”
- —> If a hypothetical rule declares that “the defense of contributory negligence shall not be valid in a federal court,” and Congress for some reason approves it anyway, the rule is invalid and should be ignored by the court. Importantly, this test is fairly easy to pass; no rule has ever been held to “abridge, enlarge or modify any substantive right.” So if you see a Federal Rule that you are familiar with, it almost certainly is valid under this test and ought to be applied.
On Point
—-> Ultimately a question of interpretation
(2) If there is no fed statute or USC law on point, do what would avoid unfairness and forum shopping.
If there is no valid federal statute or constitutional law on point, the federal court should follow its ordinary practices (whether rooted in case law, written policy, informal practice, or simply habit) UNLESS doing so would lead to:
- –> a preference for one court system (state or federal) over another; or
- –> fundamental unfairness.
Unfairness or Forum Shopping:
If Step 1 represented the entirety of the Erie doctrine, the federal judge in these cases would wear the wig in the first suit and dismiss the medical malpractice claim in the second suit.
—> After all, no federal statute or constitutional provision instructs otherwise.
—> But because of Step 2, the judge would not wear the white wig but would dismiss the medical malpractice case.
—> A finding of forum shopping will necessarily carry with it a finding of unfairness.
What happened to “substance” and “procedure”?
- –> Although courts still use these terms in Erie cases—and the bar examiners may as well—the doctrine does not generally demand that a law be characterized in the first instance as substantive or procedural. (A narrow exception is whether a federal rule modifies a “substantive right,” but as noted above, no federal rule has ever been held to do this.)
- –> If Step 2 instructs the court to apply state law, the law is called “substantive.”
- –> If Step 2 instructs the court to stick with ordinary federal practice, the practice is called “procedural.”
Two rules of thumb:
(1) Statutes of limitation are substantive.
- –> When P sues D in a federal diversity action, P’s compliance with the statute of limitations will normally be controlled by state law.
- –> That is, there is normally no federal law on point, and the application of state law is necessary to prevent forum shopping/unfairness.
- –> Thus, state statute of limitations law is applied (and labeled “substantive”).
(2) Choice of law rules are substantive.
- –> In a federal diversity suit, Erie requires that federal courts apply the choice of law rules of the state in which it is sitting.
- –> That is, there is no federal law on point and conjuring up distinctly federal choice of law rules would only encourage forum shopping.
- –> Thus, such rules are properly applied in diversity cases and labeled “substantive.”
Pre-Trial Procedures –> Pleadings: Types of Pleadings in Fed Ct
Complaints Answers to complaints Answers to counterclaims Answers to cross-claims Third-party complaints Answers to third-party complaints Replies to answers, if ordered by the ct
Pre-Trial Procedures –> Pleadings: Rules of Pleadings (ie complaint must contain 3 items)
Complaint must contain 3 items:
(1) Grounds for subject matter jdx
(2) Statement of facts that are suff to show that P is entitled to relief; and
- —> SCOTUS: complaints must state facts that make the wrongdoing appear plausible, not just hypothetically possible.
- —> A P cannot guess that the D has been neg and expect to make it past the pleading stage.
- —> Moreover, in cases alleging fraud or mistake, the P must describe the alleged fraud or mistake with particularity (general allegations will not suffice).
- —> Each claim must be supported by suff law and facts
(3) Demand for judgment and the relief sought
- –> SP? Money?
Pre-Trial Procedures –> Pleadings: Responsive Pleading
A responding party must admit or deny the allegations made against it by an opposing party.
- –> The party must admit those allegations (or parts of allegations) that are true, and deny others.
- –> An answer must be filed w/in 21 days of service of the complaint.
- –> The 21 day period does not include the date of service, but does include weekends and holidays; if the 21st day is on a weekend/holiday, answer must be filed on the next business day.
- –> If there is a failure to deny any specific allegation, it is deemed admitted
Waiver
- –> A party must plead certain affirmative defenses in its answer or reply to a counterclaim
- –> If it is not included in the answer, it is forfeited
- –> Exceptions: failure to state a claim upon which relief should be granted; failure to join a necessary party; and lack of SMJ
Pre-Trial Procedures –> Pleadings: Amendment and Supplemental Pleading
A party can amend a pleading once as a matter of right.
- –> The complaint can be amended within 21 days of serving the original complaint, or, if an answer or motion to dismiss has already been filed, within 21 days of that service.
- –> A party can amend an answer within 21 days of serving the original answer.
A party can amend with permission:
- –> Permission of opposing parties - then can amend.
- –> Permission of court - will consider reason for delay and prejudice (usually granted).
Amendments and Statutes of Limitations (whether the amendment will “relate back”)
- Whether an amendment has been filed within the statute of limitations depends on whether the amendment seeks to add a new claim or a new party.
- —> Adding new claims: The amendment is considered filed on the date that the original complaint was filed IF the new claim arises from the same transaction or occurrence as the existing claim (relation back rule).
- —> Adding new parties: Will relate back to the original filing date:
(1) If the new claim arises from the same transaction and occurrence as the existing claim;
(2) If the new party knew of the suit soon enough to not be prejudiced (generally during the time permitted for service of the original complaint); and
(3) If the new party should have expected to be named, but-for a mistake in identity.
Pre-Trial Procedures –> Rule 11
Standard of Conduct: An attorney or unrepresented party certifies that, after making a reasonable inquiry, the submission of a document to the court is based on:
- —> Good Faith: The submission is not for any improper purpose (to harass, delay, or increase the cost of litigation).
- —> Good Facts: The submission is based on evidentiary support or, if specifically noted, will likely have evidentiary support after discovery. This applies to affirmative representations of fact, as well as denials of factual allegations.
- —> Good Law: The submission is warranted by existing law or presents a non-frivolous argument for a change in existing law.
Sanctions
(1) How:
- —> The complaining party must first draft a motion for sanctions and serve it on the offending party.
- —> Safe Harbor: Motion filed 21 days after service. Allows a chance to withdraw/modify any alleged violation of Rule 11.
(2) Nature:
- —> Goal – to deter misconduct.
- —> Ct may order monetary or non-monetary sanctions.
(3) Who is subject to sanctions:
- —> Any person who has committed a violation or is responsible for a Rule 11 violation subject to sanctions.
- ————> Exception: Represented parties are not subject to monetary sanctions for violating the “good law” requirement.
- —> Attorney’s law firm must be held jointly liable, absent exceptional circumstances.
Not Applicable to Discovery:
- —> Rule 11 does not apply to any discovery matter.
- —> Misconduct has discovery-specific rules.
Pre-Trial Procedures –> Provisional Relief: Generally
The plaintiff files suit seeking injunctive relief, but can’t litigate the suit fast enough to get that relief before the defendant commits some irreversible harm.
