PersonalJurisdiction(2) Longarmstatute(usestate) Constitutional:dueprocess Minimumcontacts SpecificorGeneral o fairplay&subst.justice Instateservice Consent(incl.

contract) Domicile Property

SubjectMatter Jurisdiction(34)
Fedcourtspowertodecidecontroversy CANNOTbewaivedorconsentedto

Venue(5)
Substantialpartofeventsoromissions WhereDresides(specialrulesforcorp.) fallback NOTconstitutional,merelystatutory(+waiveable) Relatestoconvenience,oftenmanyacceptable Cantransfer,lawcanfollow

Diversity Jurisdiction(3)
CompleteDiversity Citizenshipattimeofcomplaint Domicile:residence,intenttostay Corp:stateofincorp.+prinplacebusiness Otherspecificprovisions AmountinControversy AIC:$75,000,excl.interestandcosts Aggregationofsomeclaims Includesintangibles/punitive Standsunlesslegalcertaintycantget

Forumnonconveniens (6) Joinder(911)

Thinkaboutpreclusiveeffects MakesuretocheckforPJ+SMJ 13.Counterclaim+Crossclaim 14.Impleader 18.PermissiveClaims 19.RequiredJoinder 20.PermissiveParties 21.Misjoinder 24.Intervention 42.Consolidation;SeparateTrials

Noticeand (7) OpportunitytobeHeard

Pleading(plausible?) Rule11Sanctions Rule12.DismissalforPJ,SMJ,

Venue,process,service,12(b)(6), failuretojoinrequiredparty(7)

FederalQuestion Jurisdiction(4)
Lookonlyatwellpleadedcomplaint U.S.isparty,federalstatutecreates/impliesright, orGrable3parttestforfederalingredient

SummaryJudgment JudgmentasaMatterofLaw NewTrial (13)

Supplemental Jurisdiction(4)
Hookedontoclaimwherecourthasjurisdiction Mustbesamecaseorcontroversy Caninvolveaddlparties,andclaimsbelowAIC Severalspecificexceptionsforjoinderclaims *Courtmaydeclinetoexercise

Preclusion(16)
Claim,IssuePreclusion(incl.nonmutual)

JuryTrial

(14)

legalbeforeequitable butpreclusioncanlimit

ChoiceofLaw (Erie)(4)

Arbitration Appeal,FinalJudgment(15)

Removal(4) Settlement(6)

ClassActions(17+18) CAFA(19)

Discovery(12)
1

PersonalJurisdiction
Requiredoverdefendants,both: 1. Longarmstatute 2. Constitutional:dueprocess Courtmaydeclinetoexercise(Tickle)

MINIMUMCONTACTS(International Shoe)
SpecificInpersonam:arisingoutof Singleactsofacertainqualityandnature McGeemaintainingoneinsurancepolicysufficed Continuousbutlimitedacts BUTNOTcasualorisolatedcontacts Generalinpersonam:ANYclams,evenunrelated continuousandsystematiccontacts(timeofsuit)

Presence:personalserviceinstate Stillsufficesforindividuals(Burnham 4-4-1) o butmaynotsufficeforflyoverortrickery Property

Stateshaveinremjurisoverpropertythere BUTquasiinremactionsmustbeevaluated usingminimumcontacts(Shaffer)

Express Dmusthavepurposelyavaileditselfoftheprivilegeof o contract(Burger King) Domicile or conductingactivitieswithintheforumState,thus o forumselectionclause(Carnival Cruise) Incorporation/PPB invokingthatbenefitsandprotectionsofitslaws o subjectto(veryweak)scrutinyforfairness Givescourtgeneral RequiresadeliberatechoiceonDspart Implied jurisdictionoveryou Unilateralactsofothersdonotsuffice(Hanson) o Waivedbyfailuretoraise Forseeabilityalone,withoutaffiliatingcircumstances o Bringinglawsuitthere(butonlyinsamecase cannotsupportjurisdiction(WWVW) oronsametransactionoroccurence?) Maybeliableforoutofstate,aimedatforumstate, causingharmthere(Calder v. Jones) FairPlayandSubstantialJustice(Burger King) ChallengingPJ Whereonecouldexpectbeinghaledintocourt(WWVW) Step2:AfterfindingMC,considerthesefactors Makeaspecialappearance(still Merepurchases,evenregular,notenoughtohavePJ theburdenondefendant existsinstatecourts);or overnonresidentcorporationinacauseofactionnot theforumState'sinterestinadjudicatingthedispute Motiontodismiss12(b)(2) relatedtopurchases.(Helicopteros=Hall) theplaintiff'sinterestinobtainingconvenientand Collaterallyattackat effectiverelief StreamofCommerce(Asahi1987,OConnorplurality) theinterstatejudicialsystem'sinterestinobtainingthe enforcement(dangerous:cant mostefficientresolutionofcontroversies MereawarenessthattheSOCmayorwillsweepthe litigatemeritsifPJfound) productintotheforumStatedoesnotsuffice.Musthave thesharedinterestoftheseveralStatesinfurthering actionpurposefullydirectedtowardtheforumState. fundamentalsubstantivesocialpolicies Additionalconductthatcouldshowintenttoservemarket: DesigningformarketinforumState AdvertisingintheforumState FRCP4(k).FederalLongArmStatute.ServiceofsummonsestablishesPJover: Establishingchannelsforprovidingregularadviceto (1)(A)personsubjecttoPJofgeneralstatecourtwheredist.courtsits customersintheforumState (1)(B)partyjoinedunderRule14or19,andservedwithin100miles Marketingtheproductthroughadistributorwhohas (1)(C)whenauthorizedbyanotherfederalstatute agreedtoserveasthesalesagentintheforumState (2) Fallback: claimarisesoutoffederallaw,andDnotsubjecttoanystatecourt 2

PurposefulAvailment(Hanson,thenWWVW)

Consent

AggregationofClaims
1Pv.1DADDall,evenunrelated 1Pv.#DNotadded
(exception:suingovercoownedproperty)

Domicile
Canonlyhaveoneatatime Keptuntilnewoneacquired Musthave,atsomemoment,both o Residencethere;and o Intenttoremain(definedasno definiteplanstomoveelsewhere) Notchangedbyinvoluntarymove

Citizenship (28U.S.C.1332)
**determinedattimecomplaintwasfiled** Naturalpersoncitizen>domicile Alienwhoispermanentresident>state ofdomicile(a) Corporation(c)(1) o Stateofincorporation;AND o Principalplaceofbusiness(only1)
(nervecenter,corporateactivities,totalact.)

#Pv.1DNotaddedunlessasingle titleorright,e.g.debttopartnership #Pv.1Difoneplaintiffsatisfies, additionalplaintiffsallowed(Exxon)

AmountinControversy
Greaterthan$75,000,exclusiveof interestandcosts Plaintiffsgoodfaithclaimstandsunless showntoalegalcertaintythatcould notrecoverthatmuch(Red Cab) Includesintangibles/punitive Injunction:canincludebothpastlosses andpotentialfutureharm Viewpoint:Plaintiff(majorityrule), invokingparty,oreitherparty

DIVERSITY(28U.S.C.1332)
ArtIII,Sec2and28U.S.C.1332(a)(1)bothgivejurisdiction overactionsbetweencitizensofdifferentstates Statute(butnotConst.)readtorequire completediversity(Strawbridge v. Curtiss) inclassaction,onlyrepresentativescount(Ben Hur) Courtcanrealignorignorepartiestoavoidcheatinghere

Alienage (28U.S.C.1332) between

(a)(2)citizensofaStateandcitizensorsubjectsofa foreignstate; (a)(3)citizensofdifferentStatesandinwhich citizensorsubjectsofaforeignstateareaddlparties *NOTE:peoplewithnohomecountrydontqualify

Insurer>takesonstateofinsuredwhen henotjoined(c)(1) Estate,infant,orincompetent(c)(2)> representativetakesonthatstateonly Limitedpartnership/unincorporated association>citizenshipofallmembers

ClassActionFairnessAct(CAFA)
100+members TotalaggregateAICover$5million Minimaldiversity(1Pdiffrom1D) (seep.19!)

Exceptions(statutoryinterp.notconst.)
Domestic(divorce,alimony,childcustody) Probate(butcanhearmattersrelatingto)

SubjectMatter Jurisdiction
Courtspowertodecidethecontroversy requiresBOTHconstitutionalandstatutory CANNOTbewaivedorcontractedto challengedatanytimeduringsuit,even appeal(Capron),evensuaspontebycourt BUTcollateralattackusuallyfails

State
Hasgeneralsubjectmatterjurisdiction canhearanycase EXCPEPTthoseConst.orCong.reserves solelyforfederalcourts:patentsand copyrights(28U.S.C.1338)

Multiparty,Multiforum(28U.S.C.1369)
Atleast75deadatdiscretelocation Minimaldiversity(1Pdiffrom1D) More 3

Supplemental(28U.S.C.1367)
(a) EXCEPTasprovidedin(b),(c),orexpressly providedotherwisebyFederalstatute, Inanycivilactioninwhichthedistrictcourts haveoriginaljurisdiction,theyshallhaveSJ overclaimsthataresorelatedtoclaimsinthe actionwithinOJthattheyformpartofthe samecaseorcontroversyunderArticleIII. (Gibbs: commonnucleusofoperativefact) Includingclaimsinvolvingaddlparties Incl.addlpartiesbelowAICreq.(Exxon) (b) IfSMJfoundedsolelyon1332(diversity), courtsshallnothaveSJoverclaimswhen exercisingSJwouldbeinconsistentwith1332 (i.e.claimsthatwoulddestroydiversity): Claimsbyplaintiffsagainstpersonsmade partiesunderFRCP 14(impleader) 19(necessary/indispensible) 20(permissive) 24(intervention) Overclaimsbypersonsproposedtobe joinedasplaintiffsunderRule18 Overclaimsbypersonsseekingtointervene asplaintiffsunderRule24 (c) DistrictcourtMAYdeclinetoexerciseSJif RaisesnovelorcomplexissueofStatelaw SupClaimsubstantiallypredominatesover theclaimoverwhichcourthadOJ courthasdismissedallclaimswherehadOJ inexceptionalcircumstances,thereareother compellingreasonsfordecliningjurisdiction

Removal(28U.S.C.1441)
(a) Anycivilaction,wheredistrictcourts haveoriginaljurisdiction,maybe removedbydefendantordefendants [allmustagree!]tofederalcourt (b) Indiversityonlycase[noFQ],removable onlyifNOdefendantiscitizenofstate (c) Whenpartfedquest./partstatelaw, entirecasemayberemoved Mottley(wellpleadedcomplaint)applies OriginalPcannotremove(counterclaim doesnotturnaPintoaDforremoval purposes)(Shamrock Oil & Gas) Movedtocorrespondingdistrict/division. Venueisautomaticallyproperthere stillOKifstatecourtlackedJ1441(f) Nowaytomovefed>statecourt,orto movebetweenstates(butdismissFNC) Cannotdefeatdiversitybyjoining defendantwithnorealcauseofaction; cannotdefeatFQbyartfullypleading,i.e. disguisingasastatelawclaim Thereareseparate,easierremoval requirementsforCAFA,bigaccident

FEDERALQUESTION
ConstitutionalLimit
ArticleIII,Sec.2."toallCases,inLawand Equity,arisingunderthisConstitution,theLaws oftheUnitedStates,andTreatiesmade." Interpretedtomean:casehasfederal ingredient(outcomemayturnonfederallaw) Osborn

StatutoryLimit
28U.S.C.1331hasthesamelanguage,butit hasbeenconstruedmorenarrowlythanConst. First:lookonlyatPswellpleadedcomplaint, cannotanticipatefederaldefense(Mottley) (Artfulpleadingtodisguiseclaimnotallowed) Waystohavefederalquestion o U.S.isaparty o Federalstatutecreatesarightofaction o Federalstatuteimpliesrightofaction o Grabletest: Claimnecessarilyraisesfederalissue Fed.issueactuallydisputedandsubstantial Doesntdisturbbalanceoffed.&state judicialresponsibilities *(Oldcases:Harms,Smith,Merrill

ChoiceofLaw (theErie doctrine)

RulesofDecisionsAct(28U.S.C.1652)meansthatExceptforwherefederallaw applies,applythestatelaw[whetherfromastatuteorcourtdecision].(Erie) BUTyoustillapplytheprocedureofthecourthearingthecase(Hanna) Applythechoiceoflawruleofstatewherefed.courtsits(Klaxon) Indiversitycasetransferredvia1404(a),applylawoftransferorcourt(Van Dusen), eveniftheplaintiffmovesfortransfer(Ferens). BUTthisdoesNOTapplytotransferfromanimpropervenueunder1406(Goldlawr)

Venue(28U.S.C.1391)
(a) Casesfoundedsolelyondiversitymaybebroughtonlyina judicialdistrict: (1) whereDresides,ifallDsresideinsameState, (2) whereasubstantialpartoftheeventsoromissionsgiving risetotheclaimoccurred,orasubstantialpartofthe propertythatisthesubjectoftheactionissituated,or (3) [Fallback:]ifnootherplace,whereanyDissubjectto personaljurisdictionattimetheactioniscommenced (b) Casesnotfoundedsolelyondiversity[F.Q.]maybebrought (1)and(2)sameasabovein(a) (3) ifnootherplace,whereanyDmaybefound. **Fornaturalperson,residenceinterpretedtomeandomicile (c) Corporationdeemedtoresideinanyjudicialdistrictinwhichitis subjecttopersonaljurisdiction[meansPJforthisclaim,or generalinpersonamPJ]atthetimeactioniscommenced.In Statewithmultipledistricts,treateachasaseparatestateforPJ purposes,butifnodistrictsatisfiesminimumcontacts,gowith theonewhereithasthemostsignificantcontacts. ***[Residenceofanunincorporatedassociationisdeterminedby lookingtotheresidenceoftheassociationitselfratherthanthat ofitsindividualmembersdifferentfromindiversity!] (d) Analienmaybesuedinanydistrict. (e) SuingofficeroremployeeoftheUnitedStatesoragency. (f) Suingaforeignstate. (g) Casesunder1369(manydeaths)maybebroughtinanydistrict inwhichanyDresidesorinwhichasubstantialpartofthe accidentgivingrisetotheactiontookplace

VENUE
NOTconstitutional,merelystatutory Relatesprimarilytoconvenience doesNOTfocusonwhetheradefendant hasmadeadeliberatecontact(Bates) Thereareoftenmanyacceptablevenues MaybeWAIVED,canbesetbycontract Therearespecialvenueprovisionsfor patents,copyrights,interpleaderactions, andactionsagainstfederalofficials **Removal>venueautomaticallyvalid

Transferfor PretrialPurposes (28U.S.C.1407)

**Seealso: Forumnonconveniens

ChangeofVenue (Transfer)(28U.S.C.1404(a))
Fortheconvenienceofthepartiesandwitnesses,intheinterestof justice,adistrictcourtMAYtransferanycivilactiontoanyotherdistrict ofdivisionwhereitmighthavebeenbrought. [Ifyouneedsomefactorstoweighhere,seeGilbertFNCanalysis.] BUTNOTE:Cantmovebetweenstatecourtsindif.states! Applylawoforiginal(transferor)court (Van Dusen)

Cureorwaiverofbadvenue (28U.S.C.1406)
(a) Thedistrictcourtofadistrictinwhichisfiledacaselayingvenue inthewrongdivisionordistrictshalldismiss,orifitbeinthe interestofjustice,transfersuchcasetoanydistrictordivisionin whichitcouldhavebeenbrought. [waiverdoesNOTsufficehere,Hoffman v. Blaski) Applythelawofthenew(transferee)court(Goldlawr) (b) [Venuecanbewaived]Nothinginthischaptershallimpairthe jurisdictionofadistrictcourtofanymatterinvolvingapartywho doesnotinterposetimelyandsufficientobjectiontothevenue.

Propertyindifferentdistricts(28U.S.C.1391)
Anycivilaction,ofalocalnature,involvingpropertylocatedindifferent districtsinthesameState,maybebroughtinanyofsuchdistricts.

 Settlement Timesfor: promisenottosue inthemiddleofthecase whilecaseisonappeal

ForumNonConveniens
Acourtmaydeclineacaseevenwhenithasjurisdictionandvenue. Onappeal,reviewedonlyforabuseofdiscretion. Instatecourt,forcasesthatbelonginanotherstate(canttransfer). ***Infederalcourt,usedforcasesthatbelongoutsidetheU.S.*** Theremustbeanothermoreconvenientforumwheretheplaintiff canobtainadequaterelief. Gilbertestablishedabalancingtest: Butunlessthebalanceisstronglyinfavorofthedefendant, theplaintiff'schoiceofforumshouldrarelybedisturbed. Theprivateinterestofthelitigant: o therelativeeaseofaccesstosourcesofproof; o availabilityofcompulsoryprocessforattendanceofunwilling, andthecostofobtainingattendanceofwilling,witnesses; o possibilityofviewofpremises,ifviewwouldbeappropriateto theaction; o andallotherpracticalproblemsthatmaketrialofacaseeasy, expeditiousandinexpensive. o Theremayalsobequestionsastotheenforcibilityofa judgmentifoneisobtained. Publicinterest: o Avoidlitigationbeingpiledupincongestedcentersinsteadof beinghandledatitsorigin. o Jurydutyisaburdenthatoughtnottobeimposeduponthe peopleofacommunitywhichhasnorelationtothelitigation. o Thereisreasonforholdingthetrialintheviewandreachof personsconcernedratherthaninremotepartsofthecountry wheretheycanlearnofitbyreportonly. o Thereisalocalinterestinhavinglocalizedcontroversies decidedathome. o Toavoidhavingafarawaycourtuntangleproblemsinconflict oflaws,andinlawforeigntoitself.

Types
PrivateSettlement: canbesealed(andrequirepriorjudgmenttobedepublished) publicsystemhasnoidea/involvement(justreceivesRule41withdrawal) AggregateSettlement: onelawyerwhoistryingalotofsimilarcases(BuffaloCreek) laywermustdiscloseeverythingtotheclient(total,fee,split) ClassActions: thesettlementisintheformofpublicjudgment courtholdsafairnesshearing,thenjudgemustapprove

Perspectives
1. Plaintiffs howitcomparestopretrialoffer,juryverdict 2. Defendants reputation,badlegalprecedentorissuepreclusion,barringlawyer 3. Lawyers hourlywageorcontingency 4. Public deterrence,informationrelease,judicialoversight(injunction) developinglegalprecedent,issuepreclusion whenthepartiessettle,societygetslessthanwhatitappears,andfor apriceitdoesnotknowitispaying.OwenFiss

Application: Piper Aircraft(dismissedunderFNC)

AirplanecrashedinScotland;decedentsandheirswereScottish 6

 Notice(Mullane)

OpportunitytobeHeard (Mathews)
InGoldberg,theCourtfoundthatdueprocess appliestowelfarebenefits,aformofnew property.Thusrecipientsareentitledtoan evidentiaryhearingbeforetheirwelfarebenefits arecutoff. InMathews,theCourtreachedtheopposite conclusionaboutdisabilitybenefits,citing amongotherreasons: o Recipientsnotonthemarginofsubsistence o Othergovtassistanceisavailablehere o Turnsonroutine,unbiasedphysicianreports o Personretainstheopportunitytosubmit additionalevidencetochallenge o Don'thavetoseedoctorsinpersonto determinetheircredibility TheMathewsCourtestablishedthatin determiningtheamountofprocessdue,the courtshouldweighthreefactors: Theprivateinterestthatwillbeaffectedby theofficialaction Theriskofanerroneousdeprivation,and theprobablevalueofadditionalor substituteproceduralsafeguards TheGovernment'sinterest,includingthe functioninvolvedandthefiscaland administrativeburdensthattheadditional orsubstituteproceduralrequisiteswould entail

OpportunitytobeHeard (Doehr)
Doehrestablisheda3foldinquiryfor attachment/replevin(adaptedfromMathews) considerationoftheprivateinterestthatwill beaffectedbytheprejudgmentmeasure; anexaminationoftheriskoferroneous deprivationthroughtheproceduresunder attackandtheprobablevalueofadditionalor alternativesafeguards; attentiontotheinterestofthepartyseeking theprejudgmentremedy,withdueregardfor anyancillaryinterestthegovernmentmay haveinprovidingtheprocedureorforgoing theaddedburdenofgreaterprotections. Otherearliercases: Fuentes(struckdown) Norequirementthattheapplicantmakea convincingshowingbeforeseizure Atthemomentthedefendantreceivesthe complaint,thepropertyisseized Nopriornotice,noopportunitytochallenge Mitchell(upheld) Requiredclearshowingbemadetoajudge Vendorhasalienontheproperty Requiredaverifiedpetitionoraffidavit Debtorentitledtoseekimmediate dissolution,unlesscreditorprovescase DiChem(struckdown) Onlyneedallegations Writissuedbycourtclerk Noprovisionforearlyhearing

"Anelementaryandfundamentalrequirementof dueprocessinanyproceedingwhichistobe accordedfinalityisnoticereasonablycalculated, underallcircumstances,toappriseinterested partiesofthependencyoftheactionandafford themanopportunitytopresenttheirobjections. Thenoticemustbeofsuchnatureasreasonably toconveytherequiredinformation... anditmustaffordareasonabletimeforthose interestedtomaketheirappearance Themeansemployedmustbesuchasone desirousofactuallyinformingtheabsenteemight reasonablyadopttoaccomplishit." Specifically: Thosewhosenamesandaddressesareknown shouldbemailednotice. Noticebypublicationsufficesforunknown beneficiarieswhohaveotherssimilarlysituated whocanlookoutfortheirinterests Thegovernment'suseofcertifiedmailsufficed, eventhoughthepapertrailofwhethertheprison gotthelettertotheprisonerwaslost.Additional stepsarenotrequiredandwoulddemand "heroicefforts."(Dusenberry v. U.S.) Certifiedmailthatwasreturnedunclaimed required"additionalreasonablestepsifitis practicabletodoso",i.e.resendbynormalmail. However,NOTrequiredtosearchthephonebook orpublicrecords.(Jones v. Flowers)

 Rule8.GeneralRulesofPleading ClaimforRelief.Apleadingthatstatesaclaimforreliefmustcontain: (1) ashortandplainstatementofthegroundsforthecourt's jurisdiction,unlessthecourtalreadyhasjurisdictionandthe claimneedsnonewjurisdictionalsupport; (2) ashortandplainstatementoftheclaimshowingthatthe pleaderisentitledtorelief;and (3) ademandforthereliefsought,whichmayincludereliefinthe alternativeordifferenttypesofrelief.

FRCP12(b) HowtoPresentDefenses.
Everydefensetoaclaimforreliefinanypleadingmustbeassertedinthe responsivepleadingifoneisrequired.

Conley (S.Ct.1957) "acomplaintshouldnotbedismissedforfailuretostateaclaim unlessitappearsbeyonddoubtthattheplaintiffcanprovenoset offactsinsupportofhisclaimwhichwouldentitlehimtorelief" "alltheRulesrequireis'ashortandplainstatementoftheclaim' thatwillgivethedefendantfairnoticeofwhattheplaintiff'sclaim isandthegroundsuponwhichitrests"

Butapartymayassertthefollowingdefensesbymotion: (1) lackofsubjectmatterjurisdiction; (2) lackofpersonaljurisdiction; (3) impropervenue; (4) insufficientprocess; (5) insufficientserviceofprocess; (6) failuretostateaclaimuponwhichreliefcanbegranted;and (7) failuretojoinapartyunderRule19. (Red=waivedifnotraised.Bold=fatal caseover)

Twombly(72S.Ct.2007) TheConley"nosetoffacts"phraseis"bestforgotten "wedonotrequireheightenedfactpleadingofspecifics,butonly enoughfactstostateaclaimtoreliefthatisplausibleonitsface. mustnudgeclaimsacrossthelinefromconceivabletoplausible Aclaimhasfacialplausibilitywhenthepleadedfactualcontent allowsthecourttodrawthereasonableinferencethatthe defendantisliableforthemisconductalleged.

Amotionassertinganyofthesedefensesmustbemadebeforepleading ifaresponsivepleadingisallowed. Ifapleadingsetsoutaclaimforreliefthatdoesnotrequirearesponsive pleading,anopposingpartymayassertattrialanydefensetothatclaim. Nodefenseorobjectioniswaivedbyjoiningitwithoneormoreother defensesorobjectionsinaresponsivepleadingorinamotion.

FRCP12(g)JoiningMotions.
(1)RighttoJoin.Amotionunderthisrulemaybejoinedwithanyother motionallowedbythisrule. (2)LimitationonFurtherMotions.ExceptasprovidedinRule12(h)(2)or (3),apartythatmakesamotionunderthisrulemustnotmake anothermotionunderthisruleraisingadefenseorobjectionthat wasavailabletothepartybutomittedfromitsearliermotion.

Iqbal(54S.Ct.2009) confirmedthatTwomblyisnotlimitedtotheantitrustcontext

Rule11SigningPleadings,Motions,andOtherPapers;RepresentationstotheCourt;Sanctions (donotapplytodiscovery:FRCP2637)
certifiesthattothebestoftheperson'sknowledge,information,andbelief,formedafteraninquiryreasonableunderthecircumstances: 1. itisnotbeingpresentedforanyimproperpurpose,suchastoharass,causeunnecessarydelay,orneedlesslyincreasethecostoflitigation; 2. theclaims,defenses,andotherlegalcontentionsarewarrantedbyexistinglaworbyanonfrivolousargumentforextending,modifying,orreversing existinglaworforestablishingnewlaw; 3. thefactualcontentionshaveevidentiarysupportor,ifspecificallysoidentified,willlikelyhaveevidentiarysupportafterareasonableopportunityfor furtherinvestigationordiscovery;and 4. thedenialsoffactualcontentionsarewarrantedontheevidenceor,ifspecificallysoidentified,arereasonablybasedonbelieforalackofinformation. [*SAFEHARBORPROVISION*]youget21daystowithdraworcorrectamotionchallengedunderthisrule

CheckforPJ(p.2),SMJ(p.34or10),andVenue(p.5)overeveryclaim!butPJ,VenueusuallysameforsameT/O

(a) InGeneral.Apartyassertingaclaim, counterclaim,crossclaim,orthirdparty (1) InGeneral.ApleadingMUSTstateasacounterclaimanyclaim claimMAYjoin,asindependentor thatatthetimeofitsservicethepleaderhasagainstan alternativeclaims,asmanyclaimsasithas OPPOSINGpartyiftheclaim: FRCP21Misjoinder againstanOPPOSINGparty. (A) arisesoutofthetransactionoroccurrencethatisthe MisjoinderandNonjoinderofParties *[thisdoesNOTconferSMJonthecourt!] subjectmatteroftheopposingparty'sclaim;and Misjoinderofpartiesisnotagroundfor *[courtmayorderseparatetrials:frcp42] (B) doesnotrequireaddinganotherpartyoverwhomthe dismissinganaction.Onmotionoronits (b) JoinderofContingentClaims.Apartymay courtcannotacquirejurisdiction. own,thecourtmayatanytime,onjust jointwoclaimseventhoughoneofthemis (2) Exceptions.ThepleaderneedNOTstatetheclaimif: terms,addordropaparty.Thecourt contingentonthedispositionoftheother; (A) whentheactionwascommenced,theclaimwasthe mayalsoseveranyclaimagainstaparty. butthecourtmaygrantreliefonlyin subjectofanotherpendingaction;or accordancewiththeparties'relative (B) [noPJ]theopposingpartysuedonitsclaimbyattachment TransactionorOccurrence substantiverights. orotherprocessthatdidnotestablishpersonaljurisdiction Thewordstransactionor overthepleaderonthatclaim,andthepleaderdoesnot occurrencearegivenabroadand assertanycounterclaimunderthisrule. liberalinterpretationinorderto (b) PermissiveCounterclaim.ApleadingMAYstateasa avoidamultiplicityofsuits. FRCP42 Consolidation;SeparateTrials counterclaimagainstanopposingpartyanyclaimthatisnot - LASA (a) Consolidation.Ifactionsbeforethecourt compulsory. involveacommonquestionoflaworfact, (c) Mayexceedordifferinkindfromreliefsought thecourtMAY: (d) RulesdonotextendtoU.S.orU.S.officeroragency (1) joinforhearingortrialanyorallmatters (e) Thecourtmaypermitapartytofileasupplementalpleading atissueintheactions; assertingacounterclaimthatmaturedorwasacquiredbythe (2) consolidatetheactions;or ClaimPreclusion partyafterservinganearlierpleading. (3) issueanyotherorderstoavoid Becauseoftheeffectsofclaim (f) Maypermittoamendtocorrectoversight.[?] unnecessarycostordelay. preclusion,someoftheseMAYs (g) CrossclaimAgainstaCoparty.ApleadingMAYstateasa (b) SeparateTrials.Forconvenience,toavoid meanyouMUSTbringtheclaim crossclaimanyclaimbyonepartyagainstacopartyiftheclaim prejudice,ortoexpediteandeconomize, nowifyoueverwanttobringit: arisesoutofthetransactionoroccurrencethatisthesubject thecourtMAYorderaseparatetrialofone sameparty;and matteroftheoriginalactionorofacounterclaim,oriftheclaim ormoreseparateissues,claims,crossclaims, sametransactionoroccurrence relatestoanypropertythatisthesubjectmatteroftheoriginal counterclaims,orthirdpartyclaims.When action.Alsoincludessomeonewhomaybeliabletopartyfor orderingaseparatetrial,thecourtmust claimshere. preserveanyfederalrighttoajurytrial. (h) JoiningAdditionalParties.Rules19and20governtheadditionof apersonaspartytoacounterclaimorcrossclaim. 9

FRCP13 Counterclaim+Crossclaim (a) CompulsoryCounterclaim.

FRCP18 PermissiveClaims

CheckforPJ(p.2),SMJ(p.34or10),andVenue(p.5)overeveryclaim!butPJ,VenueusuallysameforsameT/O

SMJ
courtneedsSMJovereveryclaim.

FRCP14 Impleader(dontneedVenue)

FRCP20 PermissiveParties

(a) WhenaDefendingPartyMayBringinaThirdParty. (a) PersonsWhoMayJoinorBeJoined. (1) Adefendingpartymay,asthirdpartyplaintiff,servea (1) Plaintiffs.PersonsMAYjoininoneaction summonsandcomplaintonanonpartywhoisormaybe asplaintiffsif: FederalQuestionSMJ(4) liabletoitforallorpartoftheclaimagainstit. (A) theyassertanyrighttoreliefjointly, (2) ThirdPartyDefendant'sClaimsandDefenses.The DiversitySMJ(3) severally,orinthealternativewith personservedwiththesummonsandthirdparty respecttoorarisingoutofthesame SupplementalSMJ(28U.S.C.1367) complaintthethirdpartydefendant: transaction,occurrence,orseriesof (a) EXCEPTasprovidedin(b),(c),orexpressly (A) mustrespondunderRule12 transactionsoroccurrences;and providedotherwisebyFederalstatute, (B) mustassertany13(a)counterclaim,mayassertany (B) anyquestionoflaworfactcommonto Inanycivilactioninwhichthedistrictcourts 13(b)counterclaimorany13(g)crossclaim; allplaintiffswillariseintheaction. haveoriginaljurisdiction,theyshallhaveSJ (C) mayassertagainsttheplaintiffanydefensethatthe (2) Defendants.(samelanguage) overclaimsthataresorelatedtoclaimsin thirdpartyplaintiffhastoplaintiff'sclaim;and (b) Thecourtmayorderseparatetrialsto theactionwithinOJthattheyformpartof (D) mayalsoassertagainsttheplaintiffanyclaimarising preventdelayorprejudice thesamecaseorcontroversyunderArtIII. outofthetransactionoroccurrencethatisthe Suchsupplementaljurisdictionshallinclude subjectmatteroftheplaintiff'sclaimagainstthe claimsthatinvolvethejoinderorintervention thirdpartyplaintiff. ofadditionalparties. (3) Plaintiff'sClaimsAgainstaThirdPartyDefendant.The Venue (b) IfSMJfoundedsolelyon1332(diversity), plaintiffmayassertagainstthethirdpartydefendantany SameT/Omeansvenueproper. courtsshallnothaveSJoverclaimswhen claimarisingoutofthetransactionoroccurrencethatis ThestatutoryvenuelimitationsdoNOT exercisingSJwouldbeinconsistentwith1332 thesubjectmatteroftheplaintiff'sclaimagainstthe applytoRule14(impleader)claims. (i.e.destroydiversityornotenough$$): thirdpartyplaintiff.Thethirdpartydefendantmustthen Claimsbyplaintiffsagainstpersonsmade assertanydefenseunderRule12andany13(a) partiesunderFRCP counterclaim,andmayassertany13(b)counterclaimor PersonalJurisdiction 14(impleader) any13(g)crossclaim. WHENEVERapartyisbroughtintoa 19(necessary/indispensible) (4) Anypartymaymovetostrikethethirdpartyclaim,to suit,thecourtmustensureithas 20(permissive) severit,ortotryitseparately. personaljurisdiction(pg.2)suchthatit 24(intervention) (5) ThirdPartyDefendant'sClaimAgainstaNonparty.A canrequirethatpartytoappear. Overclaimsbypersonsproposedtobe thirdpartydefendantmayproceedunderthisrule *lookforconsentbybringinglawsuit joinedasplaintiffsunderRule19 againstanonpartywhoisormaybeliabletothethird Overclaimsbypersonsseekingto partydefendantforallorpartofanyclaimagainstit. FRCP22 Interpleader interveneasplaintiffsunderRule24 (b) WhenaPlaintiffMayBringinaThirdParty.Whenaclaimis Putinthemoneyorpropertyandtell (c) CourtMAYdeclinetoexerciseSMJ... assertedagainstaplaintiff,theplaintiffmaybringinathird courttofigureoutwhogetsit.Goalis partyifthisrulewouldallowadefendanttodoso. 10 tohaveitsolvedinoncecase/forum.

CheckforPJ(p.2),SMJ(p.34or10),andVenue(p.5)overeveryclaim!butPJ,VenueusuallysameforsameT/O FRCP24 Intervention FRCP19RequiredJoinder[courtstendtobereadthisnarrowly] (a) PersonsRequiredtoBeJoinedifFeasible. (a) InterventionofRight.Ontimelymotion,thecourt (1) RequiredParty.Apersonwhoissubjecttoserviceofprocessandwhosejoinderwill MUSTpermitanyonetointervenewho: notdeprivethecourtofsubjectmatterjurisdictionMUSTbejoinedasapartyif: (1) isgivenanunconditionalrighttointervenebya (A) inthatperson'sabsence,thecourtcannotaccordcompletereliefamongexisting federalstatute;OR parties;OR (2) claimsaninterestrelatingtothepropertyor (B) thatpersonclaimsaninterestrelatingtothesubjectoftheactionandisso transactionthatisthesubjectoftheaction,andisso situatedthatdisposingoftheactionintheperson'sabsencemay: situatedthatdisposingoftheactionmayasa (i) asapracticalmatterimpairorimpedetheperson'sabilitytoprotectthe practicalmatterimpairorimpedethemovant's interest;OR abilitytoprotectitsinterest,unlessexistingparties (ii) leaveanexistingpartysubjecttoasubstantialriskofincurringdouble, adequatelyrepresentthatinterest. multiple,orotherwiseinconsistentobligationsbecauseoftheinterest. (b) PermissiveIntervention. (2) JoinderbyCourtOrder.Ifapersonhasnotbeenjoinedasrequired,thecourtmust (1) InGeneral.Ontimelymotion,thecourtMAYpermit orderthatthepersonbemadeaparty.Apersonwhorefusestojoinasaplaintiffmay anyonetointervenewho: bemadeeitheradefendantor,inapropercase,aninvoluntaryplaintiff. (A) isgivenaconditionalrighttointervenebya (3) Venue.Ifajoinedpartyobjectstovenueandthejoinderwouldmakevenueimproper, federalstatute;OR thecourtmustdismissthatparty. (B) hasaclaimordefensethatshareswiththemain (b) WhenJoinderIsNotFeasible.Ifapersonwhoisrequiredtobejoinediffeasiblecannotbe actionacommonquestionoflaworfact. joined,thecourtmustdeterminewhether,inequityandgoodconscience,theaction (2) ByaGovernmentOfficerorAgency.Ontimely shouldproceedamongtheexistingpartiesorshouldbedismissed.Thefactorsforthe motion,thecourtmaypermitafederalorstate courttoconsiderinclude: governmentalofficeroragencytointerveneifa (1) theextenttowhichajudgmentrenderedintheperson'sabsencemightprejudicethat party'sclaimordefenseisbasedon: personortheexistingparties; (A) astatuteorexecutiveorderadministeredbythe (2) theextenttowhichanyprejudicecouldbelessenedoravoidedby: officeroragency;or (A) protectiveprovisionsinthejudgment; (B) anyregulation,order,requirement,or (B) shapingtherelief;OR agreementissuedormadeunderthestatuteor (C) othermeasures; executiveorder. (3) whetherajudgmentrenderedintheperson'sabsencewouldbeadequate;and (3) DelayorPrejudice.Inexercisingitsdiscretion,the (4) whethertheplaintiffwouldhaveanadequateremedyiftheactionweredismissedfor courtmustconsiderwhethertheinterventionwill nonjoinder. undulydelayorprejudicetheadjudicationofthe (c) PleadingtheReasonsforNonjoinder.Whenassertingaclaimforrelief,apartymuststate: originalparties'rights. (1) thename,ifknown,ofanypersonwhoisrequiredtobejoinediffeasiblebutisnot (c) NoticeandPleadingRequired.Amotiontointervene joined;AND mustbeservedonthepartiesasprovidedinRule5.The motionmuststatethegroundsforinterventionandbe (2) thereasonsfornotjoiningthatperson. 11 accompaniedbyapleadingthatsetsouttheclaimor (d) ExceptionforClassActions.ThisruleissubjecttoRule23. defenseforwhichinterventionissought.

Discovery

Interrogatories Rule33
Writtenquestionssenttoanyotherparty;goodforbackgroundinfo Inexpensive,butalsononspontaneous

Scope:anynonprivilegedmatterthatisrelevanttoanyparty'sclaimordefense
includingtheexistence,description,nature,custody,condition,and locationofanydocumentsorothertangiblethingsandtheidentityand locationofpersonswhoknowofanydiscoverablematter. Forgoodcause,thecourtmayorderdiscoveryofanymatterrelevantto thesubjectmatterinvolvedintheaction. Relevantinformationneednotbeadmissibleatthetrialifthediscovery appearsreasonablycalculatedtoleadtodiscoveryofadmissibleevidence. CourtmaylimitsassetforthinRule26(b)(2)(C).

DocumentRequests 34/45
Anydocumentsoranyformofinformation,incl.inspectionofproperty

Depositions Rule30
Testimonyunderoathofanyperson,includingaparty. Advantages actuallyseeingthewitnesstoevaluatehowtheywillappearattrial Witnessisrequiredtoanswerspontaneously,uncoachedbycounsel Canframefollowupquestionsbasedonpreviousanswers Getsthedeponentontherecord:commitshimtoversionofevents Drawback:timeandexpense

Privilege: Attorneyclient,Priestpenitent,Doctorpatient,Psychotherapist
patient,Husbandwife,others

PhysicalorMentalExaminations Rule35(a)
Requiresacourtorder.Mustprovidecopytootherside;inresponse, theyprovidealloftheirphysicianreports.

WorkProductPrivilegeFRCP26(b)(3)codifiedHickman
Ordinarily,apartymayNOTdiscoverdocumentsandtangiblethingsthatare preparedinanticipationoflitigationorfortrialbyorforanotherpartyorits representative(includingtheotherparty'sattorney[but]thosematerials maybediscoveredif:[Exceptions:] i. theyareotherwisediscoverableunderRule26(b)(1);and ii. thepartyshowsthatithassubstantialneedforthematerialsto prepareitscaseandcannot,withoutunduehardship,obtaintheir substantialequivalentbyothermeans. Reasonsforthis: wouldrevealthoughtprocessesoflawyers(discouragerecordkeeping) wouldletopposingcounseldoallthework Ddangeroflawyersendingupaswitnessesintheirowncases LegalTheoriesProtectedFRCP26(b)(3)(B) [Thecourt]mustprotectagainstdisclosureofthementalimpressions, conclusions,opinions,orlegaltheoriesofaparty'sattorneyorother representativeconcerningthelitigation. Expertsmustdiscloseinformationfromtestifyingexperts Notnecessarytodiscloseonnontestifyingexpertsexceptasprovidedfor in35(b)[exchangeofexams]orinexceptionalcircumstances

AutomaticDisclosures (incl.Initial) 26(a)

InitialDisclosures:discoverableinformationandwitnessesthatparty

mayusetosupportitsclaimsofdefenses.(notselfdamaginginfo), computationofdamage,andinsuranceagreements.26(a)(1) Astrialapproaches,partiesmustdisclosetheidentityandreportsof experts(26(a)(2)),thenamesofwitnessestobecalledattrial,and documentsanddepositionseachpartyexpectstoofferinevidenceat trial(26(a)(3)).

Admissions 30(a)/31
Alistofstatementsforopponenttoadmitordeny.

Subpoena45
Tocompelanyonetoanswerorproducesomething.

ProtectiveOrder/Compel 26(c)/37(a)
Triggersjudicialoversight

Signing/Sanctions 26(g)/37
Policiestoensureethicalbehavior rememberRule11doesntapply 12

SummaryJudgmentFRCP56 Eitherpartymaymoreforsummaryjudgmentonallorpartofaclaim. Thejudgmentsoughtshouldberenderedifthepleadings,thediscoveryanddisclosure materialsonfile,andanyaffidavitsshowthatthereisnogenuineissueastoanymaterial factandthatthemovantisentitledtojudgmentasamatteroflaw.Fed.R.Civ.P.56(c) Amaterialfactisonewhichwillaffecttheoutcomeofthecase,andamaterialfactraisesa genuineissueifareasonablejurycouldreachdifferentconclusionsconcerningthatfact. MayrenderpartialSJononlysomefacts,ortheissueofliabilityalone.56(d) MotionforSJmaybesupportedbyaffidavits,depositions,answerstointerrogatories, admissions,andadmissibledocuments.Fed.R.Civ.P.56(c),(e)[evenwhennotadmissible] Purpose: Toavoidtheriskofirrationaldecisionmakingbyjuries Toavoidthedelayandexpenseoftryingunprovablecases Waytoresolvecaseswherethepartiesagreeonfacts,butdisagreeastothelaw Toresolveindividualclaimsinamulticlaimlawsuit,orclaimsagainst/byoneparty Caselaw Apartyopposedtoasummaryjudgmentbaseduponaffidavitsmustassumesome initiativeinshowingthatafactualissueactuallyexists.Mustpresentsomefactsas opposedtobareallegations.(Lundeen8thCir.wives/will) SJinappropriatewherecasedependsoninferencesdrawnonlyfromtestimonyofthe plaintiffinaveryfactbounddetermination.(Cross2d.Cirtravelingprofessor) Whendefendantwantstoclaimthatyouhavenoproof,hemustactuallynegateall possibleinferencesthejurycoulddrawinyourfavor.(Adickes1970civilrights) Ifyouwanttosaytheplaintiffhasnoclaim,youdontneedtoproduceanyevidence ofyourown;justgothroughtheirevidenceandexplainhowitdoesntamountto anything.(Celotex1986asbestos) Thecourtshouldtakeintoaccounttheplaintiffsburdenofproofwhenmakinga summaryjudgmentdecision.(Anderson1986libel) Lackofmotivebearsontherangeofpermissibleconclusionsthatmightbedrawn fromambiguousevidence.(Matsushita1986antitrust) Houchens4thCir.1991guydisappears,thereisnoevidenceatall>notrial Valley Natl BankAriz.Ct.App.1981skeleton,bulletcasings>cangototrial

FRCP50.JudgmentasaMatterofLaw
JudgmentasaMatterofLaw(directedverdict)50(a)
Ifapartyhasbeenfullyheardonanissueduringajurytrialand thecourtfindsthatareasonablejurywouldnothavealegally sufficientevidentiarybasistofindforthepartyonthatissue, thecourtmayenterJML. Canbemadeassoonastheopposingpartyhasbeenfully heardonanissue

RenewedMotionforJML(j.n.o.v)50(b)
MaymoveforJMLafterjuryhasreturnedaverdict. Usesamestandard. MusthavepreviouslymademotionforJMLduringtrialitself.

FRCP59.NewTrial;Altering/Amending
foranyreasonforwhichanewtrialhasheretoforebeen grantedinanactionatlawinfederalcourt Verdictisagainsttheweightoftheevidence Damagesareexcessiveremittitur o Givesplaintiffoptiontoacceptlesseraward; otherwisenewtrialjustondamages o thereisNOpowerofadditurtoincrease Trialwasnotfair o Newlydiscoveredevidence o Impermissibleargumentsbycounsel o Misbehaviorbycounsel,judge,orjurymember Errorsinthetrialprocess o Improperadmissionorexclusionofevidence o Improperjuryinstructions o Jurorcontactwithwitnesses

SomecourtsfindyoumustmakeaJMLmotionandrenewitto beabletomakeamotionforanewtrial. 13

FRCP38preservesrighttojurytrialasdeclaredbythe7thAmend.(1791) Usehistoricaltestofwhethertherewouldbesucharighttoajuryin1791 Iflawandequitypresent,legalclaimsmustbetriedbyajuryfirst(Beacon) twoparttestforwhetherlegalorequitable:(Terry) 1. comparethestatutoryactiontohistoricalones 2. moreimportantly:examinetheremedysought Monetarydamagesarealegalremedyexceptwhentheyare restitutionary,orincidental/intertwinedwithinjunctiverelief. Butincasesofpreclusion,rememberthatapriornonjurydetermination CANprecludeyourrighttoasecondtrialwithajury(Parklane) FRCP39partiesmayconsenttononjurytrial Courtmayorderjurytrialonanyissueforwhichajurytrial mighthavebeendemanded

RighttoaJuryTrial

JuryTrialspecifics
FRCP47.SelectionofJurors[Voirdire]
(a) ExaminingJurors.[basicallyinjudgesdiscretion]Thecourtmay permitthepartiesortheirattorneystoexamineprospectivejurorsor mayitselfdoso.Ifthecourtexaminesthejurors,itmustpermitthe partiesortheirattorneystomakeanyfurtherinquiryitconsiders proper,ormustitselfaskanyoftheiradditionalquestionsitconsiders proper. (b) PeremptoryChallenges.Thecourtmustallowthenumberof peremptorychallengesprovidedby28U.S.C.1870.=THREE (c) ExcusingaJuror.Duringtrialordeliberation,thecourtmayexcusea jurorforgoodcause.

FRCP48.NumberofJurors
Ajurymustinitiallyhaveatleast6andnomorethan12members,and eachjurormustparticipateintheverdictunlessexcusedunderRule47(c). Unlessthepartiesstipulateotherwise,theverdictmustbeunanimousand bereturnedbyajuryofatleast6members.

Arbitration
FederalArbitrationAct(FAA),9U.S.C1etseq. manifestsaliberalfederalpolicyfavoringarbitrationagreements extendstoagreementstoarbitratestatutorydiscriminationclaims exclusionforseaman,railroadworkers,orothersmovinggoods agreedtobycontract,butcanbestruckdownasunconscionableor againstpublicpolicyorwhenrulesareinbadfaith rulescannotbesoonesidedastounderminetheneutralityof proceeding,musthaveimpartialdecisionmaker(Hooters) fairnessobjectionsshouldgenerallybemadetothearbitrator Morrison: cannotlimitanysubstantiverightorremedygrantedbystatute canreasonablylimitstatuteoflimitations canhavelimiteddiscoveryprocedures(time,#requests) canchangemixofremedies(reasonablepunitivelimitation) itisfinethatthisamountstoawaiverofrighttojurytrial Keythingswelookfor:equalityamongtheadversaries

FRCP49.SpecialVerdictsandInterrogatories
[Insteadofatraditionalgeneralverdict]Thecourtmayaskthejuryfor (a) Aspecialverdictofanswerstoquestionsaboutfactualissues (b) Ageneralverdictaccompaniedbyanswertointerrogatoriesabout particularissuesinthecase[therearerulesforwheninconsistent]

FRCP51.JuryInstructions
Thejudgeallowsbothpartiestosubmitjuryinstructionsandhechoose whichonestoreadtothejurysotheycanapplythelaw. Failuretoraiseanobjectionmeanswaived.Exceptionforplainerror

FRCP52.Nonjurytrialfindings
Inanactiontriedonthefactswithoutajuryorwithanadvisoryjury,the courtmustfindthefactsspeciallyandstateitsconclusionsoflaw separately.Findingsoffactshallnotbesetasideunlessclearlyerroneous. 14

 28U.S.C.1291Courtsofappealshaveappellatejurisdictionoverallfinal decisionsofdistrictcourts 4safetyvalvestoappealbeforefinaljudgment: entryofFJincasesofmultipleclaims/multipleparties(Rule54) writofmandamus injunctionexception certificationofquestionoflaw 28U.S.C.1292Interlocutorydecisions (a) Courtsofappealsshallhavejurisdictionover (1) Interlocutoryordersgranting,continuing,modifying,refusingor dissolvinginjunctions,orrefusingtodissolveormodify injunctions (2) Interlocutoryordersrelatingtoreceivers (3) Interlocutorydecreesinadmiraltycases (b) [Certificationofaninterlocutorydecision]Whendistrictjudge thinksorderinvolvesacontrollingquestionoflawastowhichthereis substantialgroundfordifferenceofopinionandthatanimmediate appealmaymateriallyadvancetheultimateterminationofthe litigation,heshallsostateinwritingtheorder. TheCourtofAppealswhichwouldhavejurisdictionofanappealof suchactionmaythereupon,initsdiscretion,permitanappealtobe takenfromsuchorder,ifapplicationismadetoitwithintendaysafter theentryoftheorder: Provided,however,Thatapplicationforanappealhereundershall NOTstayproceedingsinthedistrictcourtUNLESSthedistrictjudgeor theCourtofAppealsorajudgethereofshallsoorder.

Appeal

FRCP54(b) JudgmentonMultipleClaimsorInvolvingMultipleParties.
Whenanactionpresentsmorethanoneclaimforreliefwhetherasaclaim, counterclaim,crossclaim,orthirdpartyclaimorwhenmultiplepartiesare involved,thecourtmaydirectentryofafinaljudgmentastooneormore, butfewerthanall,claimsorpartiesonlyifthecourtexpresslydetermines thatthereisnojustreasonfordelay. otherwiseitsinterlocutoryandmayberevised Liberty Mutual:notseparateclaimsifmerelyruledononeofthealternative theoriesonwhichasingleclaimisbased.multipleclaimsarepresentedifthe theoriesofrecoverycouldbeseparatelyenforced.Agrantofpartialsummary judgmentlimitedtosayingliabilityexistsisbyitstermsinterlocutory.

WritofMandamus
AllWritsAct28U.S.C.1651(a)
TheSupremeCourtandallcourtsestablishedbyActofCongress mayissueallwritsnecessaryorappropriateinaidoftheirrespective jurisdictionsandagreeabletotheusagesandprinciplesoflaw. Cheney v. United States District Court(S.Ct.2004) Threeparttestforissuanceofthewritofmandamus Nootheradequatemeanstoattainthereliefsought Movantbearstheburdenofshowingthattherighttoreliefis clearandindisputable Issuingcourtinitsdiscretionmustbesatisfiedthatthewritis appropriateunderthecircumstances Limitsonscopeofreview Allegederrorsmustappearinthetrialcourtrecord Aggrievedpartymusthavepromptlyobjectedtothetrialcourt regardingrulesoreventsthatcouldhavebeencorrected Allegederrormustnotconstituteharmlesserror must haveaffectedsubstantialrights Briefmustindicatetheerror&pointtotherelevantportionof 15 thetrialrecord

WhetheracourtmayhearanappealistreatedlikeSMJ lowerappellatecourtsdecisionwillbereversedforlackof jurisdictionevenifproprietywasnotchallengedinlowercourt partiesmaynotwaivetherequirementsforanappeal

Preclusionisacommonlawdoctrine.Alwaysuptothecourtdecidingonit.butFullfaithandcreditmeansusepreclusionlawofwherefirstJrendered. Preclusionmaybewaivedexplicitlyorimplicitly(failuretoraiseearlyenough)

ClaimPreclusion(ResJudicata)
Purposes: letspartiesmoveon&relyonthecourtdecisionintheirfutureconduct avoidsthecostandhassletopartiesofasecondtrial conservesjudicialresources,preventsinconsistentjudgments Dangers: ignorescorrectnessofpriordecision:betterfinalthanright canprecludeclaimsleftoutduetoinadvertence/lawyererror

IssuePreclusion (CollateralEstoppel)
Purposes:Judicialefficiency,consistency,savepartiestimeandmoney IP(incl.nonmutual)cantrumprighttojurytrial(Parklane)

Requirements
1. Same/Identicalissue(seeLevy v. Kosher) 2. Issuewasactuallylitigated&actuallydecided Nottrueif:admitted,stipulated,notraised,ornotcontested 3. Fullandfairopportunitytolitigatetheissueinpriorproceeding 4. Finaljudgmentonthemerits 5. Decisionontheissuewasnecessarytothecourtsjudgment Ifcourtdecidesontwoindependent,sufficientgrounds,then courtstendtobesuspiciousofgivingpreclusiveeffecttoone 6. Partyagainstwhomassertedwaspartyorinprivitywithaparty ArbitrationorAdministrativeProceedings sufficesifithadcertainproceduralsafeguards(Jacobs v. CBS) o Judiciallikeadversaryproceeding o witnessesunderoath o applicationofrulestoasinglesetoffacts o conductedbeforeimpartialhearingofficer o righttosubpoenawitnessesandpresentdocumentaryevidence o verbatimrecordbyarbitrator o Whetherdecisionwasinwritingwithstatementofreasons o Whethertherewasapotentialforlaterjudicialreview

Requirements
1. Afinaljudgment Asopposedtoaninterlocutoryruling 2. Judgmentmustbeonthemerits Clearlydoesnotapplytodismissalovervenue,service,PJ,etc. CourtneedNOTdecidefactsorconductatrial Itisenoughthatplaintiffhadafullopportunitytolitigatethemerits o Dismissalunder12(b)(6)>barsasecondaction o DefaultorDismissalforfailuretoprosecute>barslateraction 3. Sameclaims:Arisesoutofthesametransactionoroccurrence everygroundofrecoverythatmighthavebeenpresented 4. Sameparties

Joinder
SomeoftheMAYSbecomeMUSTS(ifyoueverwanttotryaclaim)(Rush) YouareNOTbarredfrombringingclaimthatcouldNOThavebeenbrought e.g.instatecourt,cannotaddpatentinfringementclaim(exclusivefedJ) Decidingnopatternofdiscriminationdoesnotbarindividualclaims(Cooper) Voluntarysettlementdoesnotbindthosewhodontjoin.(Martin v. Wilks) Ruleagainstnonpartypreclusionsubjecttosixdiscreteexceptions:(Sturgell) Nonpartyagreestobeboundbyajudgment Substantiverelationship,i.e.privity interestsadequatelyrepresented:classaction,suitbytrustees&guardians Anonpartywhohasassumedcontroloveralawsuit(Montana) Specialstatutoryschemes:bankruptcy,probate,suitsonbehalfofpublic Nonpartyhascolludedtoavoidpreclusionbyusingaproxy onlyifputativeagentsconductofthesuitissubjecttothecontrolof thepartywhoisboundbytheprioradjudication.

NonmutualIssuePreclusion
o Partyseekingtoinvokeestoppelwasnotpartytooriginalsuit Partyagainstwhomitisassertedmusthavebeenpartyorinprivity Defensive:D2invokesagainstPwholosttoD1(Blonder-Tongue) Offensive:P2invokesagainstDwholosttoP1(Parklane) Trialcourtshavebroaddiscretioningranting.Consider: o mayleadtoPsadoptingawaitandseeapproachinsteadofjoining ifplaintiffcouldhaveeasilyjoinedoriginalaction DENYoff.IP o firstcasemayhavebeensmallstakes/inconvenientforum o proceduralrules/opportunitiesmaydiffer o iftherearepriorinconsistentjudgments noIP 16

FRCP23ClassActionsmustsatisfyallrequirementsof(a)andfitwithinonecategoryin(b)
(a) Prerequisites[mustmeetall]. *Theremustbeanidentifiableclass(c)(1)(B)[W.D.Wis:precise,objective,andpresentlyascertainable] **Theclassrepresentativemustbeamemberoftheclass (1) [Numerosity]theclassissonumerous[usually<25fails,>40works]thatjoinderofallmembersisimpracticable; (2) [Commonality]therearequestionsoflaworfactcommontotheclass; (3) [Typicality]claimsordefensesoftherepresentativepartiesaretypicaloftheclaimsordefensesoftheclass;AND (4) [Adequacy]therepresentativepartieswillfairlyandadequatelyprotecttheinterestsoftheclass. mustpossessthesameinterestandsufferthesameinjuryFalcon(hiredguycantrepresentnothired) (b) TypesofClassActions[needonlyfitone].AclassactionmaybemaintainedifRule23(a)issatisfiedandif: (1) [Prejudice]prosecutingseparateactionsbyoragainstindividualclassmemberswouldcreateariskof: (A) [prejudicetononclass]inconsistentorvaryingadjudicationswithrespecttoindividualclassmembersthat wouldestablishincompatiblestandardsofconductforthepartyopposingtheclass;or (B) [limitedfund]adjudicationswithrespecttoindividualclassmembersthat,asapracticalmatter,wouldbe dispositiveoftheinterestsoftheothermembersnotpartiestotheindividualadjudicationsorwould substantiallyimpairorimpedetheirabilitytoprotecttheirinterests; (2) [Injunctive/DeclaratoryRelief]thepartyopposingtheclasshasactedorrefusedtoactongroundsthatapply generallytotheclass,sothatfinalinjunctiverelieforcorrespondingdeclaratoryreliefisappropriaterespecting theclassasawhole;or (3) [Damages$]thecourtfindsthatthequestionsoflaworfactcommontoclassmemberspredominateoverany questionsaffectingonlyindividualmembers[mustlooktovariationsinstatelaw,andhowtrialwillbe conducted(individuallyoronaclassbasis)(Castano)],ANDthataclassactionissuperiortootheravailable methodsforfairlyandefficientlyadjudicatingthecontroversy.Thematterspertinenttothesefindingsinclude: (A) theclassmembers'interestsinindividuallycontrollingtheprosecutionordefenseofseparateactions; (B) theextentandnatureofanylitigationaboutthecontroversyalreadybegunbyoragainstclassmembers; (C) thedesirabilityorundesirabilityofconcentratingthelitigationoftheclaimsintheparticularforum;and (D) thelikelydifficultiesinmanagingaclassaction.<[generallythekeyone!] variationsinstatelaw;historyofsimilarclaims(orlackthereof),D:avoidjudicialblackmailonimmaturetort, P:whethernegativevalueasindividualsuit,judicialresourcesaresavedorincreased,delay(Castano)

(c) CertificationOrder;NoticetoClassMembers;Judgment;IssuesClasses;Subclasses.
(1) CertificationOrder. (A) TimetoIssue.Atanearlypracticabletimeafterapersonsuesorissuedasaclassrepresentative,thecourt mustdeterminebyorderwhethertocertifytheactionasaclassaction. (B) DefiningtheClass;AppointingClassCounsel.Anorderthatcertifiesaclassactionmustdefinetheclassand theclassclaims,issues,ordefenses,andmustappointclasscounselunderRule23(g). (C) Anorderthatgrantsordeniesclasscertificationmaybealteredoramendedbeforefinaljudgment. (2) Notice. (A) For(b)(1)or(b)(2)Classes.ForanyclasscertifiedunderRule23(b)(1)[prejudice]or(b)(2) [injunctive/declaratory],thecourtMAYdirectappropriatenoticetotheclass. (B) For(b)(3)Classes.ForanyclasscertifiedunderRule23(b)(3)[damages],thecourtMUSTdirecttoclass membersthebestnoticethatispracticableunderthecircumstances,includingindividualnoticetoall memberswhocanbeidentifiedthroughreasonableeffort.[costbornebypartyseekingclassaction;maybe latertakenoutofrecovery]Thenoticemustclearlyandconciselystateinplain,easilyunderstoodlanguage: [abunchofimportantstuff,see23(c)(2)(B)(i)(vii)...] (3) Judgment.Whetherornotfavorabletotheclass,thejudgmentinaclassactionmust: (A) forclasscertifiedunder(b)(1)or(2),includeanddescribethosewhomthecourtfindstobeclassmembers; 17

(B) forclasscertifiedunder(b)(3),includeandspecifyordescribethosetowhomtheRule23(c)(2)noticewas directed,whohavenotrequestedexclusion,andwhomthecourtfindstobeclassmembers. (4) Whenappropriate,anactionmaybebroughtormaintainedasaclassactionwithrespecttoparticularissues. (5) Whenappropriate,aclassmaybedividedintosubclassesthatareeachtreatedasaclassunderthisrule. (d) ConductingtheAction. (1) InGeneral.Inconductinganactionunderthisrule,thecourtMAYissueordersthat: (A) determinethecourseofproceedingsorprescribemeasurestopreventunduerepetitionorcomplicationin presentingevidenceorargument; (B) requiretoprotectclassmembersandfairlyconducttheactiongivingappropriatenoticetosomeorall classmembersof: (i) anystepintheaction; (ii) theproposedextentofthejudgment;or (iii) themembers'opportunitytosignifywhethertheyconsidertherepresentationfairandadequate,to interveneandpresentclaimsordefenses,ortootherwisecomeintotheaction; (C) imposeconditionsontherepresentativepartiesoronintervenors; (D) requirethatthepleadingsbeamendedtoeliminateallegationsaboutrepresentationofabsentpersonsand thattheactionproceedaccordingly;or (E) dealwithsimilarproceduralmatters. (2) CombiningandAmendingOrders.AnorderunderRule23(d)(1)maybealteredoramendedfromtimetotime andmaybecombinedwithanorderunderRule16. (e) Settlement,VoluntaryDismissal,orCompromise.Theclaims,issues,ordefensesofacertifiedclassmaybe settled,voluntarilydismissed,orcompromisedonlywiththecourt'sapproval.Thefollowingproceduresapplytoa proposedsettlement,voluntarydismissal,orcompromise: (1) Thecourtmustdirectnoticeinareasonablemannertoallclassmemberswhowouldbeboundbytheproposal. (2) Iftheproposalwouldbindclassmembers,thecourtmayapproveitonlyafterahearingandonfindingthatitis fair,reasonable,andadequate. (3) Thepartiesseekingapprovalmustfileastatementidentifyinganyagreementmadeinconnectionwiththeproposal. (4) IftheclassactionwaspreviouslycertifiedunderRule23(b)(3)[damages],thecourtmayrefusetoapprovea settlementunlessitaffordsanewopportunitytorequestexclusiontoindividualclassmemberswhohadan earlieropportunitytorequestexclusionbutdidnotdoso. (5) Anyclassmembermayobjecttotheproposalifitrequirescourtapprovalunderthissubdivision(e);the objectionmaybewithdrawnonlywiththecourt'sapproval. (f) Appeals.Acourtofappealsmaypermitanappealfromanordergrantingordenyingclassactioncertificationunder thisruleifapetitionforpermissiontoappealisfiledwiththecircuitclerkwithin1?daysaftertheorderisentered. Anappealdoesnotstayproceedingsinthedistrictcourtunlessthedistrictjudgeorthecourtofappealssoorders. (g) ClassCounsel. (1) AppointingClassCounsel.Unlessastatuteprovidesotherwise,acourtthatcertifiesaclassmustappointclass counsel.Inappointingclasscounsel,thecourt:[mustconsideralotoffactors,seeRule23(g)...] (h) Attorney'sFeesandNontaxableCosts.[seeRule23(h)...] Adequacyofrepresentationmaybeexaminedbyoriginalcourt;byappellatecourt;andbyacollateralattack. AllstatenotedtheDueProcessandtheFullFaithandCreditClauseprovidedmodestrestrictionsontheapplicationof forumlaw.TheserestrictionsrequiredthatforaStateslawtobeselected,thatStatemusthaveasignificantcontact orsignificantaggregationofcontacts,creatingstateinterests,suchthatchoiceofitslawisneitherarbitrarynot fundamentallyunfair.Thisappliestonationwideclassactions(Shutts). AStatemayexercisejurisdictionovertheclaimofanabsentclassactionplaintiff,eventhoughthatplaintiffmaynot possesstheminimumcontactswiththeforumstatewhichwouldsupportpersonaljurisdictionoveradefendant. HOWEVER,mustprovideminimalproceduraldueprocessprotection:notice+OTBH.mustallowtooptout.Also requiresthatthenamedplaintiffatalltimesadequatelyrepresenttheinterestsoftheabsentclassmembers.Shutts 18

CAFA28U.S.C.1332(d)
Requirements: - therearemorethan100classmembers - Minimaldiversity:anyclassmemberisdiversefromanydefendant - Morethan$5millionintotalisincontroversy,exclusiveofinterest andcosts CAFAExceptions. LocalControversies28U.S.C.1332(d)(4) MUSTdeclinefederalSMJwhen: a. morethan2/3oftheclassmembersarefromtheforumstate;AND b. either i. TheprimarydefendantisfromthatstateOR ii. (A)asignificantdefendantisfromthatstate; (B)theprincipalinjurieswereincurredinthatstate;and (C)nootherclassactionontheissuehasbeenfiledinthe preceding3years. DefendantsHomeState28U.S.C.1332(d)(3) MAYdeclinefederalSMJ(basedonconsiderationofsixenumerated factorsandatotalityofcircumstances)when: c. between1/3and2/3oftheclassmembersarefromtheforum state;and d. theprimarydefendantsarefromthatstate. TheDelawareCarveOut28U.S.C.1332(d)(9) CAFAreservesDelawaresjurisdictionovermostcorporatecasesby statingthatitwillNOTapplytoclassactionsthatsolelyinvolvinga claim: e. thatconcernacoveredsecurityasdefinedbycertainfederal securitieslaws,28U.S.C.1332(d)(9)(A); f. thatrelatestointernalaffairsorgovernanceofacorporation... thatarisesunderorbyvirtueofthelawsoftheStateinwhichsuch corporation...incorporatedororganized,28U.S.C. 1332(d)(9)(B);OR

g. thatconcernsfiduciarydutiescreatedbysecuritieslaws,28U.S.C. 1332(d)(9)(C); CivilRightsException28U.S.C.1332(d)(5) RejectsjurisdictionwhentheprimarydefendantsareStates,State officials,orothergovernmentalentitiesagainstwhomthedistrictcourt maybeforeclosedfromorderingrelief

CAFARemovalRules28U.S.C.1453
Anydefendant,includinginstatedefendants,canremove Anydefendantcanremoveevenifalldefendantsdonotconsent Thereisno1yearlimitonthetimingofremoval;and Districtcourtdecisionstoremandarereviewableifreviewsought within7days,andmustbedecidedwithin60daysofacceptance (withapossibly10dayextension)

CAFASettlementRequirements28U.S.C17111715
1711.Definitions 1712.Couponsettlements 1713.Protectionagainstlossbyclassmembers Thecourtmayapproveaproposedsettlementunderwhichanyclass memberisobligatedtopaysumstoclasscounselthatwouldresultinanet losstotheclassmemberonlyifthecourtmakesawrittenfindingthat nonmonetarybenefitstotheclassmembersubstantiallyoutweighthe monetaryloss. 1714.Protectionagainstdiscriminationbasedongeographiclocation ThecourtmayNOTapproveaproposedsettlementthatprovidesforthe paymentofgreatersumstosomeclassmembersthantootherssolelyon thebasisthattheclassmemberstowhomthegreatersumsaretobepaid arelocatedinclosergeographicproximitytothecourt. 1715.NotificationstoappropriateFederalandStateofficials [governmentofficialsmustbenotifiedofpendingclassactionsettlements andbegiventimetocommentuponthembeforethesettlementisfinalize

19