Flashcards in Federal Jurisdiction and Procedure Deck (155):
MEE Six Components of Federal Civil Procedure
1. Jurisdiction and venue;
2. Federal law;
3. Injunctions and provisional remedies;
4. Pretrial procedures;
5. Trial procedures;
6. Verdicts and judgments.
Two Branches of Jurisdiction
1. Personal Jurisdiction
2. Subject Matter Jurisdiction
The ability of a court to exercise power over a particular defendant or item of property.
Two Limitations on Personal Jurisdiction
1. Statutory Limitations
2. Constitutional Limitations
Three Types of Personal Jurisdiction
1. In Personam Jurisdiction
2. In Rem Jurisdiction
3. Quasi in Rem Jurisdiction
Five Statutory Limitations on In Personam Jurisdiction
1. Where the Defendant is present in the forum state and is personally served with process;
2. Where the Defendant is domiciled in the forum state;
3. Where the Defendant consents to jurisdiction;
4. Where the Defendant has committed acts bringing him within the forum state's long arm statutes.
Statutory Limitations on In Personam Jurisdiction: Physical Presence at Time of Personal Service
Most states grant their courts in personam jurisdiction over any defendant who can be served with process within the borders of the state, no matter how long he was present.
1. Service by fraud or force invalid
2. Immunity of Parties and Witnesses
Statutory Limitations on In Personam Jurisdiction: Domicile
If a person has legal capacity, her domicile is the place:
1. she resides (even for a moment),
2. Coupled with the intention to make that place her home.
Statutory Limitations on In Personam Jurisdiction: Consent to Jurisdiction
In Personam jurisdiction through consent by defendant:
4. Voluntary Appearance (special appearance)
Statutory Limitations on In Personam Jurisdiction: Long Arm Statutes for Jurisdiction
Most states also grant their courts in Personam jurisdiction over nonresidents who perform or cause to be performed certain acts within the state or who cause results within the state by acts performed out of the state.
Approach to Start Arkansas Long Arm Statute Answer
As revised in 1995, the Arkansas long arm statute provides for personal jurisdiction "to the maximum extent permitted by the due process of law clause of the 14th Amendment of the Constitution.
Sentence two is "minimum contacts."
Sentence three "reasonableness"
Two Components of the Constitutional Aspect
1. Contacts with the forum (contact, relatedness, and fairness);
Constitutional Limitations on In Personam Jurisdiction: Sufficient Contacts with the Forum
1. Physical presence
4. Purposeful availment (shipping into state)
5. Foreseeability (reasonable)
6. Stream of Commerce
7. Systematic and Continuous Quantity of Products in State
8. Specific (1 item)/General( continuous and systematic shipping widgets forever) jurisdiction
9. Unclear on Internet cases.
Constitutional on In Personam Jurisdiction: Two Components of Sufficient Contacts with a Forum
1. Purposeful availment
2. Forum State's Interest;
3. Plaintiff's interest in obtaining convenient and effective relief;
4. The interstate judicial system's interest in obtaining the most efficient resolution of controversies;
5. The shared interest of the states in furthering fundamental substantive social policies.
Constitutional Limitations on In Personam Jurisdiction: Notice
By a reasonable method used to notify the defendant of a pending lawsuit.
Best practical means for multiple or unknown parties.
Does not have to be actual notice.
Second Type of Personal Jurisdiction: In Rem Jurisdiction
Adjudicate rights of all persons with respect to property located in the state.
An in rem judgment does not bind the parties personally, but is binding as to the disposition of the property in the state.
Statutory Limitations on In Rem Jurisdiction
Statutes providing jurisdiction in actions for:
2. title registration
3. confiscation of property
4. forfeiture of a vessel,
5. distribution of the assets of an estate,
6. a grant of divorce when only the complaining spouse is present and subject to personal jurisdiction. (status)
Constitutional Limitations on In Rem Jurisdiction
1. Nexus (in state, not brought in by fraud or force)
Third Type of Personal Jurisdiction: Quasi In Rem Jurisdiction
A court without In Personam jurisdiction to determine certain disputes between a plaintiff and defendant regarding property when the property is located in the forum state.
Two types of Quasi In Rem Jurisdiction
1. Type 1 - involves disputes between parties over their rights in property within the state.
2. Type 2 - involves disputes unrelated to the in-state property and has been severely limited by the Supreme Court.
Statutory Limitations on Quasi In Rem Jurisdiction
Any judgment against the defendant can be satisfied only out of that property.
Constitutional Limitations on Quasi in Rem Jurisdiction
1. Type 1 - Presence of property
2. Type 2 - Minimum contacts with the forum.
- best practical notice.
Procedural Requirements of Quasi In Rem Jurisdiction
Plaintiff must bring the asset before the court by attachement (or garnishment).
Subject Matter Jurisdiction
Limited to that authorized by the Constitution as implemented by federal state and decisional law.
Four Types of Subject Matter Jurisdiction
1. Diversity of Citizenship Jurisdiction
2. Federal Question Jurisdiction
3. Removal Jurisdiction
4. Supplemental Jurisdiction
Diversity of Citizenship Jurisdiction Requirements
1. Complete diversity (no plaintiff may be a citizen of the same state as any defendant)
2. Amount in controversy exceeding $75,000.
**Must exist as of the time the suit is instituted.
Interpleader Exception to Complete Diversity
That among the parties there be "two or more adverse claimants, of diverse citizenship."
All other claimants may be citizens of the same state.
Over "alienage" cases, in which the dispute is between a citizen of a U.S. state and an "alien."
**Must not be a permanent resident alien domiciled as same as Plaintiff.
Complete Diversity: Determination of Citizenship of an Individual
1. residence in the State
2. intent to remain there.
Complete Diversity: Determination of Citizenship of a Corporation
1. State incorporated in
2. Principal State of business (Nerve center)
Complete Diversity: Determination of Citizenship of Insurance Company when they are the sole party being sued
1. The state or foreign country in which the insurer is incorporated (if it is),
2. The state or foreign country in which the insurer has its principal place of business
3. The state or foreign country of which the insured is a citizen.
Complete Diversity: Determination of Citizenship of Uncorporated Assocations
1. May sue or be sued in its own name if local state law so permits;
2. Is an aggregate of individuals if local state law follows the common law rule
**Each and every one of its members
Complete Diversity: Determination of Citizenship of Business Trusts
Trustee are the real parties in interest and their citizenship determines whether there is diversity.
Complete Diversity: Legitimate Technique to Create or Destroy Diversity
Genuinely change domicile
Complete Diversity: Illegitimate Technique to Create or Destroy Diversity
- No good faith
- Someone assigns a promissory note to someone who satisfies diversity
Supplemental Jurisdiction (Ancillary Jurisdiction)
Judicial discretion allows additional related claims to come in that:
Arise from a COMMON NUCLEUS OF OPERATIVE FACT
1. Compulsory Counter Claim - Ark sues TX, TX sues X for 12K, same underlying matter
2. Cross-Claim - Ark sues 2TX, TX1 sues TX2, same transaction
3. Third Party Claim - Interpleader
**USED FOR FEDERAL QUESTION ONLY
Complete Diversity: Exceptions to Diversity
1. Domestic Relations
NO FEDERAL COURT
Amount in Controversy
What is claimed in the complaint, disregarding potential defenses or counterclaims.
**Not collateral consequences
Amount in Controversy for Separate Claims
1. One Plaintiff v. One Defendant
- add all plaintiff's demands together.
2. One Plaintiff v. Three Defendants
- "Is Plaintiff suing for Joint and Several liability for >= 75K.
3. Five Plaintiff v. One defendant
- they don't add together
**If one Plaintiff has claims in excess of 75K, supplemental jurisdiction captures the rest.
Law Applied Under Diversity Jurisdiction
Apply the substantive law of the state (determine what decision the highest court of the state would reach) in which it is sitting, including the state's conflict of law rules.
However, the federal courts apply federal procedural law.
Multiparty, Multiform Trial Jurisdiction Requirements
1. The action
2. Minimal Diversity
3. One Additional Condition (1 of 3)
Multiparty, Multiform Trial Jurisdiction Requirements: The Action
Civil actions that:
1. arise from a singe accident,
2. where at least 75 natural persons have died in the accident;
3. at a discrete location.
Multiparty, Multiform Trial Jurisdiction Requirements: Minimal Diversity
At least one plaintiff be of diverse citizenship from at least one defendant.
Multiparty, Multiform Trial Jurisdiction Requirements: One Additional Condition
One of three other conditions:
1. A defendant "resides" in a different state from the place where "a substantial part" of the accident took place.
2. Any two defendants "reside" in different states;
3. Substantial parts of the accident took place in different states.
Multiparty, Multiform Trial Jurisdiction Intervention
Anyone "with a claim arising from the accident" is permitted to intervene.
Multiparty, Multiform Trial Jurisdiction Service of Process
Nationwide service of process
Federal Question Jurisdiction
The federal question must appear as post of the Plaintiff's cause of action as set out in a well-pleaded complaint.
"arising under" federal law
Supplemental (Pendent) Jurisdiction under Federal Question Jurisdiction
Discretion of the federal court if they "derive from the common nucleus of operative fact" AND "are such that a plaintiff would ordinarily be expected to try them all in one judicial proceeding.
**Can refuse to hear State if Federal dismissed.
LOOK FOR SAME TRANSACTION, SIDE WITH JURISDICTION IF FOUND
Exclusive Jurisdiction of Congress
1. Bankruptcy Proceedings
2. Patent and Copyright Cases
3. Many cases where the US is involved
4. Cases with Consuls and Vice-Consuls as Defendants
7. Foreign State
8. Postal Matters
9. Internal Revenue
10. Securities Exchange Act
Proper geographic district in which to bring the action.
Can be conferred by agreement.
1. A judicial district where any defendant resides;
2. A judicial district in which a substantial part of the events or omissions giving rise to the claim occurred, or a substantial part of property that is the subject of the action is situated;
3. If no 1 or 2, a judicial district in which any defendant is subject to personal jurisdiction with respect to such action.
Where can a civil action against the United States or an agency, officer, employer acting in his official capacity be brought?
1. Where a defendant resides.
2. Where substantial part of the events or omissions
3. where the Plaintiff resides if no real property is involved in the action.
Venue for Individual
1. Where defendant is domicile;
2. Where substantial part of events or omissions took place.
Venue for Business Entities
Where there is minimum contacts.
If none, most significant contact
Venue for Nonresident of United States
Any judicial district.
Where you want to move it to another district:
1. "where it might have been brought"
- Subject Matter Jurisdiction
- in personam jurisdiction over the defendant
2. Consent of all parties
Judicial Considerations in Venue Transfer
- Forum Selection Clause
- Great inconvenience for parties
Options of Court for Improper Venue
1. Dismiss the case
2. "in the interests of justice", transfer the case to a venue which is proper.
**Lack of Personal Jurisdiction does not eliminate power to Transfer
**Can be waived
Law Applicable Upon Transfer
If Original venue is proper, original applicable law applies
If Original venue is improper, change of law to where it sits.
Removal from State court to Federal court IF:
1. The case could have originally been filed in a federal court;
2. for cases removed on the basis of diversity, no defendant is a citizen of the state where the action is filed.
**Only apples to Federal Question Claims
Who can exercise the right of removal?
A defense to the claim is not enough, need a federal question.
Procedure to Remove
1. File a notice of remove in the federal district court in the district and division within which the action is pending.
2. Send a copy of the notice to the other parties and to the state court.
3. Demand for Jury Trial within 14 days UNLESS ALREADY DONE
STATE COURT CAN NO LONGER DEAL WITH IT
**Within 30 days of notice of status of removal (complaint) OR when status changes to irremovable
**Plaintiff can petition to remand
1. In certain actions against federal officers when they were allegedly acting under color of law
2. Federal employees for torts by motor vehicles committed in the scope of employment;
3. Action involving international banking
4. Criminal or civil actions where the defendant will be denied a right protected under federal civil rights statutes, but only if the denial is inevitable under state law.
1. Actions under the DELA and Jones Act.
2. Actions for less than 10K against carriers for losses to certain shipments in interstate commerce,
3. Workers' compensation proceedings
4. Fair Labor Standards Act
Conflict of Jurisdiction Between State and Federal Courts
Full Faith and Credit extended to Federal Courts
Federal court is prohibited from enjoining pending state court proceedings UNLESS expressly authorized by statute OR "where necessary in aid of its jurisdiction, or to protect or effectuate its judgments"
Doctrine of Abstention
Federal courts will retain jurisdiction over a suit involving a challenge to the constitutionality of a state law but abstain from deciding the question until a decision has been made by the State courts on the meaning of the State law.
1. Great and immediate irreparable injury;
2. Bad faith in the prosecution of the state action
3. Harassment or other unusual circumstances calling for federal equitable relief.
Federal Rules of Civil Procedure
Federal Rules of Civil Procedure
Commencement of the Action
Filing a complaint with the court.
Diversity cases, statute of limitations is satisfied upon service date.
Service of Process: Who may serve?
Anyone at least 18 and not a party to the action.
Sheriff, Process server
Service of Process: How Service is made?
1. Personal service;
2. Service left at the defendant's usual place of abode with one of suitable age and discretion
3. Service upon an authorized agent of the defendant.
**Service by state rule or waiver is valid
1. Waiver sent to Defendant;
2. Defendant responds in 60 days;
3. If not waived, Plaintiff must serve by 1 of the 3 conventional ways of service.
How long to serve?
120 from filing.
Personal Jurisdiction over parties served outside the state
1. Under statute and rules of extraterritorial service of the state in which the federal court sits (domicile, long arm, in rem)
2. If they are 3rd party defendants or required to be joined for just adjudication, if served within 100 miles from place where summons issued.
3. If out-of-state service is permitted by federal statute (interpleader)
4. For cases that involve a federal question, minimum contacts is applied.
Personal Jurisdiction Over Parties Served Outside the US
1. As provided by international agreement;
2. The foreign country's law or as directed by a foreign official;
3. By personal service or by mail, signed return receipt requested;
4. Any method court orders.
Immunity from Process
Parties, witnesses, and attorneys who enter a state to appear in another action.
Motions That Must be Filed within 28 days after entry of judgment
1. A renewed motion for judgment as a matter of law,
2. a motion to amend judgment
3. A motion for a new trial,
4. A motion to amend findings of fact in a nonjury case, and a grant of a new trial on the court's initiative.
An equitable remedy by which a person is ordered to act or to refrain from acting in a specified manner.
Granted to maintain the status quo until a trial on the merits may be held.
Sought by a party prior to a trial on the merits of the complaint:
1. Irreparable harm
2. Balancing of hardships
3. Public interest?
4. Likelihood of success on the merits.
May not be issued without notice to opposing party.
**Duration is until trial on the merits.
Ex Parte Temporary Restraining Order
Generally must give notice UNLESS:
1. Immediate and Irreparable Injury
2. Efforts to Give Notice
3. Security for losses and damages incurred by adverse party if wrongfully enjoined or restrained.
Notice of TROs
Actual notice required to be held liable for breach of restraining order.
Time TRO Lasts
14 days UNLESS otherwise consented to by adverse party.
Provide for tretrial seizure of property for the purpose of securing satisfaction of a judgment that may be entered in the case.
**Prima facie case that property will likely not be available after trial if relief is not granted.
**Follow State Law
A court order directing that money or property in the hands of a third party be seized.
A process by which another's property is seized in accordance with a writ or judicial order for the purpose of securing a judgment yet to be entered.
A process by which the plaintiff takes possession of and holds disputed property during the lawsuit.
Serve the function of giving notice to the opposing parties.
Three Elements of Complaint
1. Short statement of jurisdiction
2. Short statement of claim showing party is entitled to relief
3. Demand for relief.
What is a motion?
Request for the court to do something.
Respond in 21 days
1. Rule 12 (b) Motion
2. Motion for More Definite Statement
3. Motion to Strike by Plaintiff
Rule 12 (b) Motions
1. Lack of subject matter jurisdiction;
2. Lack of personal jurisdiction;
3. Improper venue;
4. Insufficient process;
5. Insufficient service of process;
6. Failure to state a claim upon which relief can be granted
8. Failure to join a party needed for a just adjudication.
2-5 Must be filed at time of motion or answer.
Answer to a Complaint
21 days after service UNLESS mailed or waives formal service 60 days.
Pre-trial motions response in 14 days.
Effect of failure to Answer
1. The plaintiff's claim against the defaulted defendant is for a sum certain;
2. the default was entered because the defendant failed to appear
3. the defaulted defendant is not an infant or incompetent person
Reply to Answer
Only if court ordered
Amendment and Supplemental Pleadings
To do justice, leave to amend shall be freely granted OR written consent of adverse party.
Once within 21 days
Certification of Attorney Upon Presenting Paper to Court
1. No improper purpose
2. Warranted by existing law or for modification
3. Evidentiary support
4. Warranted on the evidence
Safe Harbor Rule
21 day period to fix before sanctions filed.
Joinder of Parties
Compulsory Joinder Analysis
1. Should the absentee be joined?
2. Can the absentee be joined?
3. Should the action proceed in his absence?
Compulsory Joinder Analysis: Should the Absentee be Joined
1. Complete relief cannot be accorded
2. Has such an interest in the subject matter that the lawsuit may
- impair or impede his ability to protect the interest;
- leave any other parties subject to a substantial risk of incurring multiple or inconsistent obligations.
Compulsory Joinder Analysis: Can the absentee be joined?
Personal or Subject Matter Jurisdiction.
Compulsory Joinder Analysis: Should the Action proceed without the absentee?
1. Prejudice to the absentee or available parties
2. extent prejudice can be avoided
3. adequacy of judgment
4. if dismissed, plaintiff will have an adequate remedy
1. Same series of occurrences or transactions
2. Question of fact or law common to all the parties.
Requirements of a Class
1. More than 1
2. Common questions of law or fact
3. Named parties interests are typical
4. Fair and adequate representation given by representative.
Three Types of Clases
1. risk of inconsistent results, or would impair the interest of other absent members of the class (closely united, owners);
2. A defendant has acted or refused to act on grounds applicable to the class and injunctive or declaratory relief is appropriate for the class as a whole;
3. Consumer class.
Factors Considered by Court in Treating as Class Action
1. Interest of individual control
2. Extent and nature of litigation elsewhere on the same subject;
3. the desirability of having the whole package in this court;
4. the difficulties in managing the class action.
Dismissal or Settlement of a Class Action
Court must approve
Minority Shareholder Derivative Suits
Must alleged in a verified complaint that:
1. shareholder at the time of transaction complained
2. not a collusive effort to confer jurisdiction
3. Demand on the directors, or if state law says, reasons why no demand.
Name Corporation as Defendant
Court approval needed for dismissal or settlement
Permits a person in the position of a stakeholder to require two or more claimants to litigate among themselves to determine, which, if any, has the valid claim where separate actions might result in double liability on a single obligation.
Rule 22 Interpleader
1. Complete Diversity
Section 1335 Federal Interpleader Statute
2. Minimal diversity 2/4 must be from different states.
Two Types of Intervention
1. Intervention as of Right
2. Permissive Intervention.
Intervention as of Right
1. Interest in Subject Matter
2. Outcome may effect my interest
3. Nobody is looking out for me.
Discretionary with the Court.
Must not destroy complete diversity AND must be supported by its own jurisdictional ground.
Third Party Practice (Impleader)
A defending party may implead a nonparty, but only if the nonparty is or may be liable to her for any part of a judgment that the plaintiff may recover against her.
Indemnify AND contribution
1. Hide and Seek
2. Show and Tell
1. Names, addresses, phone numbers
3. proof of damages
4. insurance liability amount of judgment
Scope of Discovery
Discovery may be had of "any nonprivileged matter that is relevant to any party's claim or defense"
Six Techniques of Discovery
2. Deposition on Written Questions
4. Request for documents; access to property
5. Physical examination
6. Request for admission
Use of Depositions at Trial
1. To impeach
2. For deponent more than 100 miles away or unable because age, sickness.
3. For any purpose if the deponent is an adverse party.
Ways to End a Lawsuit
2. Rule 12(b)(6) demurrer
3. Judgment on the pleadings
4. Voluntary dismissal/non-suit
5. Involuntary dismissal w/prejudice
6. Summary Judgment
9. Directed Verdict
11. Renewed JNOV
12. Motion for New Trial
13. Motion to Vacate
Elements of Summary Judgment
1. Written evidence
3. "no genuine issue of material fact"
4. Competing evidence from non-movant
5. Partial Summary Judgment or Full or None
Alternative Dispute Resolution
1. Contractual Arbitration
2. Judicial Arbitration
Seven Principles from Case Law Regarding Right to a Jury Trial under the 7th Amendment
1. combined legal and equitable claims (jury)
2. Formerly equitable proceeding or remedy (jury)
3. Legal claims are only incidental, jury, tried first
4. Claim is statutory in nature, maybe is granted by statute
5. Claim is restitutionary: No jury
6. Claim goes to an administrative agency: No jury
7. Claim involves public rights: No jury
**Suits of common law
6 unanimous decision - 12 majority
**Unless otherwise agreed upon
Three Types of Jury Verdicts
1. General Verdict
2. Special Verdict
Jury finds for the Plaintiff or Defendant and gives the amount of damages or relief due.
1. Series of questions, numbered yes or no
2. Judge takes answer and gives result
General verdict but required to answer specific questions.
Motion for Judgment as a Matter of Law
The motion may be made by any party any time before submission of case to jury.
1. Nonmoving party has fully been heard
2. a reasonable jury would not have a legally sufficient bases to find for the nonmoving party on that issue.
Renewed Motion for Judgment as a Matter of Law
Filed before 28 days from entry of judgment.
May only raise the issues raised in the motion for JMOL previous.
Motion for New Trial
Must be made before 28 days from entry of judgment.
Gives judge sweeping discretion
Grounds are something that was a mistake.
Plaintiff is given the chance between accepting an award less than that given her by the jury or submitting to a new trial.
New trial on damages not liability.
Motion to Vacate, Set aside, for relief from judgment
Grounds (timing to file):
1. Mistake or excusable neglect (1 year)
2. Newly discovered evidence that could not have been discovered (1 year)
3. Fraud, misrepresentation (1 year)
4. Judgment void (reasonable)
5. Judgment is satisfied, released, or discharged (reasonable)
6. Any other reason. (reasonable)
Time for appeal
file notice of appeal 30 days from the entry of the judgment.
1. Final Orders
2. Certain interlocutory orders
Reviewable Interlocutory Orders
4. Patent Infringement
5. Property Possession
6. Interlocutory Appeals Act
Review under the Interlocutory Appeals Act
1. Broadest trial judge discretion
2. Court of appeals then agree to allow the appeal. (Within 10 days of approval)
Collateral Order Rule
If the claim or issue is separable from and collateral to the main suit and is too important to require deferring appellate review, it may be classified as a judgment in a separate "collateral" proceeding and thus be appealable.
Writ of Mandamus
Commands a trial judge to act
Commands the judge to refrain from acting.
Can certifications of class be appealed?
yes within 14 days of entry of the order.
How to get appeals to Supreme Court?
Writ of Certiorari
Arkansas Five Part Definition to Res Judicata
1. The first lawsuit ended in a judgment on the merits;
2. The first lawsuit was based upon proper jurisdiction;
3. The first lawsuit was fully contested in good faith;
4. Both lawsuits involve the same parties;
5. Both lawsuits involved the same claim or cause of action.
1. Broken leg, broken arm
2. Two car collision, assault, slander
**JUDICIAL ECONOMY, focus on Transaction or Occurrence
Effect of Resjudicata
1. Claim preclusion
2. Merger and bar.
Requirements for "merger" and "bar"
1. The earlier judgment is a valid, final jugment on the merits;
2. The cases are brought by the same claimant agianst the same defendant
3. The same cause of action is involved in the later lawsuit.
Collateral Estoppel (Issue Preclusion)
1. The issue sought to be precluded must be the same as that in the prior litigation;
2. The issue must have been determined in a valid and final judgment;
3. The issue must have been actually litigated;
4. The determination must have been essential to the judgment.
Res Judicata and Collateral Estoppel in Special Situations
1. Judgment for Specific Performance? merger does not apply, bar and collateral estoppel does.
2. In Rem Judgments - binding on all parties
3. Quasi in Rem Judgments - no personal judgment is granted against anyone and no other property is affected.
Parties (and parties in privity) are bound.
A person so identified with another that he represents the same legal right.