Juris Doctor (JD) Civil Procedure Syllabus

What are the 'reasonableness' (fairness) factors in specific personal jurisdiction (Asahi/World-Wide Volkswagen)?

(1) Burden on the defendant; (2) forum state's interest; (3) plaintiff's interest in convenient relief; (4) interstate judicial system's interest in efficiency; and (5) shared interest of the states in furthering social policies.

What did International Shoe establish as the standard for personal jurisdiction?

Due process requires that a defendant not present in the forum have 'minimum contacts' with it such that maintaining the suit does not offend traditional notions of fair play and substantial justice.

What is a long-arm statute and how does it interact with constitutional limits?

A long-arm statute is the state law authorizing its courts to exercise personal jurisdiction over out-of-state defendants. A court must find both that (1) the statute reaches the defendant and (2) the Due Process Clause permits jurisdiction. Some statutes extend to the full constitutional limit; others enumerate specific acts.

Under Rule 4, what are the principal methods of serving an individual within the U.S.?

(1) Following state law of the forum or where served; (2) personal delivery to the individual; (3) leaving copies at the dwelling with a person of suitable age and discretion residing there; or (4) delivery to an authorized agent.

What is the time limit for serving process under Rule 4(m), and the consequence of missing it?

Service must be made within 90 days after the complaint is filed. If not, the court must dismiss without prejudice or order service by a specified time; it must extend time if the plaintiff shows good cause.

State the general federal venue rule under 28 U.S.C. § 1391(b).

Venue is proper in (1) a district where any defendant resides, if all defendants reside in the same state; (2) a district where a substantial part of the events/omissions occurred or property is situated; or (3) if neither applies, any district where any defendant is subject to personal jurisdiction (fallback).

How is residence for venue purposes determined for individuals and entities under § 1391(c)?

An individual resides in the district of their domicile. An entity (defendant) resides in any district where it is subject to personal jurisdiction with respect to the action. A plaintiff entity resides only at its principal place of business.

Compare transfer under 28 U.S.C. § 1404(a) and § 1406(a).

§ 1404(a): transfer FROM a proper venue to another proper/more convenient venue for convenience of parties/witnesses and interests of justice. § 1406(a): transfer (or dismiss) when the original venue is IMPROPER, sending it to a district where it could have been brought.

What choice-of-law rule applies after a § 1404(a) transfer?

Under Van Dusen/Ferens, the transferee court applies the choice-of-law rules of the transferor court (the original proper forum), so transfer for convenience does not change the governing substantive law.

What is forum non conveniens and how does it differ from transfer?

Forum non conveniens is a discretionary dismissal (not transfer) when a far more appropriate forum exists abroad or in a court to which the federal system cannot transfer. The court weighs private-interest and public-interest factors; plaintiff's choice gets less deference if foreign.

State the holding of Erie Railroad Co. v. Tompkins.

There is no federal general common law. A federal court sitting in diversity must apply state substantive law (statutory and common law) and federal procedural law. Erie overruled Swift v. Tyson.

What constitutional concerns motivated the Erie doctrine?

Avoiding forum-shopping and the inequitable administration of laws between in-state and out-of-state litigants, and respecting the limits on federal lawmaking power (federalism / Rules of Decision Act, 28 U.S.C. § 1652).

What is the 'outcome-determinative' test (Guaranty Trust v. York) and its limitation (Byrd)?

York: if applying federal rather than state law would significantly affect the outcome of the litigation, the state rule should be applied. Byrd: this is balanced against countervailing federal interests (e.g., the federal interest in jury fact-finding under the 7th Amendment).

State the Hanna v. Plumer analysis for when a Federal Rule of Civil Procedure conflicts with state law.

If a valid FRCP is on point (directly conflicts), it governs under the Rules Enabling Act so long as it is arguably procedural and does not abridge/enlarge/modify a substantive right. Federal Rules trump conflicting state law (Hanna 'track one').

What test applies under Hanna when there is NO federal rule on point, only federal judge-made practice?

The 'modified outcome-determinative' / twin-aims test: apply state law if not doing so would (1) encourage forum-shopping or (2) lead to inequitable administration of the laws. Otherwise federal practice may apply.

What is the analytic order for an Erie/Hanna problem?

(1) Is there a valid federal statute on point? If so, apply it (so long as constitutional). (2) Is there a valid FRCP on point? Apply Hanna/Rules Enabling Act. (3) If only federal common-law practice, apply the twin-aims (forum-shopping / inequitable administration) test.

When a state's law governs in diversity, how does a federal court determine the content of unsettled state law?

It must predict how the state's highest court would rule ('Erie guess'), using decisions of intermediate appellate courts, dicta, statutes, and trends as data; some states permit certification of the question to their highest court.

Which state's substantive law does a federal court apply in a diversity case (choice of law)?

Under Klaxon v. Stentor, the federal court applies the choice-of-law rules of the state in which it sits, then applies whatever substantive law those rules select.

What must a complaint contain under Rule 8(a)?

(1) A short and plain statement of the grounds for subject-matter jurisdiction; (2) a short and plain statement of the claim showing the pleader is entitled to relief; and (3) a demand for the relief sought.

State the Twombly/Iqbal plausibility pleading standard.

A complaint must contain enough factual matter, accepted as true, to state a claim to relief that is plausible on its face. Courts disregard conclusory allegations and ask whether the well-pleaded facts allow a reasonable inference of liability above the speculative level.

Which matters must be pleaded with particularity under Rule 9(b)?

Fraud and mistake must be stated with particularity as to the circumstances (the who, what, when, where, and how); malice, intent, knowledge, and other conditions of mind may be alleged generally.

List the defenses that may be raised by pre-answer motion under Rule 12(b).

(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; (7) failure to join a required party under Rule 19.

Which Rule 12 defenses are waived if not raised in the first Rule 12 motion or responsive pleading?

The 'disfavored' defenses: lack of personal jurisdiction, improper venue, insufficient process, and insufficient service of process (Rule 12(b)(2)-(5)). They are waived if omitted from a pre-answer motion or first responsive pleading.

Which defenses are NOT waived and may be raised later?

Failure to state a claim (12(b)(6)) and failure to join a required party (12(b)(7)) may be raised through trial. Lack of subject-matter jurisdiction (12(b)(1)) can be raised at any time, even on appeal.

When is an answer due, and what is the effect of failing to deny an allegation?

An answer is generally due within 21 days after service (60/90 days if a waiver of service was used, or after denial of a Rule 12 motion). Under Rule 8(b)(6), an allegation (other than damages) not denied is deemed admitted.

What is a compulsory counterclaim under Rule 13(a), and what happens if it is omitted?

A counterclaim that arises out of the same transaction or occurrence as the opposing party's claim. It must be pleaded in the current action or it is forfeited (cannot be brought later). It needs no independent jurisdictional basis (supplemental jurisdiction applies).

Distinguish permissive joinder of claims (Rule 18) from permissive joinder of parties (Rule 20).

Rule 18: a party may join as many claims as it has against an opposing party (related or not). Rule 20: plaintiffs/defendants may be joined if claims arise from the same transaction/occurrence (or series) AND share a common question of law or fact.

What is a required (necessary) party under Rule 19(a), and what happens if joinder is not feasible?

A party is required if (1) complete relief cannot be given without them, or (2) they claim an interest that would be impaired or expose existing parties to multiple/inconsistent obligations. If joinder is infeasible, the court applies Rule 19(b) factors to decide whether to proceed or dismiss (party is 'indispensable').

What is impleader (third-party practice) under Rule 14?

A defending party (third-party plaintiff) may bring in a non-party (third-party defendant) who is or may be liable to it for all or part of the plaintiff's claim — i.e., for indemnity or contribution (derivative liability).

Compare intervention of right and permissive intervention under Rule 24.

Of right (24(a)): the movant has an interest that may be impaired and is not adequately represented (or a statute grants the right). Permissive (24(b)): the movant's claim/defense shares a common question of law or fact with the action; granting is discretionary.

List the four prerequisites of Rule 23(a) for any class action.

Numerosity (class so numerous joinder is impracticable), Commonality (common questions of law or fact), Typicality (representatives' claims are typical of the class), and Adequacy (representatives will fairly and adequately protect class interests).

Describe the three types of class actions under Rule 23(b).

(b)(1): separate actions risk inconsistent results or impair absent members ('limited fund'); (b)(2): defendant acted on grounds applying to the class, making injunctive/declaratory relief appropriate; (b)(3): common questions predominate and a class action is superior — requires notice and opt-out rights.

Which Rule 23 class type requires notice and opt-out rights, and why?

Rule 23(b)(3) damages classes require the best notice practicable and the right to opt out, because members are bound by a money judgment and due process demands an opportunity to exclude themselves (Eisen; Phillips Petroleum v. Shutts).

What is the scope of discovery under Rule 26(b)(1)?

Parties may obtain discovery regarding any nonprivileged matter relevant to a claim or defense and proportional to the needs of the case. Information need not be admissible to be discoverable.

What are the proportionality factors under Rule 26(b)(1)?

(1) The importance of the issues at stake; (2) the amount in controversy; (3) the parties' relative access to information; (4) the parties' resources; (5) the importance of discovery in resolving the issues; and (6) whether the burden/expense outweighs the likely benefit.

What is the work-product doctrine and how is it overcome?

Rule 26(b)(3) protects documents prepared in anticipation of litigation by/for a party or its representative. Ordinary work product is discoverable only on a showing of substantial need and inability to obtain the equivalent without undue hardship; opinion (mental impressions/legal theories) work product gets near-absolute protection.

List the principal discovery devices under the Federal Rules.

Required initial disclosures (Rule 26(a)); depositions (Rules 30/31); interrogatories (Rule 33, limit 25 to other parties); requests for production of documents/ESI (Rule 34); physical/mental examinations (Rule 35, requires court order and good cause); and requests for admission (Rule 36).

What is the standard for granting summary judgment under Rule 56?

The court grants summary judgment if the movant shows there is no genuine dispute of material fact and the movant is entitled to judgment as a matter of law. Evidence is viewed in the light most favorable to the nonmovant (Celotex/Anderson/Matsushita).

What is the difference between a voluntary dismissal under Rule 41(a) and a default judgment under Rule 55?

Voluntary dismissal: the plaintiff dismisses its own action (first one is without prejudice; a second of the same claim is with prejudice). Default judgment: entered against a defendant who fails to plead or defend; clerk may enter for a sum certain, otherwise the court enters it.

Compare judgment as a matter of law (Rule 50(a)) and renewed JMOL (Rule 50(b)).

Rule 50(a) JMOL is made after the opposing party is fully heard but before the case goes to the jury, granted if no reasonable jury could find for that party. Rule 50(b) renewed JMOL is made after the verdict but requires a prior Rule 50(a) motion; it must be filed within 28 days of judgment.

What is the standard and deadline for a motion for a new trial under Rule 59?

A new trial may be granted for reasons such as a verdict against the great weight of evidence, excessive/inadequate damages, prejudicial error, or misconduct. The motion must be filed within 28 days after entry of judgment. (Unlike JMOL, the judge may weigh evidence and assess credibility.)

What is remittitur (and the federal status of additur)?

Remittitur: the court conditions denial of a new trial on the plaintiff accepting a reduced damages award the court deems excessive. Additur (increasing an inadequate award) is unconstitutional in federal court under the Seventh Amendment (Dimick v. Schiele).

State the elements of claim preclusion (res judicata).

(1) A valid final judgment on the merits; (2) the same claim/cause of action (same transaction or occurrence); and (3) the same parties (or those in privity). It bars relitigation of claims that were or could have been raised in the first suit.

State the elements of issue preclusion (collateral estoppel).

(1) The same issue was actually litigated and (2) actually determined, (3) the determination was essential to a valid final judgment, and (4) the party to be bound had a full and fair opportunity to litigate it.

Distinguish offensive from defensive nonmutual issue preclusion.

Defensive: a defendant uses a prior judgment to prevent a plaintiff from relitigating an issue the plaintiff lost. Offensive: a plaintiff uses a prior judgment to estop a defendant who lost the issue before. Offensive use is discretionary (Parklane Hosiery) and disfavored where it would be unfair or the defendant lacked incentive to litigate earlier.

What is the 'final judgment rule' for appeals, and its statutory basis?

Under 28 U.S.C. § 1291, courts of appeals generally have jurisdiction only over final decisions — those that end the litigation on the merits, leaving nothing but execution of the judgment.

Name the principal exceptions allowing appeal before final judgment.

(1) Interlocutory orders re injunctions etc. (§ 1292(a)); (2) discretionary certified appeals of controlling legal questions (§ 1292(b)); (3) the collateral order doctrine (Cohen); (4) Rule 54(b) certification of final judgment on some claims/parties in a multi-claim case; and (5) mandamus.

State the standards of appellate review for questions of law, fact (judge), and fact (jury).

Questions of law: de novo. Findings of fact by a judge: 'clearly erroneous' (Rule 52(a)). Jury fact findings: reviewed only for sufficiency of the evidence (highly deferential). Discretionary rulings: abuse of discretion.

What is the harmless error doctrine on appeal?

Under Rule 61 / 28 U.S.C. § 2111, an appellate court will not reverse for errors that do not affect a party's substantial rights; the appellant must show the error was prejudicial, not merely that error occurred.