14 Federal Civil Procedure Final Quiz

Front 1

two types of federal jurisdiction

Back 1

federal question

diversity

Front 2

Note that the _________________, aka the plaintiff's complaint, is what we look at to determine federal question jurisdiction, not something brought up by the defense.

Back 2

cause of action

Front 3

Is it a federal question when it turns on a state law incorporating federal standards?

Back 3

Federal law includes the U.S. Constitution, federal statutes, federal administrative regulations, and U.S. treaties. State laws incorporating standards of federal law are not considered laws of the United States for the purposes of federal question jurisdiction.

Front 4

Two areas of state law are generally excluded from diversity jurisdiction: ___________ matters (probate of a will or administration of an estate) and _______________ actions (divorce, alimony, custody disputes).

Back 4

probate
domestic relations

Front 5

Diversity jurisdiction requires __________________ between opposing parties in a case.

Back 5

complete diversity = There is no diversity of citizenship if any plaintiff in the case is a citizen of the same state as any defendant in the case or if any plaintiff and any defendant are aliens (i.e., citizens or subjects of a foreign country). Two plaintiffs in a case may be from the same state without destroying diversity, as long as no plaintiff is from the same state as any defendant in the case.

Front 6

Diversity is determined at the time the case is ________.

Back 6

filed
if people move after that, it isn't an issue

Front 7

In general, a person is a domiciliary of the state in which he or she is present and ________________ for an indefinite period.

Back 7

intends to reside

Front 8

For certain class actions, even when some of the members of the plaintiff class are domiciliaries of the same state as some of the defendants, when the amount at issue totals more than ______________, diversity will be met if any member of the plaintiff class is diverse with any defendant.

Back 8

$5,000,000

Front 9

The amount in controversy must exceed the sum or value of $75,000, exclusive of interest, costs, and collateral effects of a judgment. Although interests and costs are excluded from the amount in controversy, _______________ may be made part of the amount in controversy if the fees are recoverable by contract or statute. Punitive damages, as well, may be permitted to be made part of the amount in controversy. The amount in controversy is determined at the time the action is commenced in federal court, or, if the action has been removed to federal court, at the time of the removal. The party seeking to invoke federal court jurisdiction must allege that the action satisfies the amount-in-controversy requirement.

Back 9

attorney’s fees

EXAM NOTE: Remember that the amount in controversy must exceed $75,000; a claim for exactly $75,000 fails.

Front 10

A district court with jurisdiction may exercise “supplemental jurisdiction” over additional claims over which the court would not independently have subject matter jurisdiction (usually state law claims against a nondiverse defendant) but that arise out of a “__________________________” such that all claims should be tried together in a single judicial proceeding.

Back 10

common nucleus of operative fact

Front 11

Supplemental Jurisdiction: Federal Question Jurisdiction Cases
Example 1: Plaintiff sues Defendant, her corporate employer, in federal court under Title VII for sex discrimination and retaliation, matters over which the court has federal question jurisdiction. Plaintiff then seeks to sue Defendant for assault and battery under state law, a claim that arises under the same operative facts that applied to her Title VII claim. The federal court ________________ to exercise supplemental jurisdiction over the assault and battery claim.

Back 11

has discretion

Front 12

Similarly, a district court may have supplemental jurisdiction over claims that involve the joinder or intervention of additional parties over which the court would not otherwise have jurisdiction if the claims involving the additional parties satisfy the common-nucleus-of-operative-fact test. Such jurisdiction is also referred to as _______________ jurisdiction.
Example 2: Plaintiff sues Defendant 1, her corporate employer, in federal court under Title VII for sex discrimination and retaliation, matters over which the court has federal question jurisdiction. Plaintiff then seeks to sue Defendant 2, her direct supervisor, for assault and battery, a claim that arises under the same operative facts that applied to her Title VII claim against the corporate employer. The federal court could exercise supplemental jurisdiction over the assault and battery claim against the supervisor.

Back 12

pendant party

Front 13

Any civil action commenced in a state court that is within the original jurisdiction of a U.S. district court may generally be removed by the __________to the district court for the district in which the state court action was commenced. § 1441(a).
The right of removal is a right of the defendant only and is not available to a plaintiff defending a counterclaim that could have originally been brought in federal court. Note that removal jurisdiction is not a substitute for either federal question or diversity jurisdiction, but it is simply a ________________ by which defendants in a state action over which a federal court otherwise has subject matter jurisdiction can get the action into federal court.

Back 13

defendant
mechanism

Front 14

Limitation on Removal
Example: If a Texas corporation sues ___________ defendants in Illinois state court, then the Illinois defendants are not permitted to remove the action to federal court based on diversity jurisdiction. (there's a similar rule for federal question jurisdiction - basically, if you're being sued by another state plaintiff in your own state, you can't remove to federal court because you're playing on home turf)

Back 14

Illinois

Front 15

Legislative Jurisdiction
In addition to the types of jurisdiction listed above, there are federal courts created by Congress with jurisdiction over _____________________. Briefly, these include:
i) The United States Claims Court (formerly “the Court of Claims”), with original jurisdiction over actions brought against the United States or its officer, or concerning federal property;
ii) The United States Court of Appeals for the Federal Circuit, with appellate jurisdiction over claims against the federal government or its officers, etc.;
iii) The Court of International Trade, with jurisdiction over foreign states;
iv) United States Tax Court, with jurisdiction over taxpayer challenges to Internal Revenue Service (IRS) deficiency determinations; and
v) United States Bankruptcy Court, with jurisdiction over bankruptcy matters.

Back 15

specific types of cases

Front 16

Personal Jurisdiction
There are three general types of personal jurisdiction: (i) in personam jurisdiction, (ii) in rem jurisdiction, and (iii) ____________________ jurisdiction.

Back 16

quasi-in-rem

Front 17

what must federal court do to establish personal jursidication?

Back 17

apply the law of the state its in by looking to the state's long arm statute first and then applying due process standards

Front 18

Exception to the General Rule of Personal Jurisdiction: what is the "bulge provision"

Back 18

a federal court has personal jurisdiction over a party who is served within a U.S. judicial district and not more than 100 miles from where the summons is issued, even if state law would otherwise not permit such service.

Front 19

2. Due Process Requirements for Personal Jurisdiction
The Due Process Clause also limits a court’s exercise of personal jurisdiction over the parties. A court may not exercise personal jurisdiction over a defendant unless the defendant has “_______________” with the state in which the court sits (the forum state), and the exercise of jurisdiction would be __________________. A court is also required to notify a party of the commencement of an action in which his interests are at stake and provide an opportunity for the party to be heard.

Back 19

minimum contacts
fair and reasonable

Front 20

4. Consent or Waiver
Unlike with subject matter jurisdiction, a party may consent to personal jurisdiction. The consent may be express, implied, or made by a voluntary appearance.

what happens if you fail to raise an objection to personal jurisdiction, insufficient process or insufficient service of process in the first responsive pleading?

Back 20

waives the objection

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In Personam Jurisdiction: Bases

Back 21

In Personam Jurisdiction: Bases
1. voluntary presence in the forum state and served while there
2. domiciled in the state (even if temporarily absent)
3. consent: plaintiffs consent by filing the suit; defendant agrees by contract, by an agent accepting service of process, by personally accepting service of process, by stipulation once an action is brought
4. implied consent, such as filing a counterclaim or driving a vehicle in the forum state
5. voluntary presence in court implies consent, unless the defendant is there specifically to object to jurisdiction (then can collaterally attack jurisdiction in another forum)
6. long-arm statutes: nonresidents who engage in some activity in the state or cause some action to occur within the state. In many states, the long-arm statute authorizes jurisdiction to the extent permissible under the Due Process Clause

Front 22

EXAM NOTE: When analyzing a personal jurisdiction question, the focus is on (i) the contacts that the defendant has or had with the forum state and (ii) whether the assertion of jurisdiction by the court would comport with fair play and substantial justice. Personal jurisdiction will depend on the facts of each case.
To warrant the assertion of in personam jurisdiction, a defendant’s contacts with the forum state must be purposeful and substantial, such that the defendant should reasonably anticipate (foresee) being taken to court there. Foreseeability depends on whether a defendant recognizes or anticipates that by running his business, he runs the risk of being party to a suit in a particular state.

Back 22

Yup! Here it is again!

Front 23

Personal jurisdiction over internet cos:
Example: In the Zippo case, the defendant was a nonresident corporation that operated an integral website that had commercial contacts with more than 3,000 Pennsylvania residents and Internet service providers. The court found a high level of _____________ with Pennsylvania and determined that there was personal jurisdiction over the defendant in Pennsylvania.

Back 23

interactivity

Front 24

In Rem Jurisdiction
In rem jurisdiction is the authority of a court to determine issues concerning rights in property, either ________________. In general, for in rem jurisdiction to exist, the property at issue must be ______________within the forum state.

Back 24

real or personal
present

Front 25

2. Quasi-In-Rem Jurisdiction
a. Defined
While a judgment in rem determines the interests of all persons in particular property, a quasi-in-rem judgment determines only the interests of the parties to the action regarding property______________. Examples include an action to foreclose a lien and an action to quiet title. The judgment is not personally binding against the defendant, it cannot be sued upon in any other court, and it cannot be enforced by seizing any property of the defendant other than the property at issue in the quasi-in-rem action.

Back 25

located in the forum state

Front 26

Due Process - Notice
If the identity and address of an interested party are known or obtainable through reasonable efforts, then notice through in-person delivery, registered mail, return receipt requested, or some other means likely to notify the particular individual is required. However, if the plaintiff knows that the defendant(s) did not receive notice, then the plaintiff cannot proceed ______________________ to notify the defendant(s).

Back 26

unless there are no other reasonable methods

Front 27

If the identity or address of interested parties is not obtainable through reasonable efforts, then other means, such as publication of notice in newspapers, may be satisfactory. The constitutional test is, generally, what is reasonable __________________________. The standards are less strict for in rem and quasi-in-rem cases than for in personam cases. When there are multiple defendants, each defendant must be served, but the manner of service will depend on whether their identities and addresses are known or unknown.

Back 27

under the circumstances

Front 28

E . Defenses to Jurisdictional Claims
1. Special Appearance
A special appearance is a procedure by which a defendant appears before a court for the __________purpose of challenging personal jurisdiction. The defendant is generally not considered to have consented to jurisdiction by making the special appearance, as long as personal jurisdiction is contested in the defendant’s initial pleading. If anything going to the merits of the case is raised in the pleadings, then the defendant will likely be found to have made a general appearance in the case and ___________ any objection with regard to personal jurisdiction.

Back 28

specific
waived

Front 29

Collateral attack: If a default judgment has been entered against a defendant in an action in one state, and the plaintiff sues to enforce the judgment in another state, then the defendant may collaterally attack the judgment on the basis of lack of personal jurisdiction. If, however, the defendant had both notice and an opportunity to be heard, then a collateral attack on the judgment is not permitted under the doctrine of ____________

Back 29

res judicata

(the matter cannot be raised again, either in the same court or in a different court. A court will use res judicata to deny reconsideration of a matter.)

Front 30

C . General Venue Rule
In general, venue in a federal civil action is proper in only one of the following judicial districts:
i) A judicial district in which any defendant __________, if all defendants reside in the same state in which the district is located; or
ii) A judicial district in which a “_____________________” on which the claim is based occurred, or where a “substantial part of the property” that is the subject of the action is located.
If there is otherwise no judicial district in which the action may be brought, then the “fall back” alternative is that venue is proper in a judicial district in which any defendant is subject to personal jurisdiction with respect to such action.

Back 30

resides
substantial part of the events or omissions

Front 31

Change of Venue
“[F]or the convenience of parties and witnesses, in the interest of justice, a district court may transfer any civil action to any other district or division where it might have been brought or to any district or division to which all parties have consented.” This transfer may be ordered upon motion of a party, including the ____________, or by the court on its own initiative, but it is available only when the jurisdiction and venue of the court considering the issue are proper. The burden of proof with regard to the motion rests on the party seeking the transfer.

Back 31

plaintiff

Front 32

F . Forum Non Conveniens
This common-law doctrine allows a court to dismiss an action—even if personal jurisdiction and venue are otherwise proper—if the court finds that the forum would be too ______________ for parties and witnesses and that another, more convenient, venue is available. To convince a court to invoke the doctrine of forum non conveniens, the defendant ordinarily bears a heavy burden to displace the plaintiff’s chosen forum.

Back 32

inconvenient

Front 33

Erie Doctrine:
In a diversity action, the district court is required to apply the __________________ of the state in which the district court is located.
With regard to procedure in a diversity action, however, if a procedural issue is addressed by a valid federal law (e.g., a statute or Federal Rule of Evidence), then the federal law will be applied, even if a state rule or statute is in conflict.

Back 33

substantive law

Front 34

Erie Doctrine - Analysis
It is sometimes difficult to determine if an issue involves substance or procedure for the purposes of applying the Erie doctrine. The following general approach is often used:
i) The district court will start by determining whether there is a __________between state and federal law with respect to the issue before the court. If no conflict exists, then the analysis does not need to proceed any further because the court can apply state and federal law harmoniously to the issue.
ii) If, however, the applicable state and federal laws do conflict, then the district court must ask whether a valid federal statute or Federal Rule covers the ________________.
(continued)

Back 34

conflict
disputed issue

Front 35

(continued)
a) If there is a valid federal statute or rule of procedure on point, then the district court must apply federal law rather than state law.
b) If no federal statute or rule is on point, then the court must determine whether federal ____________, rather than state law, should be applied. In making this determination with respect to federal common law, the district court will ask whether the failure to apply state law will lead to different outcomes in state and federal court. Guar. Trust Co. v. York, 326 U.S. 99 (1945).
1) If the answer is no, then the district court will generally apply federal common law, rather than state law.
2) If the answer is yes, then the court will apply state law, unless affirmative countervailing federal interests are at stake that warrant application of federal law

In other words: apply state law if the outcome of the case would be different under state law than under federal law (unless the state law is deemed against public policy) because this means we're in "substantive law" world rather than in "procedure" world.

Back 35

common law

Front 36

A . Joinder of Parties
The Federal Rules of Civil Procedure provide for joining parties to existing litigation, generally for reasons of ___________________. Joinder may be permissive (pursuant to Rule 20) or compulsory (pursuant to Rule 19).

Back 36

efficiency and economy

Front 37

B . Intervention
Rule 24 governs the circumstances under which a nonparty may join in a lawsuit. In some circumstances, the nonparty may intervene as of right. In other circumstances, the nonparty must have the permission of the court. Note that in either case, a motion to intervene must be timely.
i) The nonparty has an __________ in the property or transaction that is the subject matter of the action;
ii) The disposition of the action may, as a practical matter, impair the nonparty’s interest; and
iii) The nonparty’s interest is not adequately represented by existing parties.

Back 37

interest

Front 38

C . Interpleader
Interpleader allows a person holding property (traditionally known as the “stakeholder”) to force all ______________ claimants to the property into a single lawsuit to determine who has a right to the property.
Under Rule 22, persons with claims that may expose a plaintiff to double or multiple liability may be joined as defendants and required to interplead.

Back 38

potential

Front 39

D . Joinder of Claims
1. Permissive Joinder
Pursuant to Rule 18(a), a party asserting a claim may join with it as many ______________ claims of whatever nature as the party may have against the opposing party. Rule 18 permits joinder of claims, but it does not compel it. However, res judicata (claim preclusion) concerns will often practically require joinder, because if a claim could be raised and is not, it will generally be subject to claim preclusion.

Back 39

independent or alternative

Front 40

2. Counterclaims
A counterclaim is a claim for relief made against an opposing party after an original claim has been made. A counterclaim may be asserted in the answer to the complaint and the reply to a counterclaim. Rule 13 governs the requirements for bringing a counterclaim.
A pleading is required to state as a counterclaim any claim that, at the time of service, the pleader has against an opposing party if the claim arises out of the same transaction or occurrence that is the subject matter of the opposing party’s claim and does not require adding another party over whom the court cannot acquire jurisdiction.
A party that fails to assert a compulsory counterclaim __________ the right to sue on the claim and is generally precluded from ever suing on the claim in federal court.

Back 40

out of the same transaction or occurrence
waives

Front 41

Class Action: Basic requirements
Rule 23(a) establishes four requirements for representative members of a class to sue or be sued on behalf of all members of the class:
i) The class must be so numerous that joinder of all members is impracticable;
ii) There must be questions of law or fact that are common to the class;
iii) The claims or defenses of the representatives must be ____________ of the class; and
iv) The representatives must fairly and adequately protect the interests of the class.

Back 41

typical

Front 42

Motion to Dismiss: for failure to prosecute or to comply with the rules or a court order; usually, if the motion is successful, the case is dismissed ________________ and operates as an adjudication on the merits.

What types of dismissal (3) will not operate as an adjudication on the merits? (can bring the cause of action again)

Back 42

with prejudice

A dismissal based on a lack of jurisdiction, improper venue, or failure to join an indispensable party under Rule 19, however, will not operate as an adjudication on the merits.

Front 43

3. Summary Judgment a. Standard
Under Rule 56, a motion for summary judgment is applicable to all civil actions and shall be granted if the pleadings, the discovery and disclosure materials on file, and any affidavits show that there is no genuine dispute as to any material fact and that the movant is entitled to judgment as a matter of law. A genuine issue of material fact exists when a reasonable jury could return a verdict in favor of the nonmoving party. In ruling on a motion for summary judgment, the court must construe all evidence in the light most favorable to the nonmoving party and resolve all doubts in favor of the nonmoving party. The _____________ has the burden of persuasion on a motion for summary judgment. Once the movant makes a prima facie showing that summary judgment is appropriate, the burden of proof shifts to the opposing party to set forth specific evidence showing the existence of a genuine issue of fact for trial.

Back 43

movant

Front 44

4. Declaratory Judgment
A declaratory judgment is a ruling in which the court tells the parties to a dispute what their rights, responsibilities, or obligations are, _________________ or ordering the parties to do (or refrain from doing) anything. Parties generally seek a declaratory judgment to resolve uncertainty and avoid the possibility of a future lawsuit.

What actions cannot be given declaratory judgments?

Back 44

without awarding damages

actions concerning taxes, bankruptcy, free trade, or drug patents.

Front 45

D . Judgment as a Matter of Law (Directed Verdict)
Under Rule 50(a), once a party has been fully heard on an issue at a jury trial, the court may grant a motion for judgment as a matter of law resolving the issue against a party if the court finds that there is _____________________. The court may also grant such a motion against the party on any claim or defense that is dependent on a favorable finding on that issue.
1. Standard
The court must view the evidence in the light most favorable to the opposing party and draw all reasonable inferences from the evidence in favor of the opposing party. It may not consider the credibility of witnesses or evaluate the weight of the evidence, and it must disregard all evidence favorable to the moving party that the jury is not required to believe.

Back 45

insufficient evidence for a jury reasonably to find for that party

Front 46

Motion for a New Trial
Under Rule 59(a), the court may, on motion, grant a new trial on __________________ or with respect to only certain issues or parties. Rule 59 does not specifically list the grounds that will justify a new trial, but it does state that for actions that have been tried to a jury, a new trial may be granted for any of the reasons for which new trials have traditionally been granted in actions at law in federal courts. some reasons:
i) Error at trial that renders the judgment unfair;
ii) Newly discovered evidence that existed at the time of trial was excusably overlooked and would likely have altered the outcome of the trial;
iii) Prejudicial misconduct of counsel, a party, the judge, or a juror;
iv) A verdict that is against the clear weight of the evidence;
v) A verdict that is based on false evidence such that a new trial is necessary to prevent injustice; or
vi) A verdict that is excessive or inadequate.

Back 46

all issues

Front 47

B . Appeals
Under the Federal Rules of Appellate Procedure, the notice of appeal required in a civil case must be filed with the district clerk within _________________ or order appealed from is entered.

Back 47

30 days after the judgment

Front 48

If a valid judgment is rendered by a court that has jurisdiction over the parties, and the parties receive proper notice of the action and a reasonable opportunity to be heard, then the Full Faith and Credit Clause requires that the judgment receive the same effect in other states as in the state where it was rendered. Thus, a party who obtains a judgment in one state may petition the court in another state to enforce the judgment. In general, the issues are not relitigated, and the court in the state in which enforcement is sought must honor the judgment of the other state’s court.
The same principle applies to challenges based on an alleged lack of personal or subject matter jurisdiction; a party against whom enforcement is sought may __________________________ the original state judgment based on lack of personal jurisdiction or subject matter jurisdiction only if the jurisdictional issues were not litigated or waived in the original action.

Back 48

collaterally challenge

Front 49

D . Claim Preclusion (Res Judicata)

1. In General

The doctrine of claim preclusion (res judicata) provides that a final judgment on the merits of an action precludes the parties from successive litigation of an _____________________ in a subsequent action.
2. Requirements
a. ______________ final judgment on the merits

Back 49

identical claim
Valid

Front 50

E . Issue Preclusion (Collateral Estoppel)
1. In General
The doctrine of issue preclusion, often called “collateral estoppel,” precludes the relitigation of issues of fact or law that have already been necessarily determined by a judge or jury as part of an earlier claim. Unlike claim preclusion, issue preclusion _____________________ strict mutuality of parties, but only that the party against whom the issue is to be precluded (or one in privity with that party) must have been a party to the original action. Thus, “offensive” use of collateral estoppel is permitted.
Requirements: same issue, actually litigated, final valid judgment, essential to the judgment

Back 50

does not require