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Civil Procedure I

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Civil Procedure I

Course Info

Professor: Unknown Semester: Fall 2015 Jurisdiction: Federal courts under the Federal Rules of Civil Procedure (FRCP)

Topics Covered

  • Pleading rules (FRCP 7–11, 15): notice pleading under Rule 8, special matters under Rule 9, Rule 11 sanctions, amendments and relation-back doctrine
  • Rule 12 motions: 12(b)(6) failure to state a claim, 12(c) judgment on the pleadings, 12(e) more definite statement, 12(f) strike; waivable vs. non-waivable defenses
  • Discovery (FRCP 26–37, 45): mandatory disclosures, depositions (Rule 30/31), interrogatories (Rule 33), document production (Rule 34), physical exams (Rule 35), admissions (Rule 36), work-product doctrine (Rule 26(b)(3)), protective orders (Rule 26(c)), sanctions (Rule 37)
  • Pretrial conferences and case management (Rule 16)
  • Resolution without trial: Rule 12(b)(6), Rule 12(c), Rule 56 summary judgment
  • Trial: 7th Amendment jury right, jury selection (Rule 38/39/48), Rule 50(a) judgment as a matter of law, Rule 59 motion for new trial, Rule 50(b) renewed judgment as a matter of law
  • Special relief: declaratory judgment (Rule 57, 28 U.S.C. § 2201), injunctions (Rule 65), default judgment (Rule 55)
  • Appeals: final decision rule (28 U.S.C. § 1291), interlocutory exceptions (28 U.S.C. § 1292, mandamus under 28 U.S.C. § 1651)
  • Subject matter jurisdiction: federal question (28 U.S.C. § 1331, well-pleaded complaint rule), diversity (28 U.S.C. § 1332, complete diversity, citizenship), supplemental (28 U.S.C. § 1367)
  • Personal jurisdiction: traditional bases (presence, domicile, consent), minimum contacts under International Shoe Co. v. Washington, service of process (Rule 4), venue (28 U.S.C. § 1391), removal (28 U.S.C. § 1441)
  • Joinder: compulsory and permissive counterclaims (Rule 13), crossclaims, impleader (Rule 14), necessary parties (Rule 19), permissive joinder (Rule 20), interpleader (Rule 22)
  • Erie doctrine and governing law: Swift v. Tyson overruled, Rules of Decision Act (28 U.S.C. § 1652), York outcome-determinative test, Byrd balancing, Hanna two-track analysis, Klaxon choice-of-law rule, federal common law (Clearfield)

Detailed Outline

I. Phases of a Lawsuit / Pleading

FRCP Rules 6–11

  • Rule 6: Computing time — exclude trigger day, include last day unless weekend/holiday.
  • Rule 7(a): Only seven permitted pleadings (complaint, answer, answer to counterclaim, answer to crossclaim, third-party complaint, answer to third-party complaint, and by court order a reply to an answer).
  • Rule 7(b): Motions in writing, stating with particularity the grounds and relief sought.
  • Rule 8(a): Notice pleading — short and plain statement of (1) grounds for jurisdiction, (2) claim showing entitlement to relief, and (3) demand for relief. May plead in the alternative. Conley v. Gibson — detailed fact pleading not required.
  • Rule 8(c): Affirmative defenses — res judicata, statute of limitations, waiver, laches, etc.
  • Rule 9(b): Fraud or mistake must be pleaded with particularity; malice/intent/knowledge may be alleged generally.
  • Rule 10: Form — numbered paragraphs, separate counts for separate transactions.
  • Rule 11: Signature/certification — reasonable inquiry standard; “stop, think, investigate.” Safe harbor: 21-day cure window after service of Rule 11 motion (Rule 11(c)(2)). Sanctions limited to deterrence; no monetary sanction for legal argument (Rule 11(b)(2)) absent show-cause.

Post-Twombly/Iqbal Pleading Standard

After Bell Atlantic Corp. v. Twombly and Ashcroft v. Iqbal, the standard is:

  1. Strip conclusory allegations — they are not entitled to the presumption of truth.
  2. Assess whether remaining factual allegations plausibly state a claim for relief.
  3. Standard: “nonconclusory, plausible” — a gatekeeping function applied by judges before discovery.

Contrast Conley v. Gibson (old standard: complaint sufficient unless no set of facts could entitle relief — essentially abolished by Twombly).

Rule 12 Defenses

  • Disfavored defenses (Rule 12(b)(2)–(5)): personal jurisdiction, improper venue, insufficient process, insufficient service of process — must raise in first motion or answer or they are waived.
  • Favored defenses (Rule 12(b)(6), (7)): failure to state a claim, failure to join a necessary party — may be raised through trial.
  • Never waived (Rule 12(b)(1)): subject matter jurisdiction — can be raised at any time by any party or the court sua sponte.
  • Rule 12(g): Consolidation requirement — cannot raise a defense not included in an earlier Rule 12 motion.
  • Rule 12(e): Motion for more definite statement — if pleading so vague/ambiguous that party cannot reasonably prepare a response.
  • Rule 12(c): Judgment on the pleadings — after close of pleadings; moving party admits adversary’s facts; attacks legal sufficiency; same standard as Rule 12(b)(6), Rule 56, Rule 50.

Amendments — Rule 15

  • Rule 15(a): As of right within 21 days after serving, or within 21 days after service of a Rule 12(b)/(e)/(f) motion.
  • Rule 15(b): Amendments to conform to evidence at trial; implied consent doctrine.
  • Rule 15(c): Relation-back — amendment relates back if it arises from same conduct/transaction/occurrence as original pleading; additional requirements when changing a party (prior notice, no prejudice, knew or should have known).

II. Discovery (FRCP 26–37, 45)

Mandatory Disclosures — Rule 26(a)

  • Initial disclosures (Rule 26(a)(1)): names/contact info of witnesses, documents supporting claims/defenses, computation of damages, insurance agreement. Due within 14 days after Rule 26(f) conference.
  • Expert disclosures (Rule 26(a)(2)): 90 days before trial.
  • Pretrial disclosures (Rule 26(a)(3)): witness lists, deposition designations, exhibit lists — 30 days before trial.
  • Rule 26(f) conference: As soon as practicable, at least 21 days before scheduling conference; written discovery plan within 14 days after conference.

Scope — Rule 26(b)(1)

Nonprivileged matter relevant to any party’s claim or defense, proportional to the needs of the case. Need not be admissible to be discoverable.

Work-Product Doctrine — Rule 26(b)(3); Hickman v. Taylor

  • Ordinary work-product (Rule 26(b)(3)(A)): documents and tangible things prepared in anticipation of litigation — qualified immunity; discoverable on showing of substantial need + undue hardship to obtain equivalent.
  • Opinion work-product (Rule 26(b)(3)(B)): mental impressions, conclusions, opinions, legal theories of counsel — near-absolute immunity even if court orders disclosure.
  • Hickman v. Taylor: extends protection to intangibles not captured by Rule 26(b)(3); also does not protect facts or interrogatory answers.
  • Analysis: (1) Is it work-product? (2) Covered by Rule (document/tangible) or Hickman (intangible)? (3) If ordinary, substantial need + undue hardship? (4) If opinion, near-absolute protection.

Discovery Devices

DeviceRuleLimitNotes
Oral depositionsRule 3010 per side, 1 day of 7 hoursImmediate answers; subpoena nonparties under Rule 45
Written depositionsRule 31Same as Rule 30Rarely used; less flexible
InterrogatoriesRule 3325 including subpartsLegal contentions permissible; respond within 30 days
Document productionRule 34None fixedDescribe with reasonable particularity; 30 days to respond
Physical/mental examsRule 35Motion requiredOnly parties or those in party’s control; “in controversy” + good cause
AdmissionsRule 36None fixedAdmitted unless denied within 30 days; conclusively established
  • Rule 26(c): Protective orders — for annoyance, embarrassment, oppression, undue burden; good faith conference required.
  • Rule 26(e): Duty to supplement — limited duty when counsel becomes aware of new/corrective information.
  • Rule 37: Sanctions — must first move to compel; court may order facts established, prohibit evidence, strike pleadings, stay proceedings, enter default judgment; gross failures (no-show at deposition, failure to answer interrogatories) allow sanction without court order.
  • Rule 45: Subpoenas to nonparties — geographic limit of 100 miles from residence/workplace; quash for undue burden or privileged matter.

III. Pretrial Conference — Rule 16

Purposes: expedite disposition, establish early control, discourage wasteful activity, improve trial quality, facilitate settlement. Judge has wide discretion to manage case. Final pretrial order binding unless modified to prevent manifest injustice (Rule 16(e)).

IV. Resolution Without Trial

  • Rule 12(b)(6): Tests legal sufficiency of complaint. Same standard as Rule 12(c), Rule 56, Rule 50(a), Rule 50(b).
  • Rule 56 Summary Judgment: No genuine dispute of material fact; movant entitled to judgment as a matter of law. Evidence viewed favorably to nonmovant. Court does not weigh credibility. May be filed any time until 30 days after close of all discovery.

V. Trial Phase

Jury Right — 7th Amendment

Preserved in federal courts only; never incorporated against states. Waived unless timely demand made no later than 14 days after last pleading directed to the issue (Rule 38(b)). Jury of at least 6, unanimous verdict (Rule 48).

Judgment as a Matter of Law — Rule 50(a)/(b)

  • Rule 50(a): JMOL — “reasonable jury would not have a legally sufficient evidentiary basis to find for the party on that issue.” Can be made before case submitted to jury.
  • Rule 50(b): Renewed JMOL — within 28 days of judgment; requires prior Rule 50(a) motion; legal fiction that court is reconsidering the 50(a) ruling. Does not violate Re-examination Clause.
  • Same legal standard across Rule 12(b)(6), Rule 12(c), Rule 56, Rule 50(a), Rule 50(b).

New Trial — Rule 59

  • Grounds: verdict against weight of evidence; irregularities at trial; newly discovered evidence; error by judge.
  • Court weighs all evidence and credibility — different from Rule 50 (court cannot weigh credibility). Controversial because not usually reviewable on appeal absent gross abuse of discretion.

Conditional Rulings — Rule 50(c)

JMOLNew TrialResult
DenyDenyJudgment per verdict; if reversed on appeal, judgment for verdict loser
DenyGrantNew trial proceeds
GrantGrantJudgment counter to verdict; if reversed, new trial on remand
GrantDenyJudgment counter to verdict; if reversed, verdict stands

VI. Special Kinds of Relief

  • Declaratory judgment (Rule 57; 28 U.S.C. § 2201): requires “actual controversy” — real, immediate injury or threat of future injury caused by defendant.
  • Preliminary injunction (Rule 65(a)): requires notice and opportunity to be heard; factors include irreparable harm, inadequate remedy at law, balance of harms, likelihood of success on merits, public interest.
  • TRO (Rule 65(b)): may issue ex parte if specific facts show immediate irreparable injury before adverse party can be heard; expires in 14 days.
  • Default judgment (Rule 55): clerk enters default; set aside for good cause under Rule 60(b).

VII. Appeals

VIII. Subject Matter Jurisdiction

Federal Question — 28 U.S.C. § 1331

  • Must appear on face of well-pleaded complaint (cannot anticipate defenses). Louisville & Nashville R.R. v. Mottley.
  • Adequate federal element: claim must be founded directly on federal law. Grable & Sons Metal Products v. Darue Engineering: embedded federal issue adequate if substantial and not disruptive of federal/state balance (cf. Merrell Dow — state-law claim incorporating federal standard without private right of action inadequate).
  • Bell v. Hood substantiality test: 12(b)(1) attack requires showing claim is not factually or legally frivolous.

Diversity — 28 U.S.C. § 1332

Supplemental Jurisdiction — 28 U.S.C. § 1367

  • § 1367(a): Court may exercise supplemental jurisdiction over all claims forming part of the same case or controversy (same transaction or occurrence as anchor claim). United Mine Workers v. Gibbs “common nucleus of operative fact” codified.
  • § 1367(b): In diversity actions only — bars supplemental jurisdiction over claims by plaintiffs against persons made parties under Rules 14, 19, 20, or 24, and claims by persons joined as plaintiffs under Rule 19 or intervening under Rule 24, when doing so would be inconsistent with § 1332 requirements. Exxon Mobil: § 1367(b) does not bar additional plaintiffs whose claims fail only the amount-in-controversy requirement (not diversity).
  • § 1367(c): Discretionary decline — novel/complex state law issue, state claim predominates, all federal claims dismissed, exceptional circumstances.
  • § 1367(d): 30-day extension to refile in state court after federal dismissal.

Removal — 28 U.S.C. § 1441

  • District court must have original jurisdiction (§ 1441(a)); all defendants must agree (§ 1441(b)).
  • Forum defendant rule (§ 1441(b)(2)): if removable solely on diversity, cannot remove if any defendant is a citizen of the state where the action is brought.
  • 30-day deadline from receipt of complaint.
  • Venue on removal: case goes to district and division embracing the place where the action was pending.
  • § 1441(c): joinder of federal and state claims — if state claim not within supplemental jurisdiction, sever and remand.

IX. Personal Jurisdiction

See Personal Jurisdiction for the full doctrine. Key cases covered:

  • Traditional bases: presence (transient jurisdiction), domicile, consent (actual and fictitious).
  • Minimum contacts: International Shoe Co. v. Washington — “minimum contacts such that maintenance of suit does not offend traditional notions of fair play and substantial justice.” Stone’s schema: (1) nature and quantity of contacts; (2) relatedness of contacts to the cause of action; (3) fairness/reasonableness.
  • Purposeful availment: Hanson v. Denckla — defendant must have “purposefully availed itself of the privilege of conducting activities within the forum State.”
  • Stream of commerce: World-Wide Volkswagen Corp. v. Woodson (dual aims: protect from inconvenient forum and prevent sovereign overreach); Asahi Metal Industry Co. v. Superior Court (split on power test; 8 justices found unreasonable); J. McIntyre Machinery v. Nicastro (plurality: O’Connor test — awareness plus purposeful targeting).
  • General jurisdiction for corporations: Perkins v. Benguet Consolidated Mining Co → Goodyear Dunlop Tires Operations, S.A. v. Brown → Daimler AG v. Bauman: corporation “essentially at home” only at place of incorporation and principal place of business. Severely restricted by Daimler.
  • Quasi in rem: Shaffer v. Heitner — minimum contacts test applies to all forms of jurisdiction (in rem, quasi in rem). Overrules Harris v. Balk-type attachment jurisdiction.
  • Notice and service: Mullane v. Central Hanover Bank and Trust Co. — notice “reasonably calculated under all the circumstances to apprise interested parties of the pendency of the action.” Governs regardless of action categorization (formless standard).
  • Service of process (Rule 4(e)/(h)): personally, at dwelling, or via authorized agent; Rule 4(k)(1)(A) incorporates state long-arm; Rule 4(k)(1)(B) federal bulge of 100 miles.

X. Venue — 28 U.S.C. § 1391

  • (b)(1): Any district where any defendant resides, if all defendants reside in same state.
  • (b)(2): Substantial part of events or property giving rise to the claim.
  • (b)(3): Any district where any defendant is subject to personal jurisdiction (fallback).

XI. Joinder

  • Rule 13(a): Compulsory counterclaims — same transaction or occurrence; if not asserted, barred by res judicata (motion is not a pleading; preclusion does not apply to 12(b)(6) dismissals).
  • Rule 13(b): Permissive counterclaims — unrelated to subject matter; may bring independently later.
  • Rule 13(g): Crossclaims — same transaction or occurrence, against co-party only.
  • Rule 14: Impleader — defendant may bring in third party for derivative liability (indemnity, contribution, subrogation, warranty); 14(a)(2) third-party defendant may assert Rule 12 and Rule 13 claims.
  • Rule 18: Claim joinder — any party may join as many independent or alternative claims as it has against an opposing party.
  • Rule 19: Necessary/indispensable parties — (a) must join if complete relief requires it, or absent party’s interest would be impaired, or double liability risk; (b) if cannot join, court considers prejudice, shaping of relief, adequacy of judgment, and adequacy of P’s alternative remedy.
  • Rule 20: Permissive joinder — multiple plaintiffs or defendants if claims arise from same series of transactions or occurrences and share a common question of law or fact.
  • Rule 22: Interpleader — forces claimants to litigate competing claims in one action to avoid double liability.

XII. Governing Law — Erie Doctrine

See Erie Doctrine for the full doctrine.

  • Erie Railroad Co. v. Tompkins (1938): No federal general common law; federal courts sitting in diversity apply state substantive law (written or unwritten) under the Rules of Decision Act (28 U.S.C. § 1652).
  • Klaxon rule: Federal court in diversity applies the choice-of-law rules of the state in which it sits (prevents intra-state forum shopping).
  • York outcome-determinative test (Guaranty Trust Co. v. York): Where federal court sitting in diversity, outcome of litigation should be substantially the same as if tried in state court. Statute of limitations treated as substantive.
  • Byrd balancing: Even if outcome-determinative, balance the state interest in the rule against federal affirmative countervailing interests (e.g., 7th Amendment jury right).
  • Hanna two-track analysis (Hanna v. Plumer):
    • Track 1 (FRCP on point): If a valid Federal Rule directly controls, apply it under the Rules Enabling Act (28 U.S.C. § 2072) — presumptively valid if it does not abridge, enlarge, or modify substantive rights.
    • Track 2 (no FRCP on point): Apply Erie-York twin aims — (1) avoid forum shopping; (2) equitable administration of state law.
  • Federal common law (Clearfield Trust): Federal common law displaces state law only when there is a significant federal interest and allowing state law to vary would frustrate federal policy. Applied reluctantly given federalism concerns.
  • Gasperini: York/Byrd control common law components of FRCP standards; Hanna-Erie still controls statutory components.

Key Doctrines

Key Cases

Exam Approach

Step 1 — Subject Matter Jurisdiction (cannot be waived)

  1. Federal question (§ 1331): Must appear on face of well-pleaded complaint — cannot anticipate defenses (Mottley). Adequate federal element (Grable)?
  2. Diversity (§ 1332): Complete diversity (Strawbridge) + amount in controversy >$75k. Determine citizenship: domicile for individuals; nerve center + state of incorporation for corporations (Hertz).
  3. Supplemental (§ 1367): Same transaction or occurrence as anchor claim (§ 1367(a)). Watch § 1367(b) — bars certain plaintiff claims against Rule 14/19/20/24 parties in diversity cases.
  4. Removal (§ 1441): All Ds agree; no in-state D in diversity removal (§ 1441(b)(2)); 30-day deadline.

Step 2 — Personal Jurisdiction

  1. Traditional basis: presence, domicile, consent?
  2. Long-arm statute: Does D’s conduct fall within the state’s long-arm statute?
  3. Due process power: Minimum contacts + purposeful availment (International Shoe, Hanson)?
  4. Due process reasonableness: Is exercise unreasonable given burden on D, forum’s interest, P’s interest, interstate efficiency, shared policies? (Burger King — D bears burden of proving unreasonableness).
  5. General jurisdiction: Is D “essentially at home” (incorporated or principal place of business)? (Goodyear, Daimler).
  6. Quasi in rem: Minimum contacts still required post-Shaffer.

Step 3 — Venue (§ 1391)

Where any D resides (all in same state); where substantial events occurred; fallback where any D subject to PJ.

Step 4 — Pleading

  1. Rule 8(a): Short and plain statement of jurisdiction, claim, demand for relief.
  2. Twombly/Iqbal: Strip conclusions, assess plausibility of factual allegations.
  3. Rule 9(b): Fraud/mistake with particularity.
  4. Rule 12(b)(6): Legal sufficiency — same standard as Rule 12(c), Rule 56, Rule 50.

Step 5 — Rule 12 Defenses

  • Disfavored (12(b)(2)–(5)): must raise in first motion/answer or waived.
  • Favored (12(b)(6), (7)): can raise through trial.
  • Never waived: SMJ (12(b)(1)).

Step 6 — Discovery

  1. Scope (Rule 26(b)(1)): nonprivileged, relevant to claims/defenses, proportional.
  2. Work-product (Rule 26(b)(3); Hickman): document/tangible in anticipation of litigation — ordinary (qualified; needs substantial need + undue hardship) vs. opinion (near-absolute).
  3. Sanctions (Rule 37): must first move to compel; court can order facts established, strike pleadings, default.

Step 7 — Summary Judgment (Rule 56)

No genuine dispute of material fact; movant entitled to judgment as a matter of law. View evidence favorably to nonmovant; court does not weigh credibility.

Step 8 — Erie Analysis

  1. FRCP on point? Apply if valid under Rules Enabling Act (28 U.S.C. § 2072) (Hanna Track 1).
  2. No FRCP? Apply twin aims: avoid forum shopping + equitable administration of law (Hanna Track 2 / York).
  3. Byrd factors: Even if outcome-determinative, does a federal interest (e.g., 7th Amendment) outweigh state interest?
  4. Federal common law? Only when high federal interest displaces state law (Clearfield).

Step 9 — Joinder

  • Compulsory CC (Rule 13(a)): same transaction/occurrence — must assert or lose by res judicata.
  • Impleader (Rule 14): derivative liability only.
  • Necessary parties (Rule 19): complete relief; impaired interest; double liability risk.

Step 10 — Trial and Post-Verdict

  • JMOL (Rule 50(a)): during trial, any time before submission to jury.
  • Renewed JMOL (Rule 50(b)): within 28 days of judgment; must have made 50(a) motion.
  • New trial (Rule 59): verdict against weight of evidence; court weighs all evidence; no usurpation of jury because new trial is by jury.

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