CIVIL PROCEDURE OUTLINE

SECTION I: INTRODUCTION: POWERS AND

PROCESSES OF THE COURTS
B. An Introduction to Basic Concepts
US V. HALL (p.14-21)
Ct. of Appeals 5
th
Circuit, 1!"
#acts$ the Du%all &chool a'( )arshall petition or in!uncti"e re#ie to $eep
outsiders ro% co%in& onto Ri'au#t school *rou'(s+ the, accuse( -a',
outsi(ers, i'clu(i'* Eric .all as ha%i'* spurre( o' %iole'ce o' the ca-pus. The
court hel( a' e( parte session /efore *ra'ti'* the relief+ -ea'i'* that the other
si(e (oes 'ot 0'o1 a'( is 'ot prese't at the procee(i'*s+
the court specifies ser%ice of 'otice for si2 people, i'clu(i'* .all+ .all is 'e%er
ser%e(, althou*h he (oes /eco-e a1are of the or(er+ he %iolates the or(er
resulti'* i' co'te-pt procee(i'*s
.all ar*ues 314 he 1as 'ot part, to the )i-s liti*atio', thus the or(ers fro- that
liti*atio' shoul( 'ot appl, to hi-,
o Court respo'(s to this ar*u-e't /, sa,i'* that .all5s actio's threate'e(
/oth plai'tiff5s ri*hts a'( (efe'(a't5s (ut,, therefore the court has the
ri*ht to pu'ish for co'te-pt i' or(er to preser%e their a/ilit, to re'(er
6u(*-e't
.e also ar*ues 3"4 Rule 753(4 pre%e'ts the court5s or(ers fro- /i'(i'* hi-, si'ce
Rule 753(4 li-its the /i'(i'* effect of the court5s i'6u'cti%e or(er to parties to the
actio'.
o Court replies that the i'te't of the Rule 1as -ea't to e-/o(, 8the
co--o'9la1 (octri'e that a (ecree of i'6u'ctio' 'ot o'l, /i'(s the parties
(efe'(a't /ut also those i(e'tifie( 1ith the- i' i'terest, i' pri%it, 1ith
the-, represe'te( /, the- or su/6ect to their co'trol+
the Ct. of Appeals characteri:es the i'6u'ctio' as ha%i'* /ee'
issue( as a te-porar, restrai'i'* or(er 1hich u'(er Ru#e )*+',
%a- 'e issued e( parte
.E/ POINT: The court i' this opi'io' recharacteri:es the relief as a te-porar,
restrai'i'* or(er i'stea( of i'6u'cti%e relief;
<ecause it is 'ot allo1e( to issue a preli-i'ar, i'6u'ctio' 1ithout 'otice to
a(%erse part, Ru#e )*+a,+0,+ ho1e%er te-porar, restrai'i'* or(ers ca' /e
issue( 1ithout 1ritte' or oral 'otice Ru#e )* +', =T.E COURT >ET&
AROUND T.E RE?UIRE)ENT I)PO&ED <@ T.E RULEADID T.E
BUD>E VIOLATE .ALL5& DUE PROCE&& RI>.T& <@ DOIN> T.I&CD
1
SECTION II: DUE PROCESS1 COST2BENEFIT ANA3/SIS1
AND 4USTICE
<roa(er the-es$
991hat are *oals of (ue processC
99arri%i'* at the truth
99(iscipli'es the *o%t fro- /ei'* a/le to i'fri'*e o' ,our ri*hts
99 1he' o'e is at ris0 of loss, (ue process pro%i(es for 'otice of the ris0 of sai(
loss a'( the opportu'it, to /e hear(
99 *e'erates the feeli'* that 6ustice has /ee' (o'e if the, are offere( the
opportu'it, to /e hear(Athe feeli'* is for those at ris0 of the (epri%atio' a'( for
so-e /,sta'(ers 1ho ha%e a' i'terest i' seei'* our *o%er'-e't treat all citi:e's
fairl,.
99(ue process is a (elicate process of a(6ust-e't relate( to ti-e, place, a'(
circu-sta'ces.
A. 5a#ues o t6e Process and E#e%ents o a Hearin&
Boi't A'ti #acist Refu*ee % )c>rath
Bustice #ra'0furter sa,s i' that opi'io' that the purpose of (ue process is;
99arri%i'* at truth
99*e'erati'* the feeli'* that 6ustice has /ee' (o'e
>OLD<ER> V EELL@ 3p. ""9F54
&COTU&, 1!G
Does due process require notice and a hearing before the government terminates public
assistance (welfare) benefits?...YES
#acts$ Boh' Eell,, the plai'tiff, ha( his ai( ter-i'ate( 1ithout 'otice a'( 1ithout
heari'*+ li%i'* i' a hotel, force( to -o%e to a'other hotel that 1as full of (ru'0s+
1he' case1or0er fou'( out he 1as 'ot li%i'* i' the 'e1 hotel the, ter-i'ate( his
pu/lic assista'ce
This is 1Hth a-e'(-e't Due Process Case /ecause it is a &tate *o%t 3Ne1 @or04
accuse(
The Depri%atio'$ <re''a' sa,s that this is particular /a( for- of (epri%atio' /ecause
the, are co-pletel, (epe'(e't o' their 1elfare as their -ea's /, 1hich the, li%e.
99 re(uces the cha'ces of /ei'* a/le to -uster a' appeal /ecause ,ou are 6ust
stru**li'* to *et /,
"
o E%er,o'e shoul( *et a pre9ter-i'atio' heari'* sa,s <re''a'+ curre't
process is o'l, a 1ritte' opportu'it, to prese't e%i(e'ce+
the o-issio's of a/ilit, to cross9e2a-i'e 1it'esses a'( prese't
e%i(e'ce orall, are fatal to the co'stitutio'al a(eIuac, of the
proce(ures
1ritte' su/-issio's are'5t e%e' that realistic for -a', 1elfare
recipie'ts (ue to their lac0 of e(ucatio'
1ritte' su/-issio's (o'5t affor( fle2i/ilit, that oral prese'tatio's
allo1 to -ol( a' ar*u-e't to the issues the (ecisio'9-a0er see-s
to car a/out
99<re''a' Outli'es proce(ure for pre9ter-i'atio' heari'*$=THIS IS THE PART WE
REA33/ CARE ABOUT BECAUSE IT OUT3INES WHAT PROCEDURES ARE
NEEDED TO 7EET DUE PROCESS RE8UIRE7ENTD
991h, (o the, 'ee( to /e hear( /efore
99serious'ess of the (epri%atio' is such that to (epri%e the- /efore 1e
hear fro- the 1elfare recipie't ris0s their li%elihoo(
99,ou 'ee( to ha%e a heari'* to protect a*ai'st erro'eous (epri%atio' of
/e'efits
99the heari'* he proposes are prett, i'for-al
99(o'5t 'ee( full 6u(icial heari'*, 6ust a' opportu'it, to prese't their
co'trar, e%i(e'ce
99-ost i-porta't for hi- is the a/ilit, to cross e2a-i'e 1it'esses
991e5re 'ot prepare( to sa, that the !9(a, 'otice is cate*oricall, u'co'stitutio'al,
/ut as applie( to a particular circu-sta'ce it -i*ht /e u'co'stitutio'al
99the 'otice -ust /e a letter, plus a case1or0er co'fere'ce
<re''a' sa,s this is 'ot le*islati%e 1or0 i' respo'se to <lac05s critiIue
99he i'(irectl, respo'(s /, sa,i'* that the court5s (ut, is to i'terpret if the
co'stitutio' a'( the' to (eci(e if pre9ter-i'atio' heari'*s are reIuire( u'(er the
co'stitutio'
99he sees hi-self as -erel, effectuati'* ru(i-e'tar, (ue process
B#ac$ Dissent$ appl,i'* (ue process u'(er 1H
th
a-e'(-e't for 1elfare recipie'ts is
ta0i'* the a-e'(-e't out of co'te2t+ <re''a' is la,i'* out the 'ecessar, a(-i'istrati%e
steps for pre9ter-i'atio' proce(ure+ this sou'(s li0e a le*islati%e role+ it5s 'ot the court5s
6o/ to 1rite up 'e1 rules for 1elfare heari'*s
POLIC@ CON&IDERATIONAif the process to ta0e so-eo'e off 1elfare is so
(ifficult, the a*e'c, 1ill /e less li0el, to put -ore people o' the rolls u'til the,
ha%e (o'e e2hausti%e i'%esti*atio', si'ce the, 1ill 0'o1 ho1 har( it 1ill /e to
ta0e so-eo'e off 1ho the, -ista0e'l, put o'.
-a', people are 1ro'*full, recei%i'* assista'ce. The -a6orit, is sa,i'* that the,
shoul( co'ti'ue to (o so u'til the, recei%e a 8full e%i(e'tiar, heari'*J u'(er the
(ue process clause
F
Michelman rticle!
#our reaso's 1h, it is *oo( that perso's /e allo1e( to liti*ate$
99(i*'it, %aluesAperso' -i*ht suffer loss of self9respect if (e'ie( opportu'it, to
liti*ate
99participatio' %aluesAappreciatio' of liti*atio' as o'e of the -o(es i' 1hich
perso's e2ert i'flue'ce or ha%e their 1ills 8cou'te(J i' societal liti*atio'
99(eterre'ce %aluesAreco*'i:e the i'stru-e'talit, of liti*atio' as a -echa'is-
for i'flue'ci'* or co'strai'i'* i'(i%i(ual /eha%ior i' 1a,s thou*h sociall,
(esira/le
99effectuatio' %aluesAsee liti*atio' as a' i-porta't -ea's throu*h 1hich perso's
are e'a/le( to *et, or are *i%e' assura'ce of ha%i'*, 1hate%er 1e are please( to
re*ar( as ri*htfull, theirs
"#ler and $ind rticle! tal%s about research into legitimac# factors
a 0e, factor affecti'* le*iti-ac, is the perso'5s e%aluatio's of the fair'ess of the
proce(ures use( /, the authorit, i' Iuestio'
e%aluatio's of /oth the fa%ora/ilit, of the authorit,5s (ecisio' a'( its fair'ess of
(ecisio' are far less i-porta't i' ter-s of e%aluati'* le*iti-ac, as proce(ural
6ustice is.
=&O)E O# T.E&E POINT& ARE VALUE& O# T.E ADVER&ARIAL &@&TE) VI&
A VI& T.E CIVIL &@&TE)D
B. Costs o Process
)ATT.EK& V ELDRID>E 3p.F9H74
&COTU&, 1!7
#acts$ El(ri(*e alle*es that he 1as 'ot *i%e' appropriate (ue process 3u'(er 5
th

a-e'(-e't /ecause it5s fe(eral *o%t. that5s (efe'(a't4 /efore ha%i'* his (isa/ilit,
/e'efits cut off+ his house 1as foreclose( a'( fur'iture 1as repossesse(. )atthe1s 1as
secretar, of health, e(ucatio' a'( 1elfare a'( thus is (efe'(a't
El(ri(*e 1as offere( reco'si(eratio' /, the process 3/asicall, he coul( ha%e appeale( the
(ecisio' 1ithi' the process4. .e (oes 'ot ta0e up this offer a'( i'stea( files suit.
&ecretar, -o%es to (is-iss the co-plai't, sa,i'* the plai'tiff ha( faile( to e2haust all of
the a(-i'istrati%e processes.
Proce(ural$ The (istrict court hel( that the ter-i'atio' 1as u'co'stitutio'al+ The court of
appeals affir-e(. The &upre-e Court re%erse(, holding that no pre&termination hearing
was required.
I&&UE$ Khether the Due Process Clause of the #ifth A-e'(-e't reIuires that prior to
the ter-i'atio' of &ocial &ecurit, (isa/ilit, /e'efit pa,-e'ts the recipie't /e affor(e( a'
opportu'it, for a' e%i(e'tiar, heari'*.
H
The alle*e( (epri%atio'$ The state has (epri%e( El(ri(*e of his /e'efits 1ithout (ue
process /, (e',i'* hi- pre9ter-i'atio' heari'*
DUE PROCE&&L)EANIN>#UL RI>.T TO <E .EARD <E#ORE &U##ERIN> A
>RIVEOU& LO&&
Court *oes throu*h three9factor test to (eci(e if Due Process reIuire-e'ts 1ere -et
=T.E )AT.EK& TE&TD$
1. pri%ate i'terest that 1ill /e affecte( /, the official actio'
Acourt sa,s he 1ill 'ot 'ecessaril, /e put i' /a( shape /, losi'* the /e'efits+ the
court ac0'o1le(*es that he 1ill suffer si*'ifica't (epri%atio', /ut it5s 'ot as *reat
a (epri%atio' as Eell, case
". ris0 of a' erro'eous (epri%atio' of such i'terest throu*h the proce(ures use(, a'( the
pro/a/le %alue, if a',, of a((itio'al or su/stitute proce(ural safe*uar(s
99court sa,s i' this case 'o su/stitute safe*uar(s 1oul( help /ecause the court
sees these issues tur'i'* o' -e(ical Iuestio's 1hich are %er, factual+ this is
(iffere't fro- >ol(/er* /ecause the e%i(e'ce i'%ol%e( is -ore o/6ecti%e+ i'
>ol(/er* -a', perso'al factors 1ith 1elfare 1ere at sta0e.
99it5s all a/out co'te2t 1he' it co-es to (ue processM Eell,5s co'te2t is
Iuite (iffere't fro- El(ri(*e5s.
99ho1 his (isa/ilit, 1as ta0e' a1a,$ the, se't hi- a Iuestio''aire a/out
his (isa/ilit,+ he co-plete( the Iuestio''aire sa,i'* that he ha( 'ot
i-pro%e( a'( i(e'tifie( the (octors he 1e't to;.the, *ot reports fro- the
(octors a'( fou'( hi- 'o lo'*er eli*i/le
F. *o%t5s i'terest, i'clu(i'* the fu'ctio' i'%ol%e( a'( the fiscal a'( a(-i'istrati%e
/ur(e's that the a((itio'al or su/stitute proce(ural reIuire-e't 1oul( e'tail
99if a((itio'al proce(ures 1ere a((e(, it -i*ht (etract fro- the *o%ts a/ilit, /,
i'creasi'* the costs+ there 1ill /e less -o'e, for (isa/ilit, /e'efits o%erall if 1e
spe'( -ore o' preter-i'atio' heari'*s.
Differe't fra-es of *o%er'-e't5s i'terests i' >ol(/er* a'( )athe1s$
99the *o%t5s i'terest i' >ol(/er* is to preser%e li/ert, a'( people5s 1elfare+ 1e
are less co'cer'e( a/out the costs.
99I' El(ri(*e, the *o%t i'terest is a/out cost, a'( a(-i'istra/ilit,. The court
fra-es *o%t5s i'terest as pu/lic i'terest as co'ser%i'* sca't resources.
Does )athe1s o%errule >ol(/er*C
99'o. (iffere't 0i'(s of /e'efits at sta0e
99also, (iffere't 0i'(s of processes are (ue, /ecause (iffere't e%i(e'ce is use( i'
the (eter-i'atio' of 1elfare %ersus (eter-i'atio' of (isa/ilit,
99fifth a-e'(-e't (ue process a'( fourtee'th a-e'(-e't are prett, -uch the
sa-e, so prece(e't is i'tercha'*ea/le i' that respect.
99'oldberg is 0i'( of treate( as the /aseli'e /ecause it (eals 1ith (epri%atio' of
the /arest of 'ecessities of life;e%er,thi'* else is a' e2te'sio' fro- there
5
Mashaw rticle $ Critici:es )athe1s Court
99The %er(ict i' )athe1s % El(ri(*e focuses too -uch o' proce(ure. The court (oes 'ot
1restle 1ith 1h, 1e ha%e the proce(ure i' the first place. It tal0s of proce(ure i' a
%acuu-.
99#i'(s pro/le-s 1ith the focus o' -e(ical e%i(e'ce$
99it5s 'ot as fact9(ri%e' as the court thi'0s it is
99-e(ical e%i(e'ce ca' /e co-ple2 a'( a-/i*uous.
99so-e -e(ical pro/le-s are less suscepti/le to /ei'* u'(erstoo( o' paper tha'
other
99he critiIues >ol(/er* % Eell, e%e', sa,i'* that the opi'io' 1as too i'trusi%e /, setti'*
out a(-i'istrati%e steps 'ecessar, 1he' it 1as le*islature5s 6o/
99/ut )athe1s retreats fro- >ol(/er* too far, a'( it relies o' a(-i'istrator5s *oo( faith
too -uch 1hich is also trou/leso-e.
(osner rticle! Economic pproach to $egal (rocedure
99Esse'tiall,, he proposes /ala'ci'* /et1ee' pri%ate i'terests a'( *o%er'-e't i'terests+
'ee( to fi*ure out 1hat5s 'ecessar, to -eet the /are -i'i-u- of (ue process, /ut 1e
(o'5t 1a't to a(( too -a', proce(ural steps /ecause that 1ill cause -ore liti*atio'+ if 1e
*i%e heari'*s to all perso's, ,ou 1ill ha%e -ore liti*atio' 1hich 1ill 1ei*h (o1' the
s,ste-.
99he prefers ha%i'* a post9ter-i'atio' rather tha' pre9ter-i'atio' heari'* fro- a'
efficie'c, sta'(poi't.
99The ratio'ale is that ha%i'* the pre9ter-i'atio' heari'*s 1oul( e'coura*e
e%er,o'e to challe'*e, e%e' those 1ho thi'0 the, are'5t (isa/le( a',-ore,
/ecause the, ca' 0eep recei%i'* their /e'efits u'til the heari'*.
99If ,ou ha%e a post9ter-i'atio' heari'*, people -a, 6ust 'ot /other if the, 0'o1
the, are li0el, to lose, a'( this places less of a /ur(e' o' the s,ste- as a 1hole.
.A)DI V RU)&#ELD 3i' ha'(out4
&COTU&, "GGH
#acts$ @aser .a-(i 1as /or' i' U&, /ut /, "GG1 1as li%i'* i' Af*ha'ista'. .e 1as
capture( as a' e'e-, co-/ata't at so-e poi't i' "GG1+ the *o%t alle*es he too0 up ar-s
for the Tali/a'. .a-(i 1as i'itiall, i'terro*ate( /, U& *o%t i' Af*ha'ista', /ut 1as
e%e'tuall, tra'sferre( /ac0 to U& Na%al <ase i' >ua'ta'a-o <a, Cu/a i' Ba' "GG". I'
April "GG", upo' lear'i'* that .a-(i 1as a' A-erica' citi:e', authorities tra'sferre(
hi- to a /ri* i' Charlesto', &C. O'l, e%i(e'ce that the *o%er'-e't 1ill put for1ar(
a*ai'st .a-(i is 0'o1' as the )o//s Declaratio' 1hich asserts that .a-(i 1as
affiliate( 1ith a Tali/a' -ilitar, u'it. =the )o//s (eclaratio' is fou'( to fall far short of
supporti'* .a-(i5s (ete'tio' accor(i'* to the District Ct.D
The co'flict99i'(i%i(ual li/ert, (ue to citi:e' of U'ite( &tates %ersus *o%er'-e't ri*ht to
co'trol e'e-, co-/ata'ts
7
I&&UE$ Is a U& citi:e' /ei'* hel( as a' e'e-, co-/ata't e'title( to (ue process
reIuire-e'ts such as ha%i'* a -ea'i'*ful opportu'it, to co'test the factual /asis for his
(ete'tio'C
.OLDIN>$ @E&. Due process reIuire( that U& citi:e' /ei'* hel( as e'e-, co-/ata't
/e *i%e' -ea'i'*ful opportu'it, to co'test factual /asis for his (ete'tio' /efore a 'eutral
(ecisio'-a0er;the proce(ure use( /, the *o%er'-e't here %iolate( .a-(i5s (ue
process ri*hts.
O5Co''or )a6orit,$ &he places hi*her %alue o' i'(i%i(ual ri*hts o%er (efe'se of the
'atio'+ she ta0es a -i((le *rou'( as far as proce(ure she co'si(ers fair. &he sa,s e'e-,
co-/ata't procee(i'*s -a, /e tailore( to alle%iate their u'co--o' pote'tial to /ur(e'
the E2ecuti%e at a ti-e of o'*oi'* -ilitar, co'flictAhearsa, e%i(e'ce for e2a-ple -a,
'ee( to /e accepte( fro- the >o%er'-e't i' such a procee(i'*.
99shoul( allo1 a presu-ptio' i' fa%or of *o%t5s e%i(e'ce, so lo'* as that
presu-ptio' re-ai'e( a re/utta/le o'e a'( fair opportu'it, for re/uttal 1as
pro%i(e(.
The )athe1s Test i' Practice$
99 it helps hi*hli*ht the perti'e't issues at the %er, least
99<UT;.Bustice Tho-as i' his (isse't also uses the )athe1s Test a'( co-es up
1ith (ia-etricall, opposite co'clusio' /
99This case sho1s that the )athe1s test (oes 'ot offer pre(icta/le result
99All it co-es (o1' to is 1hat the 6u(*e %alues+ Tho-as puts -ore 1ei*ht o'
(efe'se of the 'atio', O5Co''or o' the i'(i%i(ual li/ert,
C. See$in& Re#ie: Re%edia# Po9ers and 4udicia# Procedures
1. Pre-Judgment Relief
Pro"isiona# Re#ie: #o9 c6art
99preli-i'ar, i'6u'ctio'Nte-porar, restrai'i'* or(er 3eIuit,A'o'9-o'etar,+ i'structs
(ef to stop (oi'* so-ethi'*4
99sei:ure of propert, 3la14
Pro%isio'al Da-a*es 'ot per-itte(,ou o'l, *et (a-a*es 1he' the other si(e is
actuall, rule( to /e lia/le for so-ethi'*. Ca'5t *i%e (a-a*es /efore lia/ilit, is
(eter-i'e(.
RULE& COVERED IN T.I& &ECTION$ #RCP 5F, 5H, 5O, 7H, 75, !G, !
&pecificall, (el%e( i'to Ru#e ):3&ei:ure of Perso' or Propert,4 a'( Ru#e )*3I'6u'ctio's4
!
There are t1o a%e'ues for relief set out i' Rule 7H a'( 75$
99ph,sical co'trol of ite-s i' (efe'(a't5s co'trol 3rule 7H4
99,ou ca' or(er the (efe'(a't to (o so-ethi'*, or stop (oi'* so-ethi'* 3Rule 754
RULE 7H 3&ei:ure of Perso' or Propert,4
99 courts ha%e (iffere't po1ers the, ca' use to sei:e a perso'5s propert, 1hile a' actio'
is pe'(i'*$
99the #e(eral court -ust loo0 at state la1 it is i'+ fe( court i' N@ loo0s at N@
state la1 re*ar(i'* pro%isio'al relief
99attach-e't L sheriff *oes a'( ta0es so-eo'e5s propert, a'( puts it i'
court5s custo(,+ if propert, ca'5t /e ta0e', the court ca' post 'otice sa,i'*
that the propert, is 'o1 co'trolle( /, the court.
99*ar'ish-e't L so-eo'e5s propert, or -o'e, are hel( u'a%aila/le to the
(efe'(a't
99reple%i' L o1'er or so-eo'e e'title( to repossess *oo(s, repossesses the
*oo(s 1ith help of sheriff
99seIuestratio' is also a%aila/le
#UENTE& V &.EVIN 3p. O7914
&COTU&, 1!"
#acts$ #ue'tes /ou*ht a sto%e a'( a stereopho'ic pho'o*raph fro- #iresto'e u'(er a
co'(itio'al sales co'tract calli'* for -o'thl, i'stall-e'ts of pa,-e't o%er a perio( of
ti-e, -ea'i'* that if she (efaulte( o' the pa,-e'ts #iresto'e coul( repossess the ite-s.
#ue'tes pai( for -ore tha' a ,ear, /ut the' a (ispute arose re*ar(i'* #iresto'e5s ser%ice
polic, of the sto%e.
#iresto'e i'itiate( a' actio' i' s-all clai-s court for repossessio' of /oth the sto%e a'(
the stereo. #iresto'e si-ulta'eousl, 1ith the fili'* of that actio' a'( /efore )rs #ue'tes
ha( e%e' recei%e( a su--o's to a's1er its co-plai't, o/tai'e( a 1rit of reple%i'
or(eri'* a sheriff to sei:e the (ispute( *oo(s at o'ce. I' or(er to file this -otio'
#iresto'e o'l, ha( to fill i' the /la'0s o' a for- pro%i(e( /, the state a'( post a securit,
/o'( at (ou/le the %alue of the sto%e a'( stereo. #ue'tes recei%e( 'o 'otificatio'A'o
'otice or opportu'it, to challe'*e 1rit of reple%i'
#lori(a a'( Pe''s,l%a'ia la1s authori:e( su--ar, sei:ure of *oo(s or chattels throu*h
a' e)parte application of a', other perso' 1ho clai-s a ri*ht to the- a'( posts securit,
/o'( 39rit o rep#e"in4.
I&&UE$ Khether these statutor, proce(ures %iolate the #ourtee'th A-e'(-e't5s
*uara'tee that 'o &tate shall (epri%e a', perso' of propert, 1ithout (ue process of the
la1.
O
.OLDIN>$ @es, the statutor, proce(ures %iolate fourtee'th a-e'(-e't. The statutor,
proce(ures (o 'ot affor( the ri*ht to prior opportu'it, to /e hear( /efore chattels are
ta0e' fro- their possessor.
99Court (eclares posti'* the /o'( is 'ot sufficie't to -eet (ue process reIuire-e'ts
99#iresto'e coul( 6ust post /o'(s o' all their stuff a'( *et it -ost of it /ac0
/ecause -ost people 1o'5t *o throu*h hassle of liti*atio'
99the heari'* is the o'l, true safe*uar(
99Critici:es the District Court for a ruli'* /ase( o' 'arro1 rea(i'* of 'oldberg v *ell#.
The treat 'oldberg as if it 1ere a ra(ical (eparture fro- esta/lishe( pri'ciples of (ue
process, thus the 'arro1 rea(i'* that 'oldberg o'l, set sta'(ar( of (ue process 1he'
8'ecessities of lifeJ 1ere (epri%e(.
99the househol( *oo(s (eser%e eIual protectio' li0e a',thi'* else. People 1or0
to achie%e such *oo(s, the, are i-porta't.
99DUE PROCE&& &.OULD NOT RE&T ON DI&TINCTION O#
8I)PORTANCEJ O# T.E >OOD& <UT RAT.ER &.OULD <E APPLIED
TO PROPERT@ >ENERALL@.
A)ERICAN .O&PITAL &UPPL@ CORP. V .O&PITAL PRODUCT& 3p. 591GG4
#e(eral Ct. of App. !
th
Circuit, 1O7
#acts$
A)ERICAN .O&PITAL &UPPL@ L Distri/utor+ .O&PITAL PRODUCT& L &upplier.
Distri/utor trie( to re'e1 the co'tract u'(er the proce(ures set out u'(er i'itial co'tract.
.ospital Pro(ucts3supplier4 a''ou'ce( it 1as *oi'* to treat the co'tract as if it ha(
e2pire( a'( /ee' ter-i'ate( a'( se'(s a tele*ra- to (ealers i'for-i'* the- that
A-erica' .ospital &uppl, 1as 'o lo'*er the authori:e( (istri/utor of .ospital Pro(ucts
stapli'* pro(ucts. A.& -o%e( for preli-i'ar, i'6u'ctio' to stop the ter-i'iatio'
Result$ Court of Appeals affir- the (istrict ct5s *ra't of a preli-i'ar, i'6u'ctio' 1hile
'oti'* that the (istrict court coul( 1ell co'si(er *ra'ti'* a reIuest to -o(if, it as ti-e
passes a'( pu/lic i'terest co'si(eratio's pote'tiall, cha'*e.
99Khat is irrepara/le har- that Distri/utor3A.&4 alle*e(C
99lose sta'(i'* a'( *oo( faith 1ith their clie'ts /ecause people -a, thi'0 the,
acte( /a(l, or 1ro'*full,
99The, also /ou*ht e2tra *oo(s fro- .ospital Pro(ucts to help the- out of (e/t
a'( the, 1ill lose -o'e, o' this
99Pos'er is co'cer'e( 1ith 1hat (a-a*es 1ill /e cause( /, placi'* a' i'6u'ctio' o'
.ospital Pro(ucts 3(efe'(a't4 forci'* the- to stic0 /, co'tract
99.P -a, *o /a'0rupt if force( to sta, i' the co'tract+ this is a' irrepara/le har-
e%e' if .P e'(s up %i'(icati'* itself
99if the, *o /a'0rupt this i' tur' as 'e*ati%e effect o' the pu/lic i'terest

99.e uses a #OR)ULA; 8*ra't the i'6u'ctio' if the har- to the plai'tiff if the
i'6u'ctio' is (e'ie(, -ultiplie( /, the pro/a/ilit, that the (e'ial 1oul( /e a' error,
e2cee(s the har- to the (efe'(a't if the i'6u'ctio' is *ra'te(, -ultiplie( /, the
pro/a/ilit, that *ra'ti'* the i'6u'ctio' 1oul( /e a' error.J
&1,*ert (isse'ts
99he cites four reIuire-e'ts that shoul( /e use( rather tha' Pos'er for-ula;K.IC.
ARE K.AT ARE >ENERALL@ U&ED RAT.ER T.AN T.E PO&NER #OR)ULA
3K.IC. I& )OCEED <@ OT.ER COURT&4
99'o a(eIuate re-e(, at la1+ 1ill suffer irrepara/le har- if relief 'ot *ra'te(
99irrepara/le har- the, 1oul( suffer out1ei*hs the irrepara/le har- (efe'(a'ts
1oul( suffer fro- a' i'6u'ctio'
99the, ha%e so-e li0elihoo( of success o' the -erits
99i'6u'ctio' 1oul( 'ot (isser%e pu/lic i'terests
99for-ula for 'e*li*e'ce i' tort /, Lear'e( .a'( is %er, (iffere't circu-sta'ce+ ca'5t
ha%e for-ulas for a part of la1 3i'6u'ctio' procee(i'*s4 1hich -ust /, its %er, 'ature /e
fle2i/le
99Bu(*e5s -ust rel, o' o1' 6u(*-e't i' (eci(i'* these preli- i'6u'ctio's, 'ot o' so-e
-athe-atical for-ula.
99Either 1a, the court is put i' a *uessi'* positio' 1here the, coul( /e 1ro'* either
1a,;.so the, -ust (eci(e 1hich (ecisio' 1ill (o the least har-.
+. ,inal -elief! Equitable -emedies. Declarator# /udgments. and Damages
#RO) <RANDON5& NOTE&$
Pro%isio'al #i'al
1. Preli-i'ar, I'6u'ctio'NTRO Le*al EIuita/le
". &ei:ures 1. No-i'al Da-a*es 1. Per-a'e't I'6u'ctio'
NO DA)A>E& ". Co-pe'sator,NActual a4 si'*le act
F. Pu'iti%e /4 lo'*9ter-
H. Attor'e, #ees ". Co'se't Decree
F. Declarator, Relief
Fina# Re#ie: #o9c6art
99la1 3le*al reliefLall a/out the -o'e,4
99'o-i'al (a-a*es 3Care, % Piphus4
99actual (a-a*es 3co-pe'sator, (a-a*es4
99*oal is to put the perso' /ac0 i' place the, 1oul( ha%e /ee' a/se't
(efe'(a't5s 1ro'*(oi'*
99pu'iti%e (a-a*es 3<)K case4
99attor'e,5s fees a'( court5s cost
99eIuit, 3eIuita/le reliefLall a/out the or(ers4
99per-a'e't i'6u'ctio'
99si'*le act 3o'e or(er is -a(e &aracree0 -all, (o'5t lease to phar-or4
1G
99lo'* ter- i'6u'ctio' 3,ou ca'5t (o 2, ,, : e%er43ofte' super%ise( /, a
-o'itor4
99co'se't (ecreeAthe parties 'e*otiate the ter-s of the relief+
99this coul( /e or(ere( /efore or after fi'(i'*s of lia/ilit,+ the court ca'
or(er the- to (o this 1he'e%er 3%er, co--o' i' e-plo,-e't
(iscri-i'atio' suits etc.4
99(eclarator, reliefAit clarifies issues of loss+ court clarifies issues of la1 so
people 0'o1 ho1 to act i' the future
99courts usuall, o'l, (o this 1he' there are actual cases or co'tro%ersies
the, are (eali'* 1ith
99to *et (eclarator, relief, ,ou 'ee( to /e as0i'* court specific Iuestio',
'ot h,pothetical.
WA3;REEN CO. 5 SARA CREE. PROPERT/ CO. +p. 0<0=0<),
#e(eral Ct. of Appeals !
th
Circuit, 1"
#acts$ Kal*ree' operate( a phar-ac, i' the &outh*ate )all i' )il1au0ee. Its curre't
lease, si*'e( i' 1!1 for thirt, ,r te'ure, pro-ises that &ara Cree0 1ill 'ot lease space i'
the -all to a',o'e else 1ho 1a'ts to operate a phar-ac, or a store co'tai'i'* a
phar-ac,. I' 1G, &ara Cree0 i'for-e( Kal*ree' that it i'te'(e( to /u, out the a'chor
te'a't a'( i'stall i' its place a (iscou't store operate( /, Phar9)or Corporatio', a 8(eep
(iscou't chai', rather tha', li0e Kal*ree', 6ust a 8(iscou'tJ chai'. Phar9)or5s store
1oul( co'tai' a phar-ac, 1ithi' that 1as the sa-e si:e as Kal*ree'5s. The e'tra'ces to
the t1o stores 1oul( /e 1ithi' a couple of hu'(re( feet fro- each other.
99&ara Cree0 alle*es that Kal*ree' ha( faile( to sho1 that its re-e(, at la1A(a-a*esA
for the /reach of the e2clusi%it, clause 1as i'a(eIuate, t6us district court &rantin& t6e
per%anent in!unction sa-in& t6e- can>t #et P6ar27or in as anc6or tenant is 9ron&.
99Kal*ree' ar*ues it 1oul( lose so-ethi'* else /esi(es -o'e,.
99the, 1ill lose *oo(1ill as 1ell+ 'ot Iua'tifia/le
99the plai'tiff 1ho see0s a' i'6u'ctio' has the /ur(e' of persuasio' si'ce (a-a*es are the
'or- a'( he -ust sho1 1h, his case is a/'or-al.
K.AT PLAINTI## )U&T &.OK99 the /ur(e' here is 'ot to sho1 that the
(e'ial of the i'6u'ctio' 1ill 1or0 irrepara/le har-, /ut rather for plai'tiff to sho1
that (a-a*es are i'a(eIuate as a for- of re-e(,
99Pos'er sa,s he 1ill o'l, (eci(e if District Court5s (eicisio' 1as reaso'a/le, 'ot if he
1oul( ha%e (eci(e( the sa-e thi'* if i' (istrict 6u(*e5s shoes.
99if the i'6u'ctio' is *ra'te( thou*h, &ara Cree0 ca' still pri%atel, settle 1ith Kal*ree' to
release it fro- the i'6u'ctio'. I.E. T.E@ KILL PA@ KAL>REEN O## TO >ET OUT
O# T.E INBUNCTION. Pos'er pre(icts this is e2actl, 1hat 1ill happe';thus he
affir-s the 6u(*-e't /ecause he thi'0s ha%i'* the court fi*ure out -o'e, (a-a*es
11
places u'(ue /ur(e' o' the court+ 1oul( prefer to let the parties fi*ure this out
the-sel%es.
P P P
>e'erall, o' -o'e, (a-a*es %ersus eIuita/le re-e(ies;
99There are co'te2ts 1here it is har( to i-a*i'e 1here -o'e, 1ill e%er ta0e the place of
the i'6u'ctio'
99school (ese*re*atio' ,ou ca'5t pa, off the stu(e'ts har-e( /, se*re*atio'
T6e $e- point on e?uita'#e " #e&a# re%edies is t6at e"er- court is 'a#ancin& 96et6er
t6e da%a&es at #a9 are ade?uate or i t6e court %ust inter"ene 9it6 e?uita'#e re#ie.

CARE/ 5 PIPHUS
A couple of stu(e'ts 1ere suspe'(e( for school 1ithout -ea'i'*ful opportu'it, to
co'te'( the suspe'sio'
Le*al clai-$ su/sta'tial (a-a*es shoul( /e a1ar(e( for (epri%atio' of 1H
th
a-e'(-e't
ri*hts, 1hether or 'ot there 1as a su/sta'tial i'6ur,
Plai'tiff clai-s that 1here there is a (epri%atio' of co'stitutio'al ri*hts there is
al1a,s (a-a*e /ecause that is a (a-a*e i' a'( of itself
o The, are ar*ui'* that the court (oes 'ot (eci(e if the suspe'sio's 1ere
6ustifie(+ court 6ust -ust (eter-i'e if a co'stitutio'al ri*ht 1as %iolate(
da%a&es #o9 ro% denia# o air 6earin& accordin& to p#ainti
o the, co-pare their clai- to dea%ation per se c#ai% L it is i'6urious i'
a'( of itself /ecause it rui's ,our reputatio' 1he'e%er it happe's
usuall, ,ou ha%e to pro%e i'6ur, to *et reco%er,+ /ut here the
plai'tiff sa,s the, (o'5t 'ee( to sho1 (e-o'stra/le i'6ur, to 1i'
1hat 0i'( of (a-a*es are the, see0i'*
o the, see0 actual99co-pe'sator, (a-a*es
o the, also see0 puniti"e da%a&es
o 1hat the, *et i' the e'( are no%ina# da%a&es
Le*al Issue$
o Co'si(eri'* the state5s suspe'sio' 1ithout heari'* or cha'ce to co'te'(
suspe'sio', is the plai'tiff e'title( to (a-a*es for this 1H
th
a-e'(-e't (ue
process %iolatio'.
Court sa,s it 9on>t presu%e actua# da%a&es ro% t6e denia# o due process
o The, sa, the (istress alle*e( coul( /e fro- the suspe'sio' itself or fro-
lac0 of heari'*+ so it5s har( to (eter-i'e 1hat cause( the (istress
o ,es, 1hile it is (ifficult to pro%e the e-otio'al (a-a*es, it is still possi/le
to pro%e e-otio'al (a-a*es+ 'ot li0e (efa-atio' per se 1hich is
i-possi/le to pro%e a'( thus is a' e2ceptio' 1here pro%i'* a (epri%atio'
of (ue process i' itself pro%es (a-a*es
1"
o plai'tiffs here coul( ha%e recei%e( co-pe'satio' for (a-a*es, /ut the,
ha( to pro%e the (a-a*es. T.E PLAINTI## .AD <URDEN O#
PRODUCTION TO &.OK E)OTIONAL INBUR@, AND T.EN T.E@
.AD TO PROVE T.E DI&TRE&& T.E@ .AD #LOKED #RO)
DENIAL O# T.E .EARIN> AND NOT #RO) T.E &U&PEN&ION
Ee, Poi't$ Depri%atio' of (ue process i' a'( of itself is 'ot sai( to sho1 (a-a*es+ Due
Process (oes 'ot i' itself ha%e a' i''ate %alue
Pu'iti%e Da-a*es Discussio'$ 3p.11H911!4
Pu'iti%e Da-a*es are a1ar(e( to (eter 1ro'*ful co'(uct+ (iffere't purpose tha'
co-pe'sator, (a-a*es
0M1 2 '3-E tol( us that e%e' if there are reaso'a/le (ue process re*ulatio's i'
place, 1e also care a/out su/sta'ti%e (ue process Q-ea'i'* that the (a-a*e
a1ar( is reaso'a/le+ 'ee(s to /e fair
Three *ui(eposts for (eter-i'i'* 1hether to a1ar( Pu'iti%e Da-a*es$
99 ho1 reprehe'si/le is (efe'(a't5s co'(uctC
99 ratio of a1ar( to actual (a-a*es to har- i'flicte(
99 co-pariso' /et1ee' the a1ar( to ci%il or cri-i'al pe'alties that ca' /e
i-pose( for co-para/le -isco'(uct.
3. Cntempt
Co'te-pt Discussio'$ 3p. 1HG4
99A part, 1ho (iso/e,s a court or(er or court rule ris0s /ei'* fou'( i' co'te-pt.
99Khe' so-eo'e (iso/e,s a statute a'( faces cri-i'al or ci%il co'seIue'ces, there
usuall, is a cha'ce to offer a (efe'se a'( a challe'*e to the la1 at issue i' the course of a
6u(icial heari'*.
99Polic, ?uestio's;after a court fi'(s a part, i' co'te-pt, shoul( that part, /e a/le to
(efe'( the 'o'co-plia'ceC Koul( faili'* to *i%e such a' opportu'it, u'(er-i'e (ue
process or su/sta'ti%e 6usticeC Or 1oul( *i%i'* such a' opportu'it, i'%ite further
%iolatio's of court or(ersC =T.E&E ARE T.E POLIC@ ?UE&TION& <E.IND
KALEER V CIT@ O# <IR)IN>.A)D
WA3.ER 5 CIT/ OF BIR7IN;HA7Ap. 1H"91H
&COTU&, 17!
State collateral bar rule 4 rule requiring obedience to a court order even if it is
later found to be unconstitutional5 this forbids challenge b# an#one who first
disobe#s the rule and then see%s to challenge it in court. 6this is a 7udge&made
common law rule8
#acts$ The &CLC i'itiall, *oes to the Cit, of <ir-i'*ha-+ the, are tol( i' 'o u'certai'
ter-s that there is 'o 1a, the, are *oi'* to *et their para(e or(i'a'ce.
1F
Cit, officials see0 i'6u'ctio' fro- &tate Court to stop Para(e fro- happe'i'*
o No heari'* Q it 1as e2 parte
o Court *ra'te( te-porar, i'6u'ctio' for/i((i'* the &CLC fro-
(e-o'strati'*
the &CLC people -arch first, a'( the' o'l, o' )o'(a, the cit, *oes to the court
a'( sa,s hol( these people i' co'te-pt for (iso/e,i'* ,our or(er
&CLC *oes i'to court a'( -a0es t1o su/sta'ti%e ar*u-e'ts$
1. Parade Ordinance 1as a(-i'istere( i' 8ar/itrar, a'( (iscri-i'ator, -a''erJ
a'( thus i'%ali(
". In!unction 1as u'co'stitutio'al 8o' the *rou'( that it 1as %au*e a'(
o%er/roa(, a'( restrai'e( free speech31
st
a-e'(-e't4
I' respo'se;
o Court refuses to hear these ar*u-e'ts /ecause the &CLC first (iso/e,e(
the or(er a'( o'l, challe'*e( it after the fact+ /, (iso/e,i'* first the,
a/a'(o' their first a-e'(-e't ri*hts =co##atera# 'ar ru#eD
o Court sa,s co'te-pt procee(i'*s are 'ot the proper place to challe'*e the
%ali(it, of i'6u'ctio'+ if the, 1a'te( to stop i'6u'ctio', the, coul( ha%e
-o%e( to (issol%e the i'6u'ctio' /efore -archi'*.
&COTU& -a6orit,3&te1art4 a*rees 1ith the lo1er court a'( affir-s. 8<elief that i' the
fair a(-i'istratio' of 6ustice 'o -a' ca' /e 6u(*e i' his o1' case, ho1e%er e2alte( his
statio', ho1e%er ri*hteous his -oti%esJ
Karre' Disse't$
99The -a6orit, ac0'o1le(*es that the para(e or(i'a'ce -a, %er, 1ell /e
u'co'stitutio'al, /ut /ecause the or(i'a'ce 1as copie( i'to a' i'6u'ctio', 1hich 1as
issue( e2 parte 1ithout 'otice or heari'*, the, are uphol(i'* the petitio'ers co'%ictio'
a'( 6ail se'te'ce.
99Karre' is a*ai'st their (ecisio' /ecause he (oes 'ot /elie%e that the fu'(a-e'tal
protectio's of the Co'stitutio's 1ere -ea't to /e so easil, e%a(e(, 'or (oes he thi'0 that
the 8ci%ili:i'* ha'( of la1J 1oul( /e ha-pere( i' the sli*htest /, e'forci'* the #irst
A-e'(-e't i' this case.
Dou*las Disse't$
99recor( sho1s that the petitio'ers (i( tr, to o/tai' a per-it, a'( 1ere ru(el, re6ecte(,
thus the, reaso'a/l, co'clu(e( the, 1oul( 'ot *et o'e a'( that further atte-pts 1oul( /e
fruitless.
99Ke ca'5t let state5s i'sulate their u'co'stitutio'al le*islatio' 1ith e2 parte or(ers 3i.e.
*et arou'( u'co'stitutio'alit, of it throu*h i'6u'ctio's4 + ca''ot ar- state courts 1ith the
po1er to pu'ish as a co'te-pt 1hat the, other1ise coul( 'ot pu'ish at all.
Thus, 1e see three approaches to i'teractio' of proce(ure a'( polic, i' this case$
1H
&te1art$ Purpose of proce(ure of (ue process shoul( /e pre(icta/le + proce(ure is
place( at a pre-iu- a/o%e su/sta'ti%e co'si(eratio's
Khat a/out Karre'5s philosoph,$ .e is 1illi'* to /e'( the proce(ure to ser%e
6ustice+ these for-al rules li0e collateral /ar rule shoul( 'ot appl, if the, (ef,
6ustice
Bustice Dou*las $ .e is -a0i'* the poi't that 1e ca''ot i*'ore at-osphere 1e
are li%i'* i'+ 1e ca''ot let our fears a/out 0eepi'* the peace *e'erate the 1a, 1e
approach the proce(ures
III. PUTTIN; A 3AWSUIT TO;ETHER AND 7O5IN; IT
THROU;H COURT
A. Bui#din& B#oc$s o a 3a9suit
1. Prep!ring ! Cmpl!int" #$trine !nd Str!teg%
-ules 9&99 3A' o%er%ie1 of so-e of the i-porta't a'( /asic rules4
Ru#e 0: Scope and Purpose o Ru#es
99*o%er's #e(eral District Courts;'ot appellate courts
99ci%il rules, 'ot cri-i'al
99if there5s a', a-/i*uit, i' these rules;.co-e /ac0 to Rule 1, sa,i'* 8The,
shall /e co'strue( a'( a(-i'istere( to secure the !ust, speed-, a'( ine(pensi"e
(eter-i'atio' of e%er, actio'J
99/ut !ust ca' ru' cou'ter to speed-, a'( speed- is 'ot al1a,s the sa-e as
ine(pensi"e;so these three *ui(a'ce reIuire-e'ts actuall, all sta'( i'
oppositio' to each other
99the te'sio' of fair'ess %ersus efficie'c,
99 tells us that 1e ha%e sa-e rules for la1, eIuit,, a'( a(-iralt, 3KE5RE )ER>IN>
LAK AND E?UIT@4
99 la,s out that there are e2ceptio's 1here these Rules (o 'ot *o%er' the proce(ure;
1hich are state( i' Rule O1$
99 ha/eas cases, (o'5t appl, i' a(-iralt,, (o appl, i' /a'0ruptc,
Ru#e @: One For% o Action
99&u--ari:es i(ea of ci%il actio'+ there is o'e for- of actio' 'o1 L ci%il actio'
Ru#e A: Co%%ence%ent o Action
99A ci%il actio' is co--e'ce( /, fili'* a co-plai't 1ith the court
15
99Khat is a co-plai't$
99a le*al (ocu-e't see0i'* relief for so-e har- /, the perso' 1ho
recei%e( the har-
Ru#e :: Su%%ons
3a4 #or-
99the su--o's shall state
99the ti-e 1ithi' (efe'(a't -ust appear a'( (efe'(,
99a'( 'otif, the (efe'(a't that failure to (o so 1ill result i' a 6u(*-e't /, (efault
a*ai'st the (efe'(a't.
99Court -a, allo1 su--o's to /e a-e'(e(.
3/4 Issua'ce
99upo' fili'* the co-plai't, plai'tiff prese'ts a su--o's to the cler0 for si*'ature a'(
seal. The' it is i'cu-/e't o' the plai'tiff to ser%e the (ocu-e't o' the (efe'(a't.
991he' co-plai't a*ai'st -ultiple (efe'(a'ts, a su--o's -ust /e ser%e( upo' each
(efe'(a't.
3c4 &er%ice 1ith Co-plai't$
314 99plai'tiff is respo'si/le for ser%ice of a su--o's a'( co-plai't 1ithi'
the ti-e allo1e( u'(er su/sectio' 3-4
3"4 99a*e reIuire-e'tAser%ice ca' /e effecte( /, a', perso' 1ho is at least
1O
99At reIuest of the plai'tiff, court -a, (irect that ser%ice /e effecte( /, a
U& -arshal etc.
K.EN >OVT O##ICIAL )U&T E##ECT &U))ON&99 -ust
/e -a(e 1he' the plai'tiff is authori:e( to procee( u'(er "O U&C
115 3for priso'ersC4, or is authori:e( to procee( as a sea-a'
u'(er "O U&C 117
3(4 Kai%er of &er%ice+ Dut, to &a%e Costs of &er%ice+ ReIuest to Kai%e
314 991ai%i'* ser%ice (oes 'ot -ea' ,ou 1ai%e ,our o/6ectio' to the
6uris(ictio' of the court
3"4 99stuff a/out corporatio's;co-e /ac0
99if a (efe'(a't locate( 1ithi' the U& fails to co-pl, 1ith a reIuest for a
1ai%er -a(e /, a plai'tiff locate( 1ithi' the U& the costs su/seIue'tl,
i'curre( i' effecti'* ser%ice are i-pose( o' the (efe'(a't u'less the, ca'
sho1 *oo( cause for the failure to 1ai%e
3e4 &er%ice Upo' I'(i%i(uals Kithi' Bu(icial Distrct of the U&
99u'less other1ise pro%i(e( /, fe( la1, ser%ice upo' a' i'(i%i(ual -a, /e
effecte( i' a', 6u(icial (istrict of the U&$
17
314 Pursua't to the la1 of the state i' 1hich the (istrict court is locate(, or i'
1hich ser%ice is effecte(, for the ser%ice of a su--o's upo' (efe'(a't i' a'
actio' /rou*ht i' the cts of *e'eral 6uris(ictio'
3"4 /, (eli%eri'* a cop, of the su--o's a'( the co-plai't to
99the i'(i%i(ual perso'all,
99or /, lea%i'* copies at the i'(i%i(ual5s (1elli'*, or usuall, place of
a/o(e 1ith so-e perso' of suita/le a*e a'( (iscretio'
99or /, (eli%eri'* to a' a*e't authori:e( /, appoi't-e't or /, la1 to
recei%e ser%ice of process
3f4 ser%ice upo' i'(i%i(uals i' a forei*' cou'tr,
3h4 ser%ice upo' corporatio's
314 ser%ice shall /e effecte( $
99i' a 6u(icial (istrict of the U& i' the -a''er prescri/e( for i'(i%i(uals
99or /, (eli%eri'* a cop, to a' officer, -a'a*i'* a*e't, or to a', other
a*e't authori:e( /, appoi't-e't or /, la1 to recei%e ser%ice of process
3"4
364 &er%ice Upo' #orei*' &tate, or Local >o%er'-e'ts
304 Territorial Li-its of Effecti%e &er%ice
314 &er%ice of a su--o's is effecti%e to esta/lish 6uris(ictio' o%er perso' of a
(efe'(a't
3A4 ;enera# 4urisdiction Ru#e 99 1ho coul( /e su/6ecte( to the
6uris(ictio' of a court of *e'eral 6uris(ictio' i' the state i' 1hich the
(istrict court is locate(
3<40<< 7i#e Bu#&e Ru#e99Kho is part, u'(er Rule 1H3i-plea(er4 or Rule
13Boi'(er of Perso's4 a'( is ser%e( at a place 1ithi' a 6u(icial (istrict of
the U& a'( not %ore t6an 0<< %i#es ro% t6e p#ace ro% 96ic6 t6e
su%%ons issues
3C4 1ho is su/6ect to the fe(eral i'terplea(er 6uris(ictio' u'(er U&CR1FF5
3D4 Khe' authori:e( /, a statue of the U&
3"4 If the e2ercise of 6uris(ictio' is co'siste't 1ith the Co'stitutio';ser%i'* a
su--o's is also effecti%e, 1ith respect to clai-s arisi'* u'(er fe(eral la1, to
esta/lish perso'al 6uris(ictio' o%er the perso' of a', (efe'(a't 1ho is 'ot su/6ect
to the 6uris(ictio' of the courts of *e'eral 6uris(ictio' of a', state
3l4 proof of ser%ice
3-4 Ti-e Li-it for &er%ice
99if ser%ice of su--o's 'ot -a(e 1ithi' 0@< da-s after the co-plai't has /ee' file(
the court, upo' -otio' or its o1' i'itiati%e, s6a## dis%iss t6e action 1ithout pre6u(ice
99/ut ho1 (o ,ou cou't 1"G (a,sC Kee0e'(sC .oli(a,sC 3T.AT5& ALL
DE#INED IN RULE 74
1!
99ho1e%er, if plai'tiff sho1s *oo( cause for failure, the court shall e2te'( the ti-e for
ser%ice for appropriate perio(
99this clause (oes'5t appl, to ser%ice i' a forei*' cou'tr,
Ru#e B: P#eadin&s A##o9edC For%s o 7otion
3a4 8There shall /e a co-plai't a'(;
99a' a's1er
99a repl, to a cou'terclai-
99a' a's1er to a cross clai-, if the a's1er co'tai's a cross9clai-
99a thir(9part, co-plai't, if a perso' 1ho 1as 'ot ori*i'al part, is su--o'e(
u'(er Rule 1H
99thir(9part, a's1er if a thir(9part, co-plai't is ser%e(
No other plea(i'*s allo1e(, e2cept that the court -a, or(er a repl, to a' a's1er or a
thir(9part, a's1er
3/4 )otio's a'( other papers
314 if ,ou5re appl,i'* for a' or(er ,ou ha%e to (o it /, -otio', 1hich 'ee(s to /e
-a(e i' 1riti'* u'less it5s -a(e (uri'* a heari'* or a trial
3"4 the -otio' shall state 1ith particularit, the *rou'(s, a'( shall set forth the
relief or or(er sou*ht.
c4 De-urrers, Pleas, etc A/olishe(
99that 1as the -otio' to sa, 8so 1hatCJ e%e' if all ,ou sa, is true;.i- 'ot *uilt,
of a cri-e
Ru#e D: ;enera# Ru#es o p#eadin&
3a4 Clai-s for Relief
99tells us 1hat -ust /e co'tai'e( i' the co-plai't;three ele-e'ts$
1. a short a'( plai' state-e't of the *rou'(s upo' 1hich the court5s 6uris(ictio'
(epe'(s
". a short a'( plai' state-e't of the clai- sho1i'* that the plea(er is e'title( to
relief
F. a (e-a'( for 6u(*-e't for the relief that plea(er see0s.
3/4 Defe'ses+ #or-s of De'ials
99A part, 1ill either a(-it or (e', a clai-.
1O
99If a part, (oes'5t ha%e i'for-atio' sufficie't to for- a /elief as to the truth of a'
a%er-e't, the part, -ust state so e2plicitl,A1hich has the effect of a (e'ial
NOTE$ @ou ha%e to (e', u'(er rule O that ,ou ha%e sufficie't 0'o1le(*e to /e
a/le to for- a /elief ca'5t 6ust sa, I (o'5t ha%e e'ou*h i'for-atio' to 0'o1 for
certai', it5s that ,ou (o'5t ha%e e'ou*h i'for-atio' to (ra1 a', t,pe of
co'clusio'
3c4 Affir-ati%e Defe'ses$ A' e2pla'atio' for a (efe'(a'tSs actio's that e2cuses or
6ustifies his /eha%ior. #or e2a-ple, acti'* i' self9(efe'se is a co--o' affir-ati%e
(efe'se to a char*e of /atter, or ho-ici(e. Other affir-ati%e (efe'ses i'clu(e i'sa'it,,
(uress a'( i'to2icatio'.
3(4 Effect of #ailure to De',$
99if ,ou fail to (e', i' respo'si%e plea(i'*, the' ,ou are ta0e' to ha%e a(-itte(.
3e4 Plea(i'* to /e Co'cise a'( Direct+ Co'siste'c,
314 a%er-e't of a plea(i'* shall /e si-ple.
3"4$ ,ou can set forth co'tra(ictor, or i'co'siste't clai-s 3i-porta't4
T.REE CA&E& T.AT DE#INE RULE OA Di'uordi. :enr#. ;onle#
DI;UORDI ". DURNIN;=p. 1!!
&eco'( Circuit 31HH4
#ACT&$
Plai'tiff is Italia' i--i*ra't 1ith poor *rasp of E'*lish 1ho (eci(es to (raft his o1'
co-plai't.
T1o clai-s i'a(eIuatel, state( i' /ro0e' E'*lish$
1. that o' the auctio' (a,, Oct 1HG, 1he' (ef sol( the -ercha'(ise at 8pu/lic
custo-, he sol( -, -ercha'(ise to a'other /i((er 1ith -, price of 11G (ollars
a'( 'ot his price of 1"G
". 8that three 1ee0s /efore the sale, t1o cases, of 1 /ottles each case,
(isappeare(J
Clar0 1rites the opi'io'Ahe5s the sa-e *u, 1ho 1rote the #RCP, so this is his
state-e't clarif,i'* the esse'ce o' the li/eral plea(i'* rules.
99the /ar is lo1 for stati'* a clai- i' a plea(i'*
99this is opposite of tech'ical 1rit plea(i'* s,ste- that ca-e /efore #RCP
APPLIE& RULE O 3a4 $
1
Ne1 Rules of #RCP state that all he has to (o is state 8a short a'( plai' state-e't of the
clai- sho1i'* that the plea(er is e'title( to relief.J No lo'*er reIuire-e't of stati'*
8facts sufficie't to co'stitute cause of actio'.J
APPLIE& RULE 1" 3/4$ )otio' for (is-issal is for failure to state 8a clai- upo' 1hich
relief ca' /e *ra'te(.J E%e' if clai- state( /a(l,, there is still a clai- state( upo' 1hich
relief ca' /e *ra'te(.
Clar0 sa,s i' opi'io' that 1e ha%e this 'otice plea(i'* s,ste- (esi*'e( to let a 1i(e
arra, of people i'
&trate*ic co'si(eratio's fro- >ol(/er*$
Kh, 1oul( ,ou e%er state -ore tha' this /are -i'i-u-$
99,ou -i*ht 1a't to state -ore tha' the lo1 /ar for a %ariet, of reaso's
99co-plai't is a' opportu'it, to persua(e the 6u(*e
99-a, /e the o'l, le*al (ocu-e't that fra-es the case if ,ou settle
99,our alle*atio's 1ill co'trol 1hat ,ou ca' (isco%er
1" 3/4 374 also still states that ,ou ca' /e (is-isse( if ,ou (o'5t -eet threshol(
Ru#e D+e,+@, ;
HENR/ 5 DA/TOP 5I33A;E=p.1F
&eco'( Circuit 31H4
#ACT&$ Plai'tiff Cecila .e'r, sou*ht a'( 1as *ra'te( rei-/urse-e't /, Da,top for
-e(ical e2pe'ses of her hus/a'(. I' 1O Da,top5s i'%esti*atio' of her hus/a'(5s health
i'sura'ce ho1e%er re%eale( that Da,top ha( o%erpai( .e'r, T!7G.5F for her hus/a'(5s
-e(ical e2pe'ses, a'( as a result .e'r,5s super%isor co'fro'te( her causi'* a' ar*u-e't
a'( .e'r,5s firi'* for e-plo,ee -isco'(uct.
PROCEDURAL PO&TURE$
.e'r, file( a co-plai't i' (istrict court, clai-i'* she 1as u'la1full, fire( u'(er Title
VII, /ecause of her se2 a'( race. &he offere( t1o theories
1. she ha( 'ot -isreprese'te( her hus/a'(5s -e(ical co%era*e, therefore Da,top5s
-isco'(uct accusatio's 1ere si-pl, a prete2t for firi'* her.
". Khite -ale e-plo,ees ha( recei%e( -ore le'ie't sa'ctio's for si-ilar
-isco'(uct.
Da,top -o%e( for su--ar, 6u(*-e't, co'te'(i'* that the co-plai't faile( to raise a
*e'ui'e issue of -aterial fact, /ecause i' a((itio' to her Title VII clai-, she also alle*e(
that she ha( 'ot co--itte( -isco'(uct. Thus her Title VII clai- co'tra(icte( her clai-
that she ha( 'ot co--itte( -isco'(uct;/ecause the title %ii clai- ac0'o1le(*es that
she ha( co--itte( a %iolatio'. EHER TWO C3AI7S CONTRADICTF
UNDER RU3E D+e, +@, o FRCP1 a plai'tiff -a, plea( t1o or -ore state-e'ts
of a clai-, e%e' 1ithi' the sa-e cou't, re*ar(less of co'siste'c,.
"G
The rules -a, allo1 ,ou to (o this /ecause a %ali( clai- coul( /e (is-isse(
/ase( o' a tech'icalit,
>e'eral Poi'ts a/out #RCP fro- <oth .e'r, % Da,top a'( Di*uor(i$
o KE KANT CA&E TO >ET TO T.E )ERIT&+ DON5T EICE CLAI)&
OUT #OR NOT &ATI&#@IN> A TEC. RE?UIRE)ENT
o T.E ALLOCATION O# POKER I& &UC. T.AT NOK T.O&E K.O
ARE NOT A& #ORTUNATE OR PRIVELE>ED .AVE )ORE
ACCE&& <ECAU&E T.E <URDEN ON T.E) TO PRE&ENT T.EIR
CLAI)& I& LE&& #IERCE AT T.E OUT&ET
>oo( Iuote$ 8The fle2i/ilit, affor(e( O3e43"4 is especiall, appropriate i' Ci%il ri*hts
cases, i' 1hich co-ple2 i'Iuiries i'to the parties5 i'te't -a, so-eti-es 6ustif, raisi'*
-ultiple, i'co'siste't clai-s.J
Ru#e D+a,;
CON3E/ 5 ;IBSON=p. 0BG
SCOTUS +0G*B,
;SE <S 1E$$ *=31= ,3- SE""<=' S"=D-D ,3- S"<S,;"3-Y
;3M($<=">.."E$$S ?S 1:" RU3E D+A, ME=S
#acts$ <lac0 e-plo,ees are here u'(er the RR La/or Act as0i'* that their collecti%e
/ar*ai'i'* a*e't /e co-pelle( to represe't the- fairl,. Co-plai't alle*e( that a co'tract
e2iste( /t1' the U'io' a'( the RR 1hich *a%e the e-plo,ees i' the /ar*ai'i'* u'it
certai' protecto' fro- (ischar*e a'( loss of se'iorit,. The RR purporte( to a/olish H5
6o/s hel( /, petitio'ers all of 1ho- 1ere either (ischar*e( or (e-ote(. These 6o/s 1ere
i' realit, 'ot a/olishe( at all, /ut i'stea( 1ere fille( /, 1hite 1or0ers.
Despite repeate( pleas, the u'io' (i( 'othi'* to help the-
Relief sou*ht$ the 'ature of relief 1as (eclarator, 6u(*-e't, i'6u'ctio', a'( (a-a*es.
Proce(ural Process$
99>i/so' -a0es Rule 1"3/4374 -otio' to (is-iss
99District Ct. *ra'te( this -otio' to (is-iss hol(i'* that Co'*ress h6a( *i%e' the
NRA< 3a(6ust-e't /oar(4 e2clusi%e 6uris(ictio'.
99Ct. of Appeals for fifth circuit appare'tl, rel,i'* o' the sa-e *rou'( affir-e(
99&COTU& RE&ULT$ Bu(*-e't re%erse( a'( the cause is re-a'(e( to the
District Court for further procee(i'*s 'ot i'co'siste't 1ith this opi'io'.
"1
EE@ POINT$ Court (oes 'ot (is-iss+ *i%es all /e'efit of the (ou/t to the plai'tiff
-a0i'* the plea(i'*$
81e follo1 accepte( rule that a co-plai't shoul( 'ot /e (is-isse( for failure to
state a clai- u'less it appears /e,o'( (ou/t that the plai'tiff ca' pro%e 'o set of
facts i' support of his clai- 1hich 1oul( e'title hi- to relief.J
Di( plai'tiffs alle*e e'ou*h i' Co'le,C
99,es, their factual alle*atio's, if pro%e', 1oul( co'stitute a %ali( le*al clai-
99Oa tells us that all ,ou 'ee( is the 8s6ort and p#ain state%ent o t6e c#ai%J
99Rule Oa (oes 'ot tal0 a/out facts+ it o'l, tal0s a/out clai-s
P P P
ES"M= -"<;$E>.(.9@AB1:Y -E ;3M($<="S 3,"E= S3 0-E03=ES?
Kh, (o'5t la1,ers 1rite -ore ofte' these persuasi%e t,pes of co-plai'ts -ore ofte'C
99Bu(*es (o'5t 1a't to (eal 1ith it
99,ou -a, 'ot 1a't to appear u'usual;this is a co'for-ist professio'
99,ou are -a0i'* a choiceAthe -ore co-plicate( the la'*ua*e -i*ht -a0e the
6u(*e thi'0 ,ou (o'5t ha%e *oo( factual /asis
&r!der Pli$% Argument' reg!rding Li(er!l )ti$e Ple!ding
99 Do1'si(e of ha%i'* such a lo1 /are -i'i-u-$
99,ou5ll ha%e -ore clai-s that ha%e to *o throu*h process, /ecause -ore people
i'cli'e( to /ri'* ,our clai-
99-ore people 1ill /ri'* clai-s 1ho (o'5t ha%e full i'for-atio' /ecause the,
0'o1 the, ha%e a /etter cha'ce to fi'( out -ore i' (isco%er,
99Kh, (oes reIuiri'* -ore to /e 1ritte' out -a0e the s,ste- floo(e( 1ith less clai-sC
99if ,ou push to ha%e to 1rite -ore, people 1ill thi'0 t1ice
Ru#e G: P#eadin& Specia# 7atters
3/4$ if ,ou plea( frau(, usuall, 'ee( ti-e, place, co'te2t+ *oal here is to e'sure that D5s
0'o1 actual frau( /ei'* co'te'(e(.
Ru#e 00: Si&nin& o P#eadin&s1 7otions1 and Ot6er PapersC Representations to
CourtC Sanctions
3/4 Represe'tatio's to the Court
<, prese'ti'* a',thi'* i' 1riti'* to the court, the attor'e, is certif,i'* to /est of his
0'o1le(*e$
""
314 it is 'ot /ei'* prese'te( for a', i-proper purpose, such as to harass or cause
u''ecessar, (ela, or i'crease i' cost of liti*atio'
3"4 the clai-s (efe'ses a'( other le*al co'te'tio's are 1arra'te( /, e2isti'* la1
or /, 'o'9fri%olous ar*u-e't for e2te'sio' or -o(ificatio' of e2isti'* la1, or for
re%ersal of e2isti'* la1
3F4 alle*atio's a'( other factual co'te'tio's ha%e e%i(e'tiar, support, or are
li0el, to ha%e e%i(e'tiar, support after a reaso'a/le opportu'it, for further
i'%esti*atio'
3H4 the (e'ials of factual co'te'tio's are 1arra'te( o' e%i(e'ce, or are reaso'a/l,
/ase( o' a lac0 of i'for-atio' or /elief
3c4 &a'ctio's.
99if after 'otice a'( a reaso'a/le opportu'it, to respo'(, the court (eter-i'es that
su/(i%isio' 3/4 has /ee' %iolate(
99the court -a, i-pose sa'ctio's upo' attor'e,s, la1 fir-s, or parties that
ha%e %iolate( 3/4 or are respoi'si/le for %iolatio'
314 .o1 I'itiate(
3A4 <, )otio' -a(e separatel, fro- other -otio's+ shall (escri/e
specific co'(uct that %iolates 3/4+
99Sae2Har'or Pro"ision$ shall 'ot /e file( 1ith or prese'te( to
the court u'less, 1ithi' "1 (a,s after ser%ice of the -otio', the
challe'*e( paper, clai-, (efe'se, co'te'tio', alle*atio', or (e'ial
is 'ot 1ith(ra1' a'( appropriatel, correcte(
99if 1arra'te(;the court -a, a1ar( part, pre%aili'* o' -otio'
reaso'a/le e2pe'ses a'( attor'e,5s fees i'curre( i' prese'ti'* or
opposi'* the -otio'
99la1 fir-s are hel( 6oi'tl, respo'si/le for %iolatio's co--itte( /,
its e-plo,ees
3<4 O' Court5s I'itiati%eAcourt -a, e'ter a' or(er (escri/i'* specific
co'(uct that appears to %iolate 3/4+ the' the attor'e, ahs to sho1 cause for
1h, it has'5t %iolate( 3/4
3"4 Nature of &a'ctio'+ Li-itiatio's$ A &a'ctio' i-pose( for %iolatio' of this
rule shall /e #i%ited to 96at is suicient to deter repetition o t6e suc6
conduct or co%para'#e conduct '- ot6ers si%i#ar#- situated
99the sa'ctio' -a, i'clu(e
99(irecti%es of a 'o'-o'etar, 'ature,
99a' or(er to pa, a pe'alt, i'to court
99a' or(er (irecti'* pa,-e't to the -o%a't of so-e or all of the
reaso'a/le attor'e,s5 fees a'( other e2pe'ses i'curre( as a (irect
result of the %iolatio'
"F
2. Amending Ple!ding'" Rule' *. St!nd!rd'
Rule 15$
15a A-e'(-e'ts
Beore respo'si%e plea(i'* or, if 'o respo'si%e plea(i'* is per-itte(, 1ithi' "G
(a,s$
A-e'( o'ce as a -atter of course.
Ater 3or other1ise4$
1. <, lea%e of court or /, 1ritte' co'se't of the a(%erse part,.
". 8Lea%e shall /e freel, *i%e' 1he' 6ustice so reIuires.J
15/ A-e'(-e'ts to Co'for- to the E%i(e'ce
Khe' issues 'ot raise( /, plea(i'*s trie( /, e2press or i-plie( co'se't of the
parties, treate( i' all respects as if the, ha( /ee' raise( i' plea(i'*s.
Court ca' *ra't a co'ti'ua'ce to o/6ecti'* part,.
15c Relatio' <ac0 of A-e'(-e'ts
1. &tatutor,. La1 that pro%i(es for statute of li-itatio's allo1s.
". A-e'(e( clai- or (efe'se$
a. If a-e'(e( plea(i'* arose out of the 8conduct1 transaction1 or
occurrence set ort6H in t6e ori&ina# p#eadin&.J
F. A-e'(e( part,$
a. Arose out of the 8co'(uct, tra'sactio', or occurre'ce set forth; i' the
ori*i'al plea(i'*.J
/. Kithi' perio( pro%i(e( /, H3-4 31"G (a,s after the fili'* of the
co-plai't4.
c. Part, 8has recei%e( 'otice such that 81ill 'ot /e pre6u(ice( i' -ai'tai'i'*
a (efe'se o' the -erits.J
(. 8E'e1 or shoul( ha%e 0'o1' that, /ut for the -ista0e co'cer'i'* the
i(e'tit, of the proper part,, the actio' 1oul( ha%e /ee' /rou*ht a*ai'st
the part,.J
15( &upple-e'tal Plea(i'*s
Reaso'a/le 'otice
&uch ter-s as are 6ust
&er%e a supple-e'tal plea(i'*
Occurre'ces or e%e'ts 1hich ha%e happe'e( si'ce the (ate of the plea(i'*
Ori*i'al plea(i'* -a, /e (efecti%e
A%end%ents
15/ @ou ca' a-e'( a co-plai't e%e' after trial i' or(er to co'for- e%i(e'ce to
the plea(i'*s. Pro/a/l, o'l, (o it o' appeal.
o There ca' /e e2press co'se't to such a-e'(-e't, or,
o Co'se't ca' /e i-plie( throu*h actio'sNi'actio's.
"H
o If a(%ersar, appears to /e -a0i'* a 'e1 (efe'se, co'u'(ru-.
O/6ect, a'( ris0 a-e'(-e't 3/etter (efe'se4.
Do'5t o/6ect, a'( i-plie( co'se't.
15a 81he' 6ustice so reIuires.J
o Issues ,ou -a, raise 3"""4
Oppo'e't u'reaso'a/l, (ela,e( raisi'* the issue
@ou ha%e /ee' pre6u(ice(
Issue raise( i' /a( faith
Ne1 issue is 8futileJ i' the se'se that part, pressi'* ca''ot 1i'.
15( &upple-e'tal plea(i'*.
o Use( if so-ethi'* 'e1 has happe'e(.
o Ti-e perio( (isti'ctio'.
o E2. I' &hula's0i, a',thi'* ha%i'* to (o 1ith cru-/li'* house is a'
a-e'(-e't. If house collapses, that5s a supple-e'tal plea(i'*.
o Court allo1s for supple-e't 8Upo' reaso'a/le 'otice ; a'( such ter-s
are 6ust.J
15c Relatio' <ac0
o Reaso's for statute of li-itatio's
&e'se of repose
A-ass e%i(e'ce 1hile still fresh
Preser%e court resources 3cases 1here (ifficult to fi'( out 1hat
happe'e(.4
o Tolli'* a*ree-e't
Parties a*ree to stop ru''i'* the statute of li-itatio's.
Singlet!r% *. Penn'%l*!ni! #ep!rtment f Crre$tin'
#acts$ Doroth, &i'*letar,5s so', E(1ar(, 1as a priso'er 1ho co--itte( suici(e.
Prior to suici(e, Ro/ert Re*a', a ps,cholo*ical ser%ices staff -e-/er, -et 1ith
a'( e%aluate( &i'*letar, o' a 1ee0l, /asis.
Proce(ural posture$ Appeal fro- *ra't of su--ar, 6u(*-e't. &i'*letar, has 'o
case a*ai'st the (efe'(a'ts 'a-e( i' the i'itial co-plai't. Ori*i'all, lists
8U'0'o1' Correctio's Officers.J .opi'* to a-e'( to a(( Ro/ert Re*a', a*ai'st
1ho-, presu-a/l,, she -i*ht ha%e a case.
Relatio' <ac0
Notice$ 15cF (oes 'ot reIuire actual ser%ice of process, 'otice -a, /e (ee-e( to
ha%e occurre( 1he' a part, 1ho has so-e reaso' to e2pect his pote'tial
i'%ol%e-e't as a (efe'(a't hears of the co--e'ce-e't of liti*atio' throu*h
so-e i'for-al -ea's.
o 8&hare( attor'e,.J Attor'e, is li0el, to ha%e co--u'icate( to part, that
he -a, %er, 1ell /e 6oi'e( i' the actio'.
Court e'(orses this -etho(.
.ere, Neuhauser 3the rele%a't attor'e,4 (i( 'ot /eco-e the
attor'e, for the (efe'(a't u'til after the rele%a't 1"G (a, perio(.
"5
o 8I(e'tit, of i'terest.J Parties are so closel, relate( i' their /usi'ess
operatio's or other acti%ities that the i'stitutio' of a' actio' a*ai'st o'e
ser%es to pro%i(e 'otice of the liti*atio'.
&upre-e court appears to a(opt, a'( this court (oes as 1ell.
.ere, Re*a', a staff le%el e-plo,ee, (i( 'ot share a sufficie't
i(e'tit,.
o NOT &U##ICIENT NOTICE.
)ista0e co'cer'i'* the I(e'tit, of the proper part,.
o It5s 'ot a -ista0e to list 8Boh' Doe,J it5s 6ust i-precise.
o The Court see-s to thi'0 the rule shoul( /e cha'*e(.
o Differe't 6uris(ictio's treat this rule (iffere'tl,.
C+ri'tp+er *. #uff% 3"F"4
#acts$ Christopher fa-il, li%es i' /uil(i'* 1ith lea( pai't. Ba'ette Christopher
(ia*'ose( 1ith lea( poiso'i'*. .ire Duff, to 8(e9lea(.J .e (oes so 'e*li*e'tl,.
Ba'ette (ies.
Ori*i'al co-plai't$ Defe'(a'ts Ba-es a'( <etti'a P,'e, o1'ers of apart-e't,
Alfo'se Trulli, for-er o1'er, a'( Boh' Doe 3replace( /, Boh' Duff,4.
&ettle( out of court e2cept for Duff,.
)other -o%es to a-e'( /, (roppi'* all ori*i'al plai'tiffs e2cept Duff, 3if ,ou
(is-iss last (efe'(a't, 'othi'* to relate /ac0 to4 a'( replace 1ith fi%e co-pa'ies
1hich -a'ufacture lea( for use i' lea( pai't, tra(e associatio'.
Alle*e 0'o1' or shoul( ha%e 0'o1' of (a'*erous Iualities of pro(ucts,
'e*li*e'tl, pro(uce( a'( -ar0ete( the-.
&tatute of li-itatio's has e2pire(.
Usuall, 8shoul( /e allo1e( 1ith relatio' /ac0, u'less there is *oo( reaso' to
(e', it.
Court (oes 'ot allo1 relatio' /ac0 /ecause$
o Dela, -a, co'tri/ute to pre6u(ice
E2te'si%e (isco%er, a'( (ocu-e'tatio' 7 ,ears after.
Duff,5s o/ser%atio's i-porta't, /ut (ea(.
.ere, )A la1, -ore of a sta'(ar( 3for )A la1, see "F54.
Ru#es ". Standards
Rule$ &trict, o/6ecti%e, /i'(i'*, pre(icta/le, specific, less (iscretio', 6u(icial
restrai't
&ta'(ar(s$ <ac0*rou'(, a(apta/le, e%ol%e, 6u(icial respo'si/ilit,
3. Re'pnding t t+e Cmpl!int" An',er'- .tin'- !nd Affirm!ti*e #efen'e'
Ru#e B
"7
Ru#e D
Ru#e G
Ru#e 0<
Ru#e 0@
Ru#e ** Deau#t
If ,ou (o'5t a's1er a co-plai't, ,ou are i' (efault a'( 6u(*-e't -a, /e e'tere( /, the
Cler0 or Court. #or *oo( cause, (efault -a, /e set asi(e /, the court. Applie( 1hether
part, is plai'tiff, cou'terclai-a't, or cross9clai-a't.
Ans9ers1 7otions1 and Air%ati"e Deenses
(reliminar# Motions
)otio' for a -ore (efi'ite state-e't 31"e4
o Co-plai't so %a*ue or a-/i*uous ca''ot for-ulate a respo'se
o )ust /e -a(e /efore respo'si%e plea(i'*.
)otio' to stri0e 31"f4
o I'sufficie't (efe'se, or
o Re(u'(a't, i--aterial, i-perti'e't, or sca'(alous -atter
Motions to Dismiss 31"/4
Ca' /e raise( as part of a's1er or /, preli-i'ar, -otio'
Kh, 1oul( 1e i'clu(e 1"/ -otio's i' the a's1erC
o >et the facts /efore the case soo'er.
o Plai'tiff ca'5t a-e'( o'ce as a -atter of course o'ce respo'si%e plea(i'*
has /ee' file(.
)i*ht 1ish 'ot to (ra1 atte'tio' to pote'tial 1ea0'ess i' plai'tiff5s case so earl,.
Khat are the 1"/sC
314 Lac0 of 6uris(ictio' o%er the su/6ect -atter
3"4 Lac0 of 6uris(ictio' o%er the perso'
3F4 I-proper %e'ue
3H4 I'sufficie'c, of process
354 I'sufficie'c, of ser%ice of process
374 failure to state a clai- 3(iscusse( a/o%e4
3!4 failure to 6oi' a part, u'(er Rule 1
)otio's su/6ect to 1ai%er 31"h4$
314 Lac0 of 6uris(ictio' o%er the perso'
3"4 I-proper %e'ue.
3F4 I'sufficie'c, of process
3H4 I'sufficie'c, of ser%ice of process
"!
#or other 1"/ -otio's, it is ri(iculous to procee( if there is 'o clai-, su/6ect
-atter, or parties 36oi'(er u'(er Rule 14. ONE& @OU CAN NEVER KAIVE
ARE &U<BECT )ATTER 1"3<4314, #AILURE TO &TATE A CLAI) 1"3<4374
AND 1"3<43!4
nswer
I'clu(e$
o A(-issio's a'( (e'ials 3O/4
o 1"/ (efe'ses 3'ot raise( as preli-i'ar, -otio's4.
o Affir-ati%e (efe'ses 3Oc4
o Cou'terclai-s a'( cross9clai-s 31F4
o I-plea(er 31H4
o )otio' to co'soli(ate 3H"a4
o I'ter%e'tio' 3C Rule "H4
o )is6oi'(er 3"14
o Clai- a 6ur, trial.
Re-e-/er ,our au(ie'ce$ Bu(*e, opposi'* cou'sel, press, ,our clie't.
#ile a's1er 1ithi' "G (a,s of co-plai't, or -o%e for e'lar*e-e't 37/4
dmission and Denials
A(-it or (e', each a%er-e't.
EUCEPT 1he' 8a part, is 1ithout 0'o1le(*e or i'ofr-ati'o sufficie't to for- a
/elief as to the truth of a' a%er-e't.J
A', a%er-e't 'ot (e'ie( is ta0e' as a(-itte( 3O(4
&u/6ect to sa'ctio's.
Do'5t ha%e to a(-it or (e', (a-a*es.
Narro1s the issues.
No /la'0et (e'ials. If there is a lo'* portio' 1here -ost of it is 1ro'*, /ut so-e
of it is true, ,ou still ha%e to a(-it the aspects that are true.
/udgment on the (leadings 31"c4
I'freIue'tl, use(.
O'l, 1here clear plai'tiff or (efe'(a't 1ill 1i'.
E2. Alle*atio's sho1 statute of li-itatio's has e2pire(, a'( a's1er that raises
statute of li-itatio's as a' affir-ati%e (efe'se
Cntrlled /n*irnment S%'tem' *. Sun Pr$e'' C.- 0n$. 3"154
Defe'(a't clai-s 8lac0s sufficie't perso'al 0'o1le(*e of the re-ai'i'*
alle*atio's a'( therefore,
Neither a(-its 'or (e'ies alle*atio's /ut (e-a'(s strict proof thereof.
.ol(i'*$ possi/le to lac0 %nowledge /ut still ha%e e'ou*h i'fo to for- a belief.
Air%ati"e Deenses
"O
A (efe'se that allo1s the (efe'(a't to 1i' e%e' if the plai'tiff pro%es their cause
of actio'.
Rule Oc lists affir-ati%e (efe'ses, /ut 'ot li-ite( to this list.
<ur(e' of proof for affir-ati%e (efe'ses lies o' the (efe'(a't.
1me2 *. 3led 3"1O4
#acts$ Carlos Ri%era >o-e: (ischar*e( fro- Puerto Rico Police Depart-e't5s
<ureau of Cri-i'al I'%esti*atio'. .e 1as a 1histle/lo1er. &uperi'te'(e't of the
Police (ischar*es hi- 1ithout a heari'*. Ulti-atel, rei'state( 1ith /ac0 pa,.
.ere, >o-e: /ri'*s actio' u'(er H" U.&.C. 1OF for (a-a*es sa,i'* proce(ural
(ue process %iolate(, causi'* a'2iet,, e-/arrass-e't, a'( i'6ur, to reputatio'.
Issue$ Khether the (efe'(a't 1hose positio' -i*ht e'title to Iualifie( i--u'it,
-ust plea( *oo( faith as a' affir-ati%e (efe'se, or if plai'tiff -ust alle*e /a(
faith.
Defe'(a't -ust plea( *oo( faith as a' affir-ati%e (efe'se.
o #acts peculiarl, 1ithi' 0'o1le(*e a'( co'trol of (efe'(a't.
Reh'Iuist co'curre'ce lea%es ope' /ur(e' of persuasio' as oppose( to /ur(e' of
plea(i'*.
4. .!int!ining t+e 0ntegrit% f t+e Litig!tin Pr$e''" Rule 11 S!n$tin'
Ru#e 00
11a &i*' plea(i'*s, 1ritte' -otio's a'( other papers.
11/ Certif, that 8to the /est of the perso'5s 0'o1le(*e, i'for-atio', a'( /elief, or%ed
ater an in?uir- reasona'#e under t6e circu%stances.
1. 'ot i-proper purposes$ harass, cause u''ecessar, (ela, or cost.
". e2isti'* la1 or 'o'9fri%olous ar*u-e't for e2te'sio' or re%ersal.
F. e%i(e'tiar, support or are li0el, to after reaso'a/le (isco%er,.
H. (e'ials of factual co'te'tio's are 1arra'te(.
11c Court 7A/ i-pose sa'ctio's.
11c1 <, -otio'. 8&afe har/or pro%isio'.J
&afe har/or$ Kithi' "1 (a,s after ser%ice of the -otio', the challe'*e( paper,
cali-, etc. is 'ot 1ith(ra1' or correcte(.
La1 fir- hel( 6oi'tl, lia/le a/se't e2ceptio'al circu-sta'ces
11c" Nature of sa'ctio's. Li-its -o'etar, (a-a*es.
11( I'applica/ilit, to Disco%er,.
E"o#ution o t6e Te(t o Ru#e 00
1FO91OF$ Ver, li/eral, fe1 sa'ctio's.
"
1OF a-e'(-e't
&i*'ature certifie($ 81ell *rou'(e( i' fact.J
Court 8shallJ i-pose sa'ctio's.
Appropriate sa'ctio's -a, i'clu(e e2pe'ses a'( attor'e,5s fees.
1F a-e'(-e't
8&afe har/or pro%isio'.J
Li-itatio's o' -o'etar, sa'ctio's. #ee shifti'*.
I'spire( /, i-pute( i'crease of sa'ctio's o' ci%il ri*hts attor'e,s a'( a/use of
the s,ste-.
Sanctions
Attor'e,s si*' plea(i'*s a'( -otio's.
Does 'ot appl, to (isco%er,.
Certif,i'* to the /est of the perso'5s 0'o1le(*e, i'for-atio' a'( /elief, for-e(
after a' i'Iuir, reaso'a/le u'(er the circu-sta'ces$
o No i-proper purpose. 3harass, cause u''ecessar, (ela,, 'ee(less i'crease
i' cost4.
o E2isti'* la1 or 'o'fri%olous e2te'sio' of e2isti'* la1 3other1ise coul('5t
reaso' /, a'alo*,4.
o There is e%i(e'tiar, support for factual alle*atio's.
&a'ctio's are NOT -a'(ator,. &a,s o'l, the court )A@ sa'ctio'.
The court ca' also sa'ctio' o' its o1' i'itiati%e.
#ee shifti'* is (iscoura*e( i' -o(er' sa'ctio's re*i-e.
Attac6%ent B to 3etter to Hon. Ro'ert .eeton ro% Hon. Sa% Pointer
1ea%ening rule? 8&afe har/orJ pro%isio' a'( affect t,pe of sa'ctio'.
mendment premature? Co--ittee (oes'5t thi'0 so.
pplication to discover# documents. Does 'ot appl, to (isco%er, (ocu-e'ts.
;ontinuing dut# to withdraw unsupportable contentions. Eli-i'ates 8si*'er
s'apshot,J 1here o'l, ha%e (ut, 1ith respect to papers at ti-e file(.
Dut# to conduct pre-filing investigation. Plea(i'* o' i'for-atio' a'( /elief -ust
/e prece(e( /, i'Iuir, reaso'a/le u'(er the circu-sta'ces.
(leading Cas a whole.D No, 8stop a'( thi'0J reIuire-e't applies to each
plea(i'*.
Mandator# Sanctions. Ori*i'all, ha( 8shall,J /ut su/seIue'tl, cha'*e( to 8-a,J
(a#ment of monetar# sanctions to adversar#. Pre%iousl,, cost shifti'* pro%i(e(
i'ce'ti%e to fili'* of sa'ctio's. No1, cost shifti'* is (iscoura*e(.
(rotection of represented parties. )o'etar, sa'ctio's li-ite( to 1here part, 1as
respo'si/le for papers file( to harass or for other i-proper purposes.
Sanctions against law firms. Co'siste't u'(er *e'eral pri'ciples of a*e'c, to
hol( 6oi'tl, respo'si/le .
FG
;ourt-initiated sanctions after case dismissed. 8&afe har/orJ (oes'5t appl, to
court i'itiate( sa'ctio's.
Standards for appellate review. Di('5t thi'0 appropriate to cha'*e sta'(ar(s for
appellate re%ie1.
Pro&ress Federa# Sa"in&s Ban$ ". Nationa# West 3enders Association1 Inc. 3"714
#acts$ Pro*ress files clai-s a*ai'st NatKest for frau(, -isreprese'tatio',
i'te'tio'al i'terfere'ce 1ith co'tractual relatio's, a'( ci%il co'spirac,. Cour
(is-isses frau( a'( -isreprese'tatio' for failure to state a clai-, fi%e -o'ths
later *ra'ts su--ar, 6u(*-e't o' the re-ai'i'* cou'ts. Three -o'ths later,
NatKest files Rule 11 -otio' for sa'ctio's. NatKest *a%e Pro*ress i'for-al
'otice its actio's sa'ctio'a/le. Di( 'ot actuall, ser%e 'otice 1ith a -otio' for
sa'ctio' u'til all clai-s (is-isse(.
Issue$ Ca' the 8safe har/orJ pro%isio' /e satisfie( 1he' for-al ser%ice is -a(e
after clai-s are (is-isse(C
I'for-al 'otice is 'ot *oo( e'ou*h.
Pro*ress ca''ot /e estoppe( fro- raisi'* 8safe har/orJ pro%isio' /ecause it as0e(
NatKest to 1ithhol( fili'* Rule 11 -otio' u'til after su--ar, 6u(*-e't.
&peculatio' a/out 1hether Pro*ress 1oul( ha%e 1ith(ra1' its papers ha(
NatKest file( the -otio' is i-proper.
Bust /ecause court rule( o' -otio' for su--ar, 6u(*-e't 1ithi' 1 (a,s of
Pro*ress5s /rief i' oppositio', it 1as 'ot i-possi/le for NatKest to /ri'* -otio'
soo'er, si'ce the, (i('5t ha%e to 1ait.
o Parties are e'coura*e( to file sa'ctio's i' a ti-el, fashio'.
5. Adding P!rtie' !nd C!u'e' f A$tin t t+e L!,'uit" Simple Jinder-
Cunter$l!im'- Cr''-Cl!im'- !nd 3+ird-P!rt% Pr!$ti$e (0mple!der)
Rule 13 Counterclaims and Cross-Claims
a. Compulsory Counterclaims: arises out of the same transaction or
occurrence
b. Permissive Counterclaims: not arising out of same transaction or
occurrence
c. Counterclaim exceeding opposing claim: May exceed opposing claim
d. Counterclaim against .!.
e. Counterclaim Maturing or "c#uired "fter Pleading: may $ith
permission of court be presented as counterclaim by supplemental
pleading.
f. %mitted Counterclaim: &hen 'ustice so re#uires( may amend to
include
g. Cross-Claim "gainst Co-Party: Must arise out of same transaction
or occurrence that is sub'ect of original action or counterclaim or
relating to property that is sub'ect matter of original action.
)more than all or part of claim asserted*+
h. ,oinder of "dditional Parties: -ou can 'oin people under 1. and
/0.
i. !eparate 1rials2 !eparate ,udgments
Rule 13)a+ and )b+: 1hird Party Practice
a. &hen defendant may bring in third party.
4 "ny time after commencement of the action
F1
4 5ring in third-party defendant liable to third-party plaintiff for
all or part of claim against third-party plaintiff.
4 6ater than 10 days after serving original ans$er( must obtain
leave.
4 1hird-party defendant may:
o bring rule 1/ against third-party plaintiff.
o 5ring rule 13 counterclaims and cross claims against third-party
plaintiff7other third-party defendants.
o "ssert defenses to plaintiff8s claim.
o "ssert any claim against plaintiff arising out of same transaction
or occurrence )i.e. not permissive counterclaims*+
4 Plaintiff may assert claims against third-party defendant arising
out of same transaction or occurrence.
o 1hird-party defendant again has rule 1/ and 13.
4 "ny party may move to stri9e third-party claim or move for
severance7separate trial.
4 1hird-party defendant may implead others.
b. &hen plaintiff may bring in 1hird-Party: &hen counterclaim is
asserted against plaintiff under the same rules as for defendant.
Rule 1: ,oinder of Claims and Remedies
a. May 'oin as many claims as the party has against an opposing
party.
b. &hen claim is cogni;able only after another claim prosecuted( the
t$o claims may be 'oined.
Rule /0 Permissive ,oinder of Parties
4 Plaintiffs7defendants 'oined if <right to relief= arising out of
the same transaction( occurrence or series of transaction or
occurrences ">?
o @uestions of la$ or facts common to all plaintiffs7defendants
arising=
Rule /1
4 Mis'oinder not grounds for dismissal.
4 Court can add and drop parties on its o$n initiative.
Rule 3/
a. Consolidation: An actions involving common #uestion of la$ or
fact( court may order 'oint hearing or trial( consolidation( any
orders avoiding costs or delay.
b. !eparate 1rials: Court can order separate trials for all claims(
counterclaims( cross claims( third-party claim.
Ru#e 0A
Ru#e 0:+a, and +',
Ru#e 0D
Ru#e @< Per%issi"e 4oinder o Parties
Plai'tiffsN(efe'(a'ts 6oi'e( if 8ri*ht to relief; arisi'* out of the sa-e
tra'sactio', occurre'ce or series of tra'sactio' or occurre'ces AND
o 8uestions o #a9 or acts co%%on to all plai'tiffsN(efe'(a'ts arisi'*;
Ru#e @0
F"
)is6oi'(er 'ot *rou'(s for (is-issal.
Court ca' a(( a'( (rop parties o' its o1' i'itiati%e.
Ru#e :@
Si%p#e 4oinder
Plai'tiff ca' 6oi' as -a', clai-s a*ai'st (efe'(a't as she 1a'ts. Rule 1O.
Clai-s ca' /e u'relate(.
Bu(*es ca' separate clai-s. Rule H"/.
-es 7udica ofte' /ars /ri'*i'* a separate clai- if clai- arises out of sa-e
tra'sactio'. 38&pliti'* ,our clai-.J4
Per-issi%e 6oi'(er of parties. Rule "G.
o 8Arisi'* out of the sa-e tra'sactio', occurre'ce, or sries of tra'sactio's or
occurre'ces;J
o 8;a'( if a', Iuestio' o fla1 or fact co--o' to all (efe'(a'ts 1ill arise i'
the actio'.J
)is6oi'(er of parties is 'ot *rou'( for (is-issal. Rule "1.
Court ca' (rop or a(( part, of its o1' (iscretio'. Rule "1.
6edr! *. Cit% f P+il!delp+i! 3"!G4
#acts$
o Plai'tiffs$ Dolores Ee(ra+ her chil(re', Eli:a/eth, Patricia, Teresa, Ee''eth,
Boseph, )ichael, Ro/ert, a'( Ba-es+ a'( Eli:a/eth5s hus/a'(, Richar(
Ro:a's0i.
o Defe'(a'ts$ Cit, of Phila(elphia+ Police Co--issio'er Boseph B. O5Neill5
officials of the Police Depart-e't5s .o-ici(e Di%isio'.
o &eries of e%e'ts /e*i''i'* Dece-/er "", 1!5 catalo*ui'* police a/use.
o Not all the plai'tiffs a'( 'ot all the (efe'(a'ts 1ere i'%ol%e( i' each e%e't.
8The Vtransaction or occurrence> la'*ua*e of Rule "G has /ee' i'terprete( to
Vper%it a## reasona'#- re#ated c#ai%s or re#ie /, or a*ai'st (iffere't parties to
/e trie( i' a si'*le procee(i'*. A/solute i(e'tit, of all e%e'ts is u''ecessar,.J
o <ecause$ 8i-pulse is to1ar( e'tertai'i'* the /roa(est possi/le scope of
actio' co'siste't 1ith fair'ess to the parties; the reaso' for the li/eralit,
is that u'ificatio' of clai-s i' a si'*le actio' is -ore co'%e'ie't a'( less
e2pe'si%e a'( ti-e co'su-i'* for the parties a'( the court.J
E%e'ts 1ere 8reasona'#- re#ated,J a'( (efe'(a'ts e'*a*e( i' 8a s-ste%atic
pattern of harass-e't.J
There is a pote'tial for pre6u(ice, /ut courts ca' re-e(, throu*h Rule "G/.
Deci(e after (isco%er, is co-plete(.
Defe'(a'ts a(-itte( co--o' issues of la1 a'( fact.
Counterc#ai%s and Cross2C#ai%s
FF
Co-pulsor, cou'terclai-$ 8if it arises out of the tra'sactio' or occurre'ce that is
su/6ect -atter of the opposi'* part,5s clai-J a'( (oes'5t reIuire thir( parties.
o Note e2ceptio's.
Per-issi%e Cou'terclai-$ e%er,thi'* else.
o )a, e2cee( opposi'* clai-.
Cross clai-$ A*ai'st co9part,.
o 8&a-e tra'sactio' or occurre'ce.J
o 8All or part of a clai- asserte(.J
Boi'(er$ @ou ca' 6oi' other parties i' cou'terclai-s a'( cross9clai-s.
&!n7ue 0nd'ue2 *. 3rifiner% 3"!!4
)ai' issue$ Co-pulsor,NPer-issi%e cou'terclai-s.
#acts$ )otio' for partial su--ar, 6u(*-e't. Pro-issor, 'ote e2ecute( /,
Trifi'er, a'( *uara'tee( /, <rass. Defe'(a'ts a(-it lia/le, /ut sa,
cou'terclai-. ?uestio' is 1hether cou'terclai- is %ali( a'( 1oul( (e',
su--ar, 6u(*-e't. Pro-issor, 'ote i'clu(es pro%isio' 1ai%i'* ri*ht to
cou'terclai-.
Defe'(a'ts$ Cou'terclai- is co-pulsor,, a'( so ca'5t 1ai%e the ri*ht.
Not fair to e'force co'tract 1ai%i'* ri*ht to cou'terclai- if co-pulsor, <UT.
Test$
14 Are issues of fact a'( la1 raise( /, clai- a'( cou'terclai- lar*el, the sa-e.
"4 Koul( res 7udicata /ar a su/seIue't suit o' (efe'(a'ts5 clai- a/se't co-pulsor,
cou'terclai-
F4 Kill su/sta'tiall, the sa-e e%i(e'ce support or refute the plai'tiff5s clai- as 1ell
as (efe'(a'ts5 cou'terclai-s
H4 Is there a', lo*ical relatio'ship /et1ee' the clai- a'( the cou'terclai-.
Court$ Issues raise( are 'ot sufficie'tl, i'terrelate( to -a0e co-pulsor,.
T6ird2Part- Practice
I-plea( a perso' 'ot alrea(, a part,. Rule 1H.
<ndemnification$ The actio' of co-pe'sati'* for loss or (a-a*e sustai'e(.
<asicall, i'sura'ce.
Subrogation$ The su/stitutio' of o'e part, for a'other 1hose (e/t the part, pa,s,
e'titli'* the pa,i'* part, to ri*hts, re-e(ies, or securities that 1oul( other1ise
/elo'* to the (e/tor. I'sura'ce co-pa'ies *et ri*hts of the part,.
Derivative liabilit#$ O'l, 1a, lia/le is if ori*i'al (efe'(a't is lia/le.
1r'' *. H!n*er 3"O14
#acts$ >ross ha( a (ia-o'(s a'( e-eral(s i' a 6e1elr, store o1'e( /, A'tho',
Ri::o for safe 0eepi'*. Be1els are stole' 1he' Ri::o5s /rother, 1ho has a
FH
cocai'e ha/it, 1as 1atchi'* the store. >ross sues i'sura'ce co-pa',, .a'o%er,
1ho see0s to i-plea( the Ri::os.
Court -ust /ala'ce the /e'efits of settli'* relate( -atters i' o'e suit a*ai'st
pote'tial pre6u(ice to the plai'tiff a'( thir(9part, (efe'(a'ts.
o Does'5t -atter that thir(9part, clai-s are speculati%e.
o Plai'tiff, here, 1o'5t suffer pre6u(ice.
The purpose of Rule 1H 8is to pro-ote 6u(icial efficie'c, /, eli-i'ati'* the
'ecessit, for the (efe'(a't to /ri'* a separate actio' a*ai'st a thir( i'(i%i(ual
1ho -a, /e seco'(aril, or (eri%ati%el, lia/le to he (efe'(a't for al or part of the
plai'tiff5s ori*i'al clai-.J
B. Disco"er-
1. 3+e .e$+!ni$'
Ru#e @) ;enera# Pro"isions &o"ernin& Disco"er-
a. ReIuire( Disclosures
1. I'itial (isclosures 3or to the e2te't other1ise stipulate(4
1. Na-e, a((ress, telepho'e each i'(i%i(ual li0el, to ha%e (isco%era/le i'fo
that disc#osin& part- %a- use to support its c#ai%s or deenses.
". Cop, or (escriptio' /, cate*or, of all (ocu-e't, (ata co-pilatio's,
ta'*i/le thi'*s i' co'trol the disc#osin& part- %a- use to support its
c#ai%s or deenses.
F. Co-putatio' of a', cate*or, of da%a&es a'( (ocu-e'tsNe%i(e'ce
supporti'* ho1 ,ou *ot there.
H. I'sura'ce a*ree-e't, u'(er 1hich ,ou coul( satisf, (a-a*es
5. EUE)PTION&
". E2pert Testi-o',
a. I(e'tit, of e2pert 1it'esses
/. Report co'tai'i'*, co-plete state-e't of opi'io's to /e e2presse( a'( 1h,+
(ata co'si(ere( /, the 1it'ess+ e2hi/its to /e use(+ Iualificatio's, i'clu(i'*
all pu/licatio's 1ithi' prece(i'* 1G ,ears+ co-pe'satio' pai( to 1it'ess+ list
of other cases 1it'ess testifie( as a' e2pert at trial or i' (epositio'.
c. Khe' (isclosures ha%e to /e -a(e 3usuall, /, (irectio' of court4.
F. Pretrial Disclosures
a. Na-e, a((ress a'( telepho'e of each 1it'ess, i(e'tif,i'* 1ho e2pect to
prese't a'( 1ho -a, 'ee( to call.
/. Desi*'atio' of 1it'ess 1hose testi-o', prese'te( /, (epositio'.
c. I(e'tificatio' of each (ocu-e't or e2hi/it, i(e'tif,i'* 1hich offer, a'(
1hich -a, 'ee( to offer.
(. )ust -a0e these (isclosures at least FG (a,s /efore trial 3or as or(ere( /,
court4. The', 1H (a,s to o/6ect. Kai%er of o/6ectio's u'less *oo( cause.
H. Disclosures 1ritte', si*'e( a'( ser%e(.
F5
5. )etho( to (isco%er a((itio'al -atter.
a. Depositio's
/. Kritte' i'terro*atories
c. Pro(uctio' of (ocu-e'ts
(. Ph,sical a'( -e'tal e2a-i'atio's
e. ReIuests for a(-issio'
/. Disco%er, scope a'( li-its. =)O&T I)PORTANTD
1. O/tai' (isco%er, re*ar(i'* an- %atter, 'ot pri%ile*e(, re#e"ant to t6e
c#ai% or deense o an- part-.
i. #or *oo( cause, court or(er (isco%er, of an- %atter re#e"ant to
t6e su'!ect %atter in"o#"ed in t6e action.
". Li-itatio's$ Court ca' /asicall, cha'*e the rules.
F. Trial Preparatio'$ )aterials$ O/tai' other si(e5s trial preparatio' -aterials
on#- upon a s6o9in& t6at t6e part- see$in& disco"er- 6as su'stantia#
need o t6e %ateria#s. Ca'5t o/tai' -e'tal i-pressio', co'clusio's,
opi'io's, or le*al theories of a' attor'e,.
H. Trial Preparatio'$ E2perts.
i. Depose a', e2pert i(e'tifie( /, the other part, after their report
file( as per "7a"<.
ii. I'terro*atories or (epositio', (isco%er facts a'( opi'io's of
1it'ess.
iii. U'less -a'ifest i'6ustice, pa, reaso'a/le fee.
5. Clai-s of pri%ile*e or protectio' of trial prep -aterials$ @ou5%e *ot to sa,
,ou5re (oi'* it.
c. Protecti%e Or(ers$ Court -a, -a0e a', or(er 1hich 6ustice reIuires to protect a
part, or perso' fro- a''o,a'ce, e-/arrass-e't, oppressio', or u'(ue /ur(e' or
e2pe'se.
(. Ti-i'* a'( &eIue'ce of Disco%er,.
e. &upple-e'tatio' of (isclosures a'( respo'ses+ U'(er (ut, to supple-e't or
correct if or(ere( /, court or$
1. i' so-e -aterial respect i'for-atio' (isclose( i'co-plete or i'correct
". if i'terro*ator,, reIuest for pro(uctio', a(-issio', a'( i'co-plete or
i'correct.
. Conerence o Parties
*. &i'*i'* of (isclosures, Disco%er, reIuests, respo'ses, a'( o/6ectio's.
Ru#e @D+', Forei&n Disco"er-
Ru#e @G Stipu#ations Re&ardin& Disco"er- Procedure
Parties, /, 1ritte' stipulatio', ca' 314 allo1 (epositio's ta0e' a',1here, /, a',o'e, at
a', ti-e, 3"4 -o(if, other proce(ures.
Ru#e A<+',+), +Ru#e A< is on depositions,
F7
&u/poe'a as (epo'e't corporatio', part'ership, associatio', or *o%er'-e't a*e'c,.
Or*a'i:atio' the' (esi*'ates people to testif, o' certai' su/6ects
Ru#e A) Re?uest or Ad%ission
a. ReIuest for A(-issio'
Part, -a, ser%e 1ritte' reIuest for a(-issio'
o Ascertai' truth of a', -atter 1ithi' scope of "7/1 3a', -atter, 'ot
pri%ile*e(, rele%a't to clai- or (efe'se of a', part,4
o Ca' as0 for state-e'ts or opi'io's of fact or applicatio' of la1 to fact
i'clu(i'* *e'ui'e'ess of (ocu-e'ts.
Each -atter for a(-issio' -ust /e separatel, set forth
After FG (a,s, ta0e' as a(-itte(.
O/6ectio' ca' /e -a(e, 1ith reaso's set forth.
A's1er specificall, (e', or set forth i' (etail reaso's a's1eri'* part, ca''ot
truthfull, a(-it or (e',.
De'ial -eet the su/sta'ce of a(-issio'.
Khe' *oo( faith reIuires, (e', i' part a'( a(-it i' part.
A's1eri'* part, -a, 'ot *i%e lac0 of i'for-atio' or 0'o1le(*e as a reaso' for
failure to a(-it or (e', u'less state reaso'a/le i'Iuir, perfor-e(.
Part, 1ho -a0es the reIuest -a, -o%e to (eter-i'e sufficie'c, of the a's1ers
or o/6ectio's.
/. effect of a(-issio'
A(-issio' ta0e' as co'clusi%el, esta/lishe(, u'less cout allo1s 1ith(ra1al or
a-e'(-e't.
Court -a, per-it 1ith(ra1al or a-e'(-e't 1he' presentation o t6e %erits o
t6e action 9i## 'e su'ser"ed a'( other part, ai#s to satis- t6e court t6at
9it6dra9a# or a%end%ent 9i## pre!udice i' -ai'tai'i'* the actio' or (efe'se
o' the -erits.
A(-issio's are o'l, *oo( for pe'(i'* actio', 'ot other procee(i'*s.
Ru#e AB Fai#ure to 7a$e Disc#osure or Cooperate in Disco"er-C Sanctions
a. )otio' for Or(er Co-pelli'* Disco%er,$ @ou ca' as0 the court to co-pel
(isco%er,.
1. Appropriate Court$ Khere actio' is pe'(i'*.
". )otio'$ -ust i'clu(e certificatio' that i' *oo( faith co'ferre( or atte-pte( to
co'fer 1ith the part, to secure the (isclosure 1ithout court actio'.
F. E%asi%e or I'co-plete Disclosure, A'ser, or Respo'se$ treate( as a failure to
(isclose, a's1er, or respo'(.
H. E2pe'ses a'( &a'ctio's$ Parties 1ill pa, each other for e2pe'ses (epe'(i'*
o' 1ho 1i's.
/. #ailure to co-p, 1ith Or(er$ Ca' /e fou'( i' co'te-pt.
c. #ailure to Disclose$ #alse or )islea(i'* Disclosure+ Refusal to A(-it$
Ca' /e e2clu(e( fro- usi'* certai' 1it'esses or e%i(e'ce.
(. #ailrue to Atte'( o1' Depositio' or A's1er i'terro*atories or respo'(
to reIuest for i'spectio'.
F!
e. A/ro*ate(
f. Repeale(
*. #ailure to Participate i' the #ra-i'* of a Disco%er, Pla'. @ou ca' /e
reIuire( to pa, e2pe'ses cause( /, the failure.
The )echa'ics a'( &cope of Disco%er,
"73f4 ,ou ha%e to -a0e a (isco%er, pla' a'( ha'( it o%er to the court.
Local rules for opti'* out of reIuire-e'ts.
#irst Rule 17 sche(uli'* co'fere'ce G (a,s after the a's1er.
Khat (o ,ou ha%e to tur' o%erC
o I'itial (isclosures
O'l, ha%e to (isclose so-ethi'* that is *oi'* to /e part of (efe'se,
if ,ou5re the (efe'(a't. A', (ocu-e't ,ou ha%e that 1ill support
,our (efe'ses. Use( to /e a',thi'* relate( to the clai-. Do'5t
ha%e to (isclose so-ethi'* that 1oul( hurt ,our clai-. Nor-all,,
,ou (o'5t *et -uch terri/l, useful throu*h i'itial (isclosures.
o E2pert (isclosures
@ou (o ha%e to (isclose ho1 -uch ,ou5re pa,i'* ,our e2pert
1it'esses.
The -ore the, *et pai(, the -ore ,ou ca' as0 Iuestio's
a/out the 1it'esses cre(i/ilit,.
@ou ha%e to *i%e a list of cases ,our e2pert has 1or0e( o',
testi-o', *i%e'.
If I see ,our e2pert, I ca' call all la1,ers i' the case, *i%e -e the
tra'script of trialN(epositio'. Khere testifie( for other si(e or
co'tra(icte(.
List e%er,thi'* the e2pert has e%er 1ritte'. All (ocu-e'ts
co'si(ere( i' for-i'* opi'io'.
o #i'al (isclosure
o Kit'ess a'( (ocu-e'ts
o E%er,thi'* ,ou e2pect /efore ,ou *o to trial
o Pre9trial (ocu-e't
o E%er,thi'* that is *oi'* to happe' at trial
<UT, re-e-/er, liti*atio' is (o'e /, hu-a' /ei'*s, so it5s 'ot
e'tirel, pre(icta/le.
Rule FF3c4 Co'te'tio' i'terro*ator,. 8Please (escri/e all e%i(e'ce to support
,our ar*u-e't.J As0i'* the other si(e to -a0e out their ar*u-e't for ,ou.
Usuall,, the other si(e (ela,s a'( tries 'ot to a's1er.
E#ectronic Disco"er-
5 perce't of (ocu-e'ts electro'ic
8)eta(ataJ recor(s thi'*s li0e 1he' e-ails se't, 1hether the, 1ere
rea(Nfor1ar(e(, 1hether a (ocu-e't 1as altere(.
FO
Rule FH3a4314 allo1s for (isco%er, of 8(ata co-piliatio's fro- 1hich i'for-atio'
ca' /e o/tai'e(,J a'( per-its parties to 8i'spect a'( cop,, test or sa-ple a',
ta'*i/le thi'*sJ 1ithi' the scope of (isco%er,.
Dor%ee a'( Co''or, Electronic Discover# $itigation
&pecial Characteristics of Electro'ic E%i(e'ce
o &po'ta'eit, of e-ail -a0es for fertile e%i(e'ce
o Electro'ic recor(s -a, sho1 access to a (ocu-e't /, a *i%e' i'(i%i(ual
o Elecro'ic recor(s -a, sho1 the ti-i'* of a' i'(i%i(ual5s access
o Electro'ic recor(s -a, sho1 a (ocu-e't5s e%olutio'
o Electro'ic e%i(e'ce -a, clearl, i'(icate (ocu-e't ta-peri'*
o The (ocu-e't -a, o'l, e2ist i' electro'ic for-.
Respo'(i'* to Disco%er, ReIuests
o A(%ise clie't to preser%e files o'ce la1suit file(. It5s -ore e2pe'si%e to
retrie%e the-.
o )a0e a list of li0el, (isco%er, topics so that clie't ca' start to locate a'(
or*a'i:e.
o #a-iliari:e ,ourself 1ith clie'ts co-puter s,ste-.
Kho Pa,sC
o Tra(itio'all,, each si(e pa,s for their o1' (ocu-e't pro(uctio' (uri'*
(isco%er,.
o .i*h cost of ELECTRONIC (isco%er, allo1s for /lac0-ail.
o -owe Entertainment. <nc. v. "he 1illiam Morris genc#. <nc. court or(ers
parties see0i'* pro(uctio' of e-ails to pa, costs of pro(uctio'. #actors to
co'si(er$
Specificit# of request
$i%elihood of successful search
vailabilit# from other resources
(urpose of retention
-elative benefit
"otal costs
bilit# to control costs
-elative abilit# to pa#
Forei&n Disco"er-
Rule "O3/4$ Depositio's -a, /e ta0e' i' a forei*' cou'tr,$
o Pursua't to treat, or co'%e'tio', or
o Letter of reIuest 3Letter ro*ator,4.
o O' 'otice /efore a', perso' authori:e( to a(-i'ister oaths either /,
forei*' cou'tr,5s la1 or U.&.
o Perso' co--issio'e( /, the court.
Disco%er, is forei*' to a lot of forei*' 6uris(ictio's, particularl, ci%il la1.
F
0loc%ing statutes a'( nondisclosure statutes prohi/it co-plia'ce 1ith U.&.
(isco%er,.
<uhler, "ransnational Discover# in ,ederal ;ourt (roceedings
Practitio'er5s co'cer' shoul( /e (irecte( as -uch to1ar(s co-pl,i'* 1ith la1s
of forei*' states as reIuire-e'ts u'(er U.&. la1.
8.a*ue Disco%er, co'%e'tio'J is 'ot the -a'(ator, or e2clusi%e -ea's f
o/tai'i'* (ocu-e'ts a'( i'for-atio' i' forei*' si*'ator, territor,.
.a*ue Disco%er, Co'%e'tio'$
o U'ifor- proce(ures for letters ro*ator,.
Tra(itio'al Letters Ro*ator,$
o #e(eral courts ha%e i'here't po1er to tra's-it letters of reIuest, or (o so
throu*h the state (epart-e't.
o I' so-e 6uris(ictio's, 'o'91illi'* 1it'esses ca' /e co-pelle(.
o Usuall, -ore restricte( tha' t,pe of e%i(e'ce that ca' /e o/tai'e( u'(er
Rule "O/.
&u/poe'a of U.&. Citi:e's a'( Resi(e'ts A/roa($ @ou ca' (o it.
@ou ca' (o (isco%er, /efore a perso' authori:e( to a(-i'ister oaths, li0e a
co'sular officer, or /efore a perso' appoi'te( /, the court.
)ost practitio'ers 6ust collect e%i(e'ce /, stipulatio', /ut ha%e to e'sure that
'othi'* %iolates the la1 of tar*ete( foru-.
&tephe' C. Reill,, ;reating a Discover# (lan
Lea' the La1
Re%ie1 the #actual I'for-atio' Alrea(, at @our Disposal
I(e'tif, &ources of Disco%era/le I'for-atio'
Co'si(er .o1 <est to O/tai' the I'for-atio' @ou &ee0
Deter-i'e Khether E2pert Testi-o', is Li0el,
Re%ie1 the Case5s Disco%er, Nee(s Perio(icall,
Esta/lish a (isco%er, <u(*et
o List o' F7H of co'si(eratio's
&che(uli'* Disco%er,
o &che(ule /ase( o' ,our clie'ts 'ee(s. If ,ou 1a't to settle Iuic0l,, (epose
opposi'* liti*a't pro-ptl,.
2.#i'$*er% Refrm !nd /t+i$!l Cn'ider!tin'
&ig pt'" li(er!l ple!ding * e8pen'i*e di'$*er%9 tr!n'fer $'t !,!% frm $t' !nd n
indi*idu!l p!rtie' (% t!:ing !,!% m!n% f t+e'e t+ing' !,!% frm t+e $t'
&igge't (;e$tin'"
HG
e8pen'i*e !nd time-$n'uming
Cl!im fi'+ing<%u $!n file !n% $l!im !nd t+en fi'+ !rund fr ! (igger $l!im ,+ile
ding di'$*er%
Ru#e 0) Pretria# ConerencesC Sc6edu#in&C 7ana&e%ent
The Role of Disco%er,
Does it ha%e to /e this 1a,C No, i'Iuisitorial s,ste-sN>er-a',.
Disco%er, rules ha%e a su/sta'ti%e i-pact. The -ore plai'tiff ca' lear', the -ore suits, a'(
the -ore success.
Disco%er, is al-ost al1a,s 'ecessar, to pro%e INTENT.
.elps e'fore la1s that 1oul( other1ise 'ot /e e'force(. Other cou'tries ha%e stro'*er
re*ulator, states 3see Prof. Carri'*to' /elo14.
.o1 (o 1e facilitate 6ust, spee(,, a'( i'e2pe'si%eC
Pro9(isco%er,$
o Re(uces the cha'ce of trial /, a-/ush a'( facilitates (eter-i'atio' upo' the
-erits of the case.
o Pro-otes settle-e't /ecause it e'a/le parties to assess the -erits of their case 1ell
/efore trial.
o Re(uces the (rai' o' the resources of the court /ecause (isco%er, e(ucates the
parties a'( ofte' 'arro1s the scope of issues.
A'ti9(isco%er,$
o Cost a'( a/use
o Rule "7, e'title( to (e-a'( (isco%er, of a', -atter
Rele%a't to the clai- or (efe'se of a', part,
Not u'reaso'a/l, cu-ulati%e or /ur(e'so-e
Not pri%ile*e(
o )aterial (oes'5t ha%e to /e rele%a't or a(-issi/le at trial. Rele%a'c, has a'
e2pa'si%e -ea'i'*.
o La1,ers ca' usuall, e2pa'( the -ea'i'* of 1hat is 'ot u'reaso'a/l, cu-ulati%e,
particularl, 1ith respect to electro'ic recor(s.
E2a-ple of pri%ile*e$ Attor'e, Clie't pri%ile*e.
:ic%man v. "a#lor 3pp. "74
)ai' Poi't$ @ou5re 'ot e'title( to the 81or0 pro(uctJ of a' attor'e,.
Also, 6ust ho1 li/eral is li/eral (isco%er,C
#acts$ Tu* si'0s, fi%e (ie, four sur%i%e. Pu/lic heari'* is hel( 1here four sur%i%ors 1ere
e2a-i'e(. Tu* o1'er5s cou'sel also i'ter%ie1s sur%i%ors a'( 1it'esses.
Plai'tiff as0s i' a' i'terro*ator, for e2act copies of sur%i%ors state-e'ts or for opposi'*
cou'sel to set forth i' e2act (etail 1hat the, sai(.
Issue$ Khether opposi'* cou'sel is e'title( to the 81or0 pro(uctJ of a' attor'e,.
No. I'efficie'c,, u'fair'ess a'( sharp practices 1oul( result.
#iles are -e'tal i-pressio's or -e-ora'(a of attor'e,. Petitio'er coul( *et all this
i'for-atio' fro- i'terro*atories. O'l, thi'* these (ocu-e'ts 1oul( a(( 1oul(
/e attor'e,5s -e-or, of the e%e'ts.
H1
.ic0-a' 3plai'tiff4 ha( access to these 1it'esses, a'( there 1as 'o sho1i'* that there
1as reaso' he coul('5t. Not a /asis to let the other si(e (o the 1or0 for ,ou.
Protect the professio' fro- (e-orali:atio'.
<UT 3as0s >ol(/er*4, if the %alue of the s,ste- is the search for the truth, 1h, 1oul('5t
1e ha%e a tur' o%erC
These are state-e'ts fro- 1it'esses, 'ot clie'ts, so attor'e, clie't pri%ile*es 'o lo'*er
applies.
Eeep la1,ers, 1ho are facilitators, a/o%e the actual issue.
Court sa,s, ho1e%er, 1here rele%a't a'( 'o'9pri%ile*e( fact re-ai' hi((e' i' attor'e,5s
file, (isco%er, -a, /e ha(.
Ee, state-e't$ 8)utual 0'o1le(*e of all the rele%a't fact *athere( /, /oth parties is
esse'tial to proper liti*atio'.J Pp. ".
Ka,'e <ra:il, "he dversar# ;haracter of ;ivil Discover# 3pp. FGH4 =a'ti9(isco%er,D
Purpose of -o(er' ci%il (isco%er,$ 8-utual 0'o1le(*e of all the rele%a't fact *athere(
/, /oth parties;J #ro- :ic%man.
A'ta*o'is- /et1ee' *oal of truth throu*h (isclosure a'( protecti%eNco-petiti%e i'terests
of a(%ersarial s,ste-.
Drafter of rules o' (isco%er,, sai( 8process of *atheri'*, or*a'i:i'*, a'( shari'*
e%i(e'tiar, i'for-atio' shoul( ta0e place i' a' esse'tiall, 'o'a(%ersarial co'te2t.
Tra(itio'al professio'al lo,alties, i'*rai'e( la1,eri'* i'sti'cts, a'( co-petiti%e
eco'o-ic pressures e'sure that NOT 'o'9a(%ersarial. .i*hest lo,alt, to clie't5s /est
i'terest.
Attor'e,5s pri-ar, o/6ecti%es$ 1. To 1i', ". )a0e -o'e,, F. A%oi( /ei'* sue( for
-alpractice, H. A(-iratio' of professio'al co--u'it,, 5. self9estee- i' Iualit, of
perfor-a'ces. No'e of these ar*ue for 'o'9a(%ersarial.
&tephe' La'(s-a', Defense of the dversarial (rocess =he li0es (isco%er,A*oo( to 0'o1 for
a', *e'eral (e/ate o' a(%ersarial s,ste-D
Ra-part a*ai'st *o%er'-e't t,ra'',.
This histor, cautio's 1here si*'ifica't (epartures fro- pre%ious practices are
co'te-plate(.
Results tailore( to liti*a'ts5 'ee(s, rei'forces i'(i%i(ual ri*hts.
E'ha'ces eco'o-ic efficie'c, of a(6u(icatio', re(uci'* i-positio'al costs.
Part- contro# &enerates acceptance o outco%es.=/i* poi't i' fa%or of a(%ersarialD
Bu(icial (etach-e't preser%es appeara'ce of fair'ess.
Cou'teracts /ias of (ecisio' -a0er
Di%isio' of la/or of i'(i%i(ual respo'si/ilities.
Affir-s hu-a' i'(i%i(ualit,. Respect for opi'io' of each part,.
Lore' Eie%e, Discover# -eform
#ile a clai- 1ith o'l, a /are i(ea of 1hat the case 1ill loo0 li0e a'( reIuire oppositio' to
*o throu*h cu-/erso-e a'( e2pe'si%e (isco%er,.
I(eal 1a, to rac0 up /illa/le hours
&olutio', la1,ers i' E'*la'( a'( o' Co'ti'e't i'%esti*ate case /efore it is file(.
H"
O'ce file(, *o strai*ht to trial.
Professor Paul Carri'*to'$ Disco%er, is the A-erica' alter'ati%e to the a(-i'istrati%e state.
Eli:a/eth >. Thor'/ur*, 'iving the C:avesD a $ittle More
>oo( stats o' (isco%er,M =loo0 the- upD
T,pical case has relati%el, little (isco%er,, co'(ucte( at costs proportio'al to liti*atio'.
&-all perce'ta*e of cases 1here there is lar*er %olu-e of (isco%er, acti%it, a'(
(isco%er, (isputes.
#ocus (isco%er, rule cha'*es a'( (isco%er, -a'a*e-e't o' the t,pes of cases li0el, to
ha%e hi*h (isco%er, costs.
C. T6e Decision27a$ers: 4ud&e and 4ur-
1. 3+e Rig+t t Jur% 3ri!l in Ci*il C!'e'
Artic#e 5II=IT6e ri&6t o tria# '- !ur- s6a## 'e preser"ed1 and no act tried '- a !ur-1 s6a##
'e ot6er9ise ree(a%ined in an- Court o t6e United StatesJ
Iat suits at co%%on #a9J on#-Hnot in courts o e?uit-1 and need to %eet K@<
da%a&es
Ru#e AD 4ur- Tria# o Ri&6t
h. Preser%e($ Ri*ht to trial /, 6ur, as (eclare( /, the &e%e'th A-e'(-e't shall /e
preser%e(.
i. De-a'($ A', part, -a, (e-a'( /, 14 ser%i'* other parties a', ti-e after
co--e'ce-e't of actio', 'ot later tha' 1G (a,s after ser%ice of last plea(i'* "4
fili'* (e-a'( as per Rule 5(. )a, /e i'(orse( upo' plea(i'*.
6. &pecificatio' of Issues$ )a, specif, 1hich issues ,ou 1a't trie( /, 6ur,, other1ise all
issues trie( /, 6ur,.
0. #ailure to ser%e a'( file (e-a'( co'stitutes a 1ai%er.
Ru#e AG Tria# '- 4ur- or '- t6e Court E$ind o i%portantF
<, Bur,$ Khe' trial /, 6ur, (e-a'(e( u'(er Rule FO, actio' 1ill /e a 6ur, actio' u'less 14
parties a*ree /, stipulatio' for trial /, 6u(*e or "4 6u(*e (eci(es ri*ht to trial /, 6ur,
(oes'5t e2ist.
<, the Court$ Issues 'ot (e-a'(e( for trial /, 6ur, trie( /, the court. U'(er courts
(iscretio', -a, or(er trial /, 6ur, o' -otio' for a', or all issues e%e' if 'ot properl,
(e-a'(e(.
A(%isor, Bur, a'( Trial /, co'se't. @ou ca' ha%e o'e.
Ru#e :B Se#ection o 4urors
E2a-i'atio' of Burors$ Court -a, per-it attor'e,s to e2a-i'e 6urors, or -a, (o so itself.
Court 1ill per-it parties to supple-e't its e2a-i'atio' as it (ee-s proper.
Pere%ptor- C6a##en&es. Allo1e( u'(er "O U.&.C. 1O!G
E2cuse$ #or *oo( cause.
HF
Ru#e :D Nu%'er o !urors2participation in "erdict
Not fe1er tha' si2 a'( 'ot -ore tha' t1el%e.
All 6urors shall participate i' %er(ict u'less e2cuse(.
U'less stipulate(, %er(ict u'a'i-ous
No %er(ict ta0e' fro- a 6ur, re(uce( i' si:e to fe1er tha' si2.
"O U.&.C. RR 1O71 Polic,
Ri*ht to *ra'( or petit 6uries selecte( at ra'(o- fro- a fair cross sectio' of the
co--u'it,.
All citi:e's ha%e the opportu'it, to /e co'si(ere( for ser%ice, o/li*atio' to ser%e 1he'
su--o'e(.
"O U.&.C. WW1O7" Discri-i'atio' prohi/ite( =>OOD TO )ENTION KIT. RULE H!D
No citi:e' e2clu(e( o' accou't of race, color, reli*io', se2, 'atio'al ori*i', or eco'o-ic
status.
RR 1O7F91O!1
"O U.&.C. 1O!G Challe'*es
Each part, e'title( to three pere-ptor, challe'*es.
#or cause (eter-i'e( /, the court
Ri&6t to 4ur- Tria# in Ci"i# Cases in Federa# Court
Courts ofte' focus o' the 1or( 8preser%e(J i' the se%e'th a-e'(-e't. Loo0 to co--o'
la1 of E'*la'( i' 1!1.
;hauffeurs. "eamsters and :elpers $ocal =o. E@9 v. "err#
)arshall 1rites for the -a6orit, i' all parts e2cept Fa, 1here he (iscusses historical a'alo*,.
#acts$ )cLea' Truc0i'* Co-pa', a'( CT. u'io' parties to collecti%e /ar*ai'i'*
a*ree-e't. )cLea' tra'sfers respo'(e'ts a'( a*rees to *i%e the- special se'iorit,
ri*hts, /ut respo'(e'ts are lai( off a'( recalle( se%eral ti-es -a0i'* it so the, lose their
se'iorit,. The, 1i' a *rie%a'ce, /ut the co-pa', soo' recalls i'acti%e e-plo,ees,
allo1i'* the- to re*ai' se'iorit, o%er respo'(e'ts. The, lose a seco'( *rie%a'ce. #ile
suit a*ai'st the u'io' for %iolati'* its (ut, of fair represe'tatio' a'( )cLea' for
/reachi'* collecti%e9/ar*ai'i'* a*ree-e't.
Respo'(e'ts see0 14 Rei'state the- to proper se'iorit, status, "4 co-pe'sator, (a-a*es
for lost 1a*es a'( health /e'efits.
)cLea' files for /a'0ruptc,, a'( that actio' %olu'taril, (is-isse( alo'* 1ith the clai-
for i'6u'cti%e relief.
U'io' -o%es to stri0e 6ur, (e-a'( o' *rou'(s 'o ri*ht e2ists i' a (ut, of fair
represe'tatio' suit.
>ol(/er*$ Plai'tiff has t1o clai-s to pro%e. #irst, -ust pro%e %iolatio' of the
collecti%e /ar*ai'i'* a*ree-e't. &eco'(, that the u'io' /reache( its (ut, of fair
HH
represe'tatio'. Kithout the first, the' there are 'o (a-a*es for the truc0ers,
/ecause the, 1ere'5t har-e(.
RE&ULT$ >IVE IT TO T.E BUR@+ T.I& I& ALL A<OUT INTERPRETIN> !
th
A-e'(-e't
)arshall opi'io'$ "9&TEP
o 14 Nature of the Clai-99.istorical a'alo*,='ot -a6orit, o' thisD. #i'(s
u'io'5s a'alo*, to a trust /e'eficiar, 31hich 1oul( ha%e /ee' eIuita/le
relief4 -ore co'%i'ci'*. <UT the co-pa'ies %iolatio' of collecti%e
/ar*ai'i'* a*ree-e't 3part o'e that -ust /e pro%e(4, is -ore a'alo*ous to
/reach of co'tract 31hich is a le*al issue4.
o "4 Nature of Da-a*es99Da-a*es$ Loo0 here to (eter-i'e 1hich a'alo*, is
-ore appropriate. Restitutio'ar, (a-a*es are eIuita/le. )o'etar,
(a-a*es -a, also /e 8i'tert1i'e(J 1ith eIuita/le relief, /ut here
respo'(e'ts see0 o'l, -o'etar, (a-a*es. .ere, (a-a*es sou*ht are 'ot
restitutio'ar, i' 'ature, /ut for 8fair represe'tatio',J 1hich is le*al.
o Court hol(s the t1o part a'al,sis sho1s ri*ht to 6ur,.
<re''a' co'curre'ce$
o Nature of the re-e(, is -ore i-porta't tha' the 'ature of the ri*ht.
o <elie%es this is a -ore -a'a*ea/le sta'(ar(.
o <UT >ol(/er*, i*'ori'* the 1or( 8preser%e(.J
Ee''e(, (isse't$
o O'l, part that -atters is the historical co-pariso'.
o U'io'5s a'alo*, is -ore appropriate, a'(, therefore, this shoul( /e trie( /, court.
.istorical <ac0*rou'( of Ci%il Buries
Colo'ial perio(, 6uries percei%e( as *uar(ia's of local co--u'it, %alues a*ai'st outsi(er
6u(*es appoi'te( /, ro,al *o%er'or.
A-o'* fore-ost co-plai'ts of fou'(ers for A-erica' i'(epe'(e'ce, -e'tio'e( i'
Declaratio'.
Rall,i'* cr, a*ai'st co'stitutio', cul-i'ati'* i' the !
th
A-e'(-e't.
The De/ate O%er the A-erica' Ci%il Bur,
Efficie'c, ar*u-e'ts$ E-phasi:e a-ateurish 'ature of 6uries, i'flue'ce /, pre6u(ice a'(
passio'.
De-ocratic ar*u-e'ts$ le*iti-i:e the process, cur/ ar/itrar, 6u(icial /eha%ior, i'culcate
co--u'it, %alues, citi:e' participatio' a'( e(ucatio', 'eutral, fair, a'( accurate (ispute
resolutio'.
Co'si(er also 3fro- 'otes FO"9FO4$
o Those 1ho ser%e o' 6uries usuall, fi'( positi%e a'( i-porta't e2perie'ce.
o Buries, o' the 1hole, ha%e 'ot /ee' sho1' to /e i'co-pete't.
o Pu'iti%e (a-a*es$
Buries a1ar( pu'iti%e (a-a*es at sa-e rate as 6u(*es, /ut *reater sprea(.
<UT of 5F /loc0/uster a1ar( 3o%er T1GG -illio'4, all /ut o'e 1as 6ur,.
H5
)cDo'al(5s coffee case. Bur, a1ar( chose' to eIual t1o (a,s of coffee
re%e'ue, ulti-atel, re(uce( /, 6u(*e. Does'5t see- too ar/itrar,.
o Re(uci'* the si:e of 6ur, fro- 1" to si2.
o ReIuire-e't of u'a'i-it,.
o Co-ple2 trials.
Bero-e T. #ra'0, ;ourts on "rial
Three theories of 6ur,5s fu'ctio'$
o NaX%e$ -erel, fi'( the facts, faithfull, accepts le*al rules pro%i(e( /, 6u(*e.
o )ore sophisticate($ fi'(s facts a'( uses le*al reaso'i'* to appl, facts to le*al rules
it lear's fro- 6u(*e, resulti'* i' fi'(i'* the, (esire.
o 8RealisticJ theor,. Not a/le to, 'or atte-pt to appl, i'structio's. Bust (eci(e 1hat
the, 1a't to (o.
Deter-i'es 'ot the facts, /ut the le*al ri*hts a'( (uties of the parties.
Pro96ur,$ 6uries -a0e /etter rules tha' 6u(*es (o.
<ut, 'ot electe( /, %oters, e-po1ere( to (estro, 1hat le*islators ha%e
e'acte(.
o #ra'0$ <UT 6uries are 'ot that co'siste't. Do'5t ha%e u'ifor- 6ur, 'ullificatio' of
harsh rules. The, (o it i' a capricious fashio'.
.arr, Eal%e', "he Dignit# of the ;ivil /ur#
Positi%e$ Ci%ic e2perie'ce for citi:e's, li*hti'* ro( for a'i-osit, other1ise (irecte( at
6u(*e, *uara'tor of i'te*rit,, si'ce -ore (ifficult to reach 3/ri/e4 1" people tha' o'
perso'.
Ne*ati%e$
o A((e( e2pe'se, u'fair eco'o-ic a'( social /ur(e' o' those force( to ser%e,
(ise'cha'ts 6urors a'( actuall, causes the- to lose co'fi(e'ce.
<UTE%i(e'ce that -ost people ta0e respo'si/ilit, %er, seriousl,,
-o%i'* e2perie'ce for the-.
o Co-pete'ce of the 6ur,.
o A(here'ce of the 6ur, to the la1.
Bu(*e a'( 6ur, a*ree( o' lia/ilit, i' ! perce't of cases 3U. of. Chica*o
Bur, pro6ect.4
Le%el of (isa*ree-e't i' har( a'( eas, cases the sa-e. =cou'terar* to
sa,i'* 1e shoul('5t use 6uries i' co-ple2 liti*atio'D
Trials structure to 6uries a'( -a0e certai' poi'ts salie't.
;ollective -ecallAthe, ca' recall -ost of the e%i(e'ce /et1ee' the-;e'ou*h people
ca' re-e-/er all the facts 'ecessar,
Bur, as stro'* as its stro'*est li'0.
Valerie P. .a's a'( Neil Vi(-ar, /udging the /ur#
Bu(*es are 'ot 'ecessaril, /etter triers of fact.
Bustice as 1ell as la1. )a6orit, of 6u(*es 1hite -ales, pri%ile*e(. Narro1 perspecti%e
of 6ustice a'( fair'ess 'o co'siste't 1ith that of *e'eral co--u'it,.
Le*iti-ati'* fu'ctio' of 6ur,.
H7
)ore o' Buries
Ri*ht to 6ur, pro%i(e( /, !
th
a-e'(-e't OR /, Co'*ressio'al statute.
Petit 6ur, Q calle( for cri-i'al or ci%il actio'. Disti'ct fro- a *ra'( 6ur,.
>ra'( 6ur, Q char*e( 1ith fi'(i'* 1hether the *o%er'-e't has pro/a/le cause for
i'(ict-e't.
@ou ca' challe'*e a 6uror or cause. Reaso' that the la1 reco*'i:es as sufficie't
1arra't for e2clu(i'* fro- 6ur,. E'o1s o'e of the parties.
Or -a0e a pere%ptor- c6a##en&e. @ou (o'5t assi*' a reaso' for the challe'*e.
)ost 6uris(ictio's allo1 the-. I' fe(eral court, ,ou shoul( *et three. .as to /e a
'o'9(iscri-i'ator, reaso'.
o "O U.&.C. 1O!G #or cause shall /e (eter-i'e( /, the court.
o "O U.&.C. 1O75 3c4354 felo' (ise'fra'chise-e't rule.
Bur, &electio'$ Tech'iIues a'( Purposes, CP HG19G", HGH9G7, H1"915 3s0ip co--e't "4
PRO& AND CON& O# BUR@ DI&CU&&ION;.i' stu(, *roup
No'co'seIue'tialist$
&ocial #a/ricAparticipator, ele-e't of the 6ur, process+ (e-ocratic theor,
People are happier or -ore satisfie( 1ith the outco-e 1he' 6ur, (eci(es;.-ore li0el, to feel
the,5re /ei'* treate( fairl,
99,ou are -ore li0el, to /e satisfie( 1ith result 1he' the 1" peers are (eci(i'*
99/etter to /la-e the 6ur, tha' the 6u(*e for pro/le-s of 6u(icial s,ste-..si'ce 6uries are 'ot
repeat pla,ers, 1hile 6u(*es are i'te*ral part of the 6ur,
.ar(ship o' the 6urors
99ta0es a1a, for- their perso'al li%es
996urors -a, 'ot 'ecessaril, 1a't to /e there or are i'tereste(
99cou'terar*$ so-e pople (i('5t 1a't to /e o' /ut after1ar(s sai( that it 1as a %er,
positi%e e2perie'ce 3Eal%i'4
99
Truth ar*u-e'ts$ 1ho5s /etter at arri%i'* at truth
Bur,+ -ore perspecti%es, (i%ersit,, collecti%e recall.
Bu(*e$ 0'o1s the la1 the /est+ /ut the 6u(*e ca' 'ullif, the- if the,5re 1ro'* o' la1;6u(*e as
o'e perso' -a, 'ot /e /etter as a fact fi'(er
Buries -ore plai'tiff frie'(l,, a1ar( lar*er (a-a*es
&o-eti-es cases are %er, co-plicate( a'( it5s 6ust o%er the 6urors5 hea(sAthe, are 'ot
appropriate to (eci(e -a,/e
Cou'terar*A6u(*es -a, 'ot /e /etter eIuippe( to u'(ersta'( these co-ple2ities either
2. Limiting t+e P,er f t+e Jur%" Summ!r% Judgment
H!
Ru#e *<: 4ud&%ent as a 7atter o 3a9 in 4ur- Tria#sC A#ternati"e 7otion or Ne9
Tria#C Conditiona# Ru#in&s
If, after a plai'tiff has /ee' full, hear at the trial a'( has still 'ot pro(uce( e'ou*h
e%i(e'ce to ha%e a reaso'a/le 6ur, fi'( for it o' a critical ele-e't the' the (efe'(a't
has the ri*ht as a -atter of la1 to 1i' the case, so there is 'o 'ee( for (efe'(a't to e%e'
pro(uce a', e%i(e'ce /ecause plai'tiff has 'ot their /ur(e'. =T.I& I& DE&I>NED TO
>ET RID O# CA&E& IN TRIAL K.ERE T.E PLAINTI## #AIL& TO )AEE IT&
CA&E. D
99Ke (o'5t 'ee( a 6ur, to (eci(e if there is 'o co'flict of fact, the' ,ou o'l, 'ee(
a 6u(*e
99It is ta0i'* the (ecisio' a1a, fro- the 6ur, a'( lea%i'* it to the 6u(*e.
Ee, phrase fro- the Rule$ 8T6ere is no #e&a##- suicient e"identiar- 'asis or a
reasona'#e !ur- to ind or t6e part- on t6at issueJ
3a4 Bu(*-e't as a )atter of La1
314 If (uri'* a trial /, 6ur, a part, has /ee' full, hear( o' a' issue a'( t6ere is
no #e&a##- suicient e"identiar- 'asis or a reasona'#- !ur- to ind or t6at
part- on t6at issue, the court -a,$
99(eter-i'e the issue a*ai'st the part, a'( -a, *ra't a -otio' for
6u(*-e't as a -atter of la1 a*ai'st that part, 1ith respect to a clai- or
(efe'se that ca''ot u'(er the co'trolli'* la1 /e -ai'tai'e( or (efeate(
1ithout a fa%ora/le fi'(i'* o' that issue
3"4 )otio's for 6u(*-e't as a -atter of la1 -a, /e -a(e at a', ti-e /efore
su/-issio' of the case to the 6ur,
3/4 Re'e1i'* )otio' for Bu(*-e't After Trial+ Alter'ati%e )otio' for Ne1 Trial
99)o%a't -a, re'e1 its reIuest for 6u(*-e't as a -atter of la1 /, fili'* a
-otio' 'o later tha' 1G (a,s after e'tr, of 6u(*-e't
99-a, alter'ati%el, reIuest a 'e1 trial u'(er Rule 5.
99I' ruli'* o' a re'e1e( -otio', Court -a,
If %er(ict retur'e($
3A4 allo1 the 6u(*-e't to sta'(
3<4 or(er a 'e1 trial
3C4 (irect e'tr, of 6u(*-e't as a -atter of la1 +!.n.o.",
If 'o %er(ict 1as retur'e(
3A4 or(er a 'e1 trial
3<4 (irect e'tr, of 6u(*-e't as a -atter of la1
HO
The court is (oi'* the sa-e thi'* i' Rule 57 as it is i' Rule 5G;..it 6ust occurs at a'
earlier sta*e i' the process.
Ru#e *): Su%%ar- 4ud&%ent
<n a nutshell! 573c4 sa,s that the -o%i'* part, -ust first sho1 that 8t6ere is no &enuine
issue as to an- %ateria# actJ to -eet its i'itial /ur(e'. 573e4 (eli'eates that the a(%erse
part, i' respo'se ca''ot rel, o' its (e'ials a'( alle*atio's fro- the plea(i'* a'( -ust /,
affi(a%it or other1ise set forth 8speciic acts s6o9in& t6at t6ere is a &enuine issue or
tria#.J
3a4 #or clai-a't$
1ho can bring the motion!
99A part, see0i'* to reco%er upo' a clai-, cou'terclai- or cross9clai-
99or a part, see0i'* to o/tai' a (eclarator, 6u(*-e't
1hen #ou can move for summar# 7udgment
99at a', ti-e after e2piratio' of "G (a,s fro- the co--e'ce-e't of the
actio'
99or a', ti-e after ser%ice of a -otio' for su--ar, 6u(*-e't /, the
a(%erse part,,
&upporti'* affi(a%itsC
99No. ca' -o%e 1ith or 1ithout supporti'* affi(a%its
3/4 #or Defe'(i'* Part,
&a-e rules as for clai-a't e2cept the, -a,, at a', ti-e, -o%e 1ith or 1ithout
supporti'* affi(a%its for a su--ar, 6u(*-e't
3c4 )otio' a'( Procee(i'*s Thereo' 3I)PORTANT CLAU&E4
Khe' ser%e($
99at least 1G (a,s /efore the ti-e fi2e( for the heari'*.
Khat the Bu(*e 1ill /e loo0i'* at to (eci(e$
99plea(i'*s
99(epositio's
99a's1ers to i'terro*atories a'(
99a(-issio's o' file
99to*ether 1ith affi(a%its, if a',
Bu(*e5s (ecisio' /ase( o' 3I)PORTANT4
99If all of the %arious pieces of e%i(e'ce a/o%e sho1 that t6ere is no
&enuine issue as to an- %ateria# act, the' the -o%i'* part, is e'title( to
a 6u(*-e't as a -atter of la1
3(4 Case 'ot #ull, A(6u(icate( o' )otio' 3Partial &u--ar, Bu(*-e't4
H
<n a nutshell! There 1ill still /e a trial o' the -atters that 1ere 'ot (ealt 1ith i' the
su--ar, 6u(*-e't phase
Khe' it applies$
99if 6u(*-e't is 'ot re'(ere( upo' the 1hole case or for all the relief as0e(
a'( a trial is 'ecessar,
If trial still 'ecessar, e%e' after su--ar, 6u(*-e't *ra'te( o' so-e issues, 1hat
occurs$
99the court at the heari'* of the -otio', /, e2a-i'i'* plea(i'*s a'(
e%i(e'ce /efore it a'( /, i'terro*ati'* cou'sel, shall if practica/le
ascertai'
991hat -aterial facts e2ists 1ithout su/sta'tial co'tro%ers,
99a'( 1hat -aterial facts are actuall, a'( i' *oo( faith
co'tro%erte(
=court is (eci(i'* 1hat -aterial facts are still i' co'tro%ers, a'(
1hat -aterial facts are esta/lishe( as (efi'iti%el, true or falseD
Khat the court the' (oes$
99-a0es a' or(er specifi,i'* the facts that appear 1ithout su/sta'tial
co'tro%ers, a'(
99it (irects such further procee(i'*s i' the actio' as are 6ust
I-pact o' trial$
99at trial of the actio' the facts so specifie( shall /e (ee-e( esta/lishe(
99a'( the trial shall /e co'(ucte( accor(i'*l,
3e4 #or- of Affi(a%its+ #urther Testi-o',+ Defe'se ReIuire( 3I)PORTANT CLAU&E4
Affi(a%its &hall
99/e -a(e o' perso'al 0'o1le(*e
99set forth such facts as 1oul( /e a(-issi/le i' e%i(e'ce
99shall sho1 affir-ati%el, that the affia't is co-pete't to testif, to the
-atters state( therei'
&upple-e'ti'* Affi(a%its
99court -a, per-it affi(a%its to /e supple-e'te( or oppose( /,
99(epositio's
99a's1ers to i'terro*atories
99further affi(a%its
Defe'se ReIuire( fro- A(%erse Part, 3I)PORTANT4
99If -o%i'* part, -eets this i'itial /ur(e', a(%erse part,
99-a, 'ot rest upo' the -ere alle*atio's or (e'ials of the plea(i'*
99the respo'se, /, affi(a%its or other1ise, -ust set forth speciic
acts s6o9in& t6at t6ere is a &enuine issue or tria#
If a(%erse part, (oes 'ot respo'(
99su--ar, 6u(*-e't, if appropriate, shall /e e'tere( a*ai'st the-
5G
3f4 Khe' Affi(a%its U'a%aila/le
99if for reaso's state( part, ca'5t prese't /, affi(a%it fats esse'tial to 6ustif, the
part,5s oppositio', the court -a,
99refuse applicatio' for 6u(*-e't
99or -a, or(er a co'ti'ua'ce to per-it affi(a%its, (epositio's, further
(isco%er, etc to occur
3*4 Affi(a%its )a(e i' <a( #aith
99court shall or(er the part, 1ho (i( it to pa, the other part, reaso'a/le e2pe'ses
1hich the fili'* of the affi(a%its cause( the other part, to i'cur
99offe'(i'* part, -a, /e fou'( *uilt, of co'te-pt
T6e Su%%ar- 4ud&%ent +Ru#e *), Cases
a. T6e Adi$:e' Standard
ADIC.ES 5 S.H. .RESS L CO.=p.:@@
SCOTUS1 0GB<
The -ore stri'*e't sta'(ar( of su--ar, 6u(*-e't /efore Celote2.
I' a 'utshell$ The 0e, here is that the -o%i'* part, 1oul( ha%e ha( to pro(uce so-e
e%i(e'ce or affir-ati%e i'for-atio' 1hich 8foreclose( the possi/ilit,J of a co'spirac,
/et1ee' the Police a'( the &tore i' 'ot ser%i'* A(ic0es. <, 'ot (oi'* so a'( -erel,
poi'ti'* to )s. A(ic0es5 lac0 of e%i(e'ce, the -o%i'* part, (i( 'ot -eet its i'itial
/ur(e' /, 'ot sho1i'* the a/se'ce of a', *e'ui'e issue of fact. Thus, e%e' thou*h )s.
A(ic0es i' respo'(i'* to the -otio' (i( 'ot pro(uce a', opposi'* e%i(e'tiar, -atter,
this is irrele%a't si'ce the -o%i'* part, faile( to -eet its i'itial /ur(e'.
Ee, Phrases$
8<ecause respo'(e't (i( 'ot -eet its i'itial /ur(e' of esta/lishi'* the a/se'ce of a
police-a' i' the store, petitio'er here 1as 'ot reIuire( to co-e for1ar( 1ith suita/le
opposi'* affi(a%its.J
8Respo'(e't 3-o%i'* part,4 here did not carr- its 'urden 'ecause o its ai#ure to
FOREC3OSE THE POSSIBI3IT/ that there 1as a police-a' i' the Eress store 1hile
petitio'er 1as a1aiti'* ser%ice, a'( that this police-a' reache( a' u'(ersta'(i'* 1ith
so-e Eress e-plo,ee that petitio'er 'ot /e ser%e(J
#ACT&$ A(ic0es a'( the /lac0 stu(e'ts 1ere first refuse( ser%ice at the li/rar,, a'( the,
1ere 0ic0e( out of the li/rar, /, police. The, the' procee(e( to a restaura't i'
.atties/ur* )ississippi 1here A(ic0es 1as refuse( ser%ice /, Eress Co. /ecause she
51
1as 1hite /ut 1ith /lac0 stu(e'ts. The /lac0 stu(e'ts ho1e%er 1ere ser%e(. A(ic0es
1as arreste( after lea%i'* the store a'( arreste( for o' a char*e of %a*ra'c,.
&he files suit u'(er R1OFApro%i(es ci%il re-e(, for i'(i%i(uals 1ho /elie%e their ri*hts
ha%e /ee' %iolate( /, a part, acti'* u'(er color of the state la1
&he -a0es t1o clai-s
99custo- of (iscri-i'atio' of this sort
99co'spirac, 3this is the clai- i' (ispute4
#or R1OF she -ust esta/lish t1o ele-e'ts to reco%er
99co'stitutio'al or statutor, ri*hts %iolate(
99part, acti'* u'(er color of state la1
.OLDIN>$ U'(er Rule 57, specificall, sectio' 3c4 a'( 3e4, 1here the e%i(e'tiar, -atter
i' support of the -otio' for su--ar, 6u(*-e't (oes 'ot esta/lish the a/se'ce of a
*e'ui'e issue, su--ar, 6u(*-e't -ust /e (e'ie( e%e' if 'o opposi'* e%i(e'tiar, -atter
is prese'te( as is reIuire( i' 573e4
Eress -o%es for su--ar, 6u(*-e't
99ar*ues that she has'5t satisfie( the sta'(ar(, 'o facts are esta/lishe( that sho1 a
co'spirac,
99the, also ha%e state-e't i' a (epositio' of store -a'a*er sa,i'* that there 1as
'o co'spirac, 3he clai-s he 1as 1orrie( of a riot a'( that5s 1h, the, 1ere'5t
ser%e(4
99affi(a%its fro- the police chief sa,s 8I (i( 'ot tal0 to a',/o(, at the storeJ
99A(ic0es o1' (epositio' a(-its that she 'e%er sa1 the- co--u'icate+ she is
-a0i'* a clai- o' circu-sta'tial e%i(e'ce
99affi(a%its of other arresti'* officers see-s to -atch the other cop5s affi(a%it
99state-e'ts /, 1aitresses, /ut these 1ere u's1or' so ca'5t /e use( as e%i(e'ce
accor(i'* to 573c4
A(ic0es respo'(s$
99Di('5t (ispute the alle*atio' i' the co-plai't that there 1ere officers i' the
store+ the, 'e%er (e'ie( their prese'ce i' the store.
99Testi-o', of o'e of her stu(e'ts at trial
99U's1or' state-e't of the chec0out *irl
99&he uses her o1' (epositio' as e%i(e'ce that the store -a'a*er
99.er affi(a%it sa,s that the situatio' 1as 'ot e2plosi%e at all 3raises *e'ui'e
(ispute as to -aterial fact i' co'tra(ictio' of store -a'a*er5s state-e'ts4
99 Petitio'er ac0'o1le(*es that the e%i(e'ce is circu-sta'tial, /ut sa,s that she
ha( a clear e'ou*h seIue'ce of e%e'ts esta/lishe( to create a su/sta'tial e'ou*h
possi/ilit, of a co'spirac, to allo1 her to procee( to trial.
5"
The -o%i'* part,, Eress, has the /ur(e'+ a'( the -aterials are %ie1e( i' the li*ht -ost
fa%ora/le for A(ic0es
99a', i'fere'ce 1ill /e %ie1e( i' the opposi'* part,5s fa%or
The court rules that there is e'ou*h e%i(e'ce that there coul( /e a %ali( clai- here+ so
su--ar, 6u(*-e't (e'ie(
99(efe'(a't 'e%er esta/lishe( that the officers 1ere 'ot i' the store 1e 1oul(
'ee( to 0'o1 that it coul('5t /e possi/le for a co'spirac, to e2ist, /ut the fact that
the officer -a, ha%e i' the store lea%es the possi/ilit, of co'spirac, ope' a'(
thus the su--ar, 6u(*-e't -ust /e re6ecte(
If the (efe'(a't ha( affi(a%its sa,i'* that the police-a' 1as 'ot i' the store, u'(er Rule
573e4, A(ic0es 1oul( ha%e ha( to (o -ore tha' si-pl, rel, o' the co'trar, alle*atio' i'
her co-plai't.
WARREN 5 CAR3SBAD=6andout
US Ct. o Appea#s1 G
t6
Circuit
#ACT&$ #irefi*hter /rou*ht suit a*ai'st fire (ept u'(er %iolatio' of Title VII clai-,
/ecause he felt that he 1as 'ot pro-ote( (ue to his )e2ica' eth'icit,. Karre' ha( ta0e'
a' e2a- alo'* 1ith other 1hite ca'(i(ates for pro-otio' to positio' of #ire Captai'. Of
the t1e't, applica'ts he ra'0e( ei*hth o' the test. This test /eca-e the 8e-plo,-e't
listJ fro- 1hich the #ire Chief -a(e pro-otio's. .e selecte( si2 applica'ts for the
positio' of fire captai', four of 1ho- ha( hi*her scores tha' Karre', t1o of 1ho- 1ho
ha( lo1er scores. After the fact of these pro-otio's, a/out si2 -o'ths later, Karre'5s
ps,chiatrist 'otife( the #ire chief that Karre' suffere( fro- (epressio' a'( ha(
ho-ici(al i(eas a/out the #ire Chief. Karre' attri/utes the (epressio' to /ei'* passe(
o%er for pro-otio'. O'ce #ire chief hear( this, the cit, i--e(iatel, place( Karre' o'
a(-i'istrati%e lea%e. Karre' is the' place( o' (isa/ilit, lea%e a'( /eco-es 'o lo'*er
eli*i/le for pro-otio' a'( is ta0e' off the list.
District Court e'tere( su--ar, 6u(*-e't for (efe'(a't a'( i-pose( Rule 11 sa'ctio's
o' plai'tiff for fili'* fri%olous clai-
The Court of Appeals re%erses
.OLDIN>$ the -ere e2iste'ce of a pri-a facie case, -ea's that the plai'tiff 'ee(
pro(uce %er, little e%i(e'ce of (iscri-i'ator, -oti%e to raise a *e'ui'e issue of fact a'(
to (efeat the su--ar, 6u(*-e't -otio'
99i' fact, a', i'(icatio' of a (iscri-i'ator, -oti%e -a, suffice to raise a Iuestio'
that ca' o'l, /e resol%e( /, a factfi'(er
99o'ce pri-a facie case is esta/lishe(, su--ar, 6u(*-e't is or(i'aril, 'ot
appropriate
Plai'tiff has to pro%e its pri-a facie case /, sho1i'*
5F
99applie( for positio'
99re6ecte( for positio'
99positio' re-ai's ope' e%e' after their re6ectio'
O'ce pri-a facie case is -a(e, the /ur(e' is /ac0 o' the e-plo,er to articulate a 'o'9
(iscri-i'ator, reaso' The #ire Dept. sa,s that Karre' (i('5t *et alo'* 1ell 1ith
others a'( this 1as his reaso' for 'ot /ei'* pro-ote(, 'ot his race
No1 the /ur(e' shifts /ac0 to Karre' to esta/lish 1h, the reaso' articulate( /, the #ire
Dept is i'a(eIuate a'( 6ust a prete2t.
99I' Title VII case (ispute is o%er 1hether or 'ot the, re6ecte( hi- for
(iscri-i'ator, reaso' it5s o%er i'te't
99Karre' 6ust 'ee(s to sho1 that the (efe'(a't5s 'o'(iscri-i'ator, reaso'
is 'ot plausi/le
99Karre' sho1s this 1ith statistical e%i(e'ce, a racist re-ar0 etc.
The court co'clu(es that this is e'ou*h to -eet the /ur(e' to (efeat the su--ar,
6u(*-e't
7ere e(istence o a pri%a acie case1 %eans t6at t6e p#ainti needed to produce
"er- #itt#e e"idence o discri%inator- %oti"e to raise a &enuine issue o act and to
deeat t6e su%%ar- !ud&%ent %otion
22in act1 an- indication o a discri%inator- %oti"e %a- suice to raise a
?uestion t6at can on#- 'e reso#"ed '- a actinder
22once pri%a acie case is esta'#is6ed1 su%%ar- !ud&%ent is ordinari#- not
appropriate
The /asic Iuestio' al1a,s isAat su--ar, 6u(*-e't sta*e ho1 -uch e%i(e'ce is
'ecessar, for plai'tiff to sur%i%e the -otio'
(. 3+e Celte8 St!nd!rd
CE3OTEM CORP. 5 CATRETT=p. :A@
SCOTUS +0GD),
.ol(i'*$ Rather tha' pro%i(e e%i(e'ce, affi(a%its etc foreclosi'* the possi/ilit, of o'e or
-ore of the 'o'-o%i'* part,5s clai-s /ei'* true, i'stea( all the -o%i'* part, has to (o
i' -o%i'* for su--ar, 6u(*-e't is sho1 that the 'o'-o%i'* part,5s e%i(e'ce is lac0i'*
99under t6is standard t6e responsi'i#it- is %ere#- to identi- t6e a'sence o
proo '- t6e p#ainti
5H
>OOD ?UOTE TO U&E$ 8<ut 1e (o 'ot thi'0 the A(ic0es la'*ua*e;shoul( /e
co'strue( to -ea' that the /ur(e' is o' the part, -o%i'* for su--ar, 6u(*-e't to
pro(uce e%i(e'ce sho1i'* the a/se'ce of a *e'ui'e issue of -aterial fact, e%e' 1ith
respect to a' issue o' 1hich the 'o'-o%i'* part, /ears the /ur(e' of proof. I'stea(, as
1e ha%e e2plai'e(, t6e 'urden on t6e %o"in& part- %a- 'e disc6ar&ed '-
Is6o9in&J=t6at is1 pointin& out to t6e district court=t6at t6ere is an a'sence o
e"idence to support t6e non2%o"in& part->s case.J
8&u--ar, 6u(*-e't proce(ure is properl, re*ar(e( 'ot as a (isfa%ore( proce(ural
shortcut, /ut rather as a' i'te*ral part of the #e(eral Rules;J
#ACT& $ The plai'tiff3CATRETT4 file( a*ai'st fiftee' (iffere't corporatio's for the
1ro'*ful (eath of her hus/a'( (ue to a/sestos, sou'(i'* i' strict lia/ilit,, 'e*li*e'ce a'(
/reach of 1arra't,. 1F of the co-pa'ies file( for su--ar, 6u(*-e't, i'clu(i'* the
petitio'er 3Celote24 here.
Catrett has to sho1 that Celote2 'o1 o1's the co-pa', that -a(e the as/estos
The Celote2 -otio' ar*ue( that the respo'(e't ha( 8faile( to pro(uce e%i(e'ce that a',
celote2 pro(uct 1as the pro2i-ate cause of the i'6uries alle*e( 1ithi' the 6uris(ictio'al
li-its of District Court. Respo'(e't faile( to i(e'tif, i' a's1eri'* i'terro*atories a',
1it'esses 1ho coul( testif, a/out the (ece(e't5s e2posure to petitio'er5s as/estos
pro(ucts.J
The /asic ar* o' su--ar, 6u(*-e't /, Celote2 is that the plai'tiff (i( 'ot prese't
e'ou*h e%i(e'ce to sho1 that the plai'tiff 1as e2pose( to celote2 as/estos specificall,
99District Court *ra'te( su--ar, 6u(*-e't+ Ct. Of Appeals re%erses
Respo'(e't 3Catrett4 ar*ues that si'ce the petitio'er (i( 'ot support its -otio' 1ith
affi(a%its, su--ar, 6u(*-e't 1as i-proper
7a!orit- Opinion Re6n?uist sees *)+c, as -ea'i'* that the e'tr, of su%%ar-
!ud&%ent s6ou#d 'e &ranted a&ainst a part- 96o
+0, ai#s to s6o9 suicient e"idence to esta'#is6 t6e e(istence o an e#e%ent
essentia# to t6at part->s case1 and
+@, on 96ic6 t6at part- 9i## 'ear t6e 'urden o proo at tria#.
99there ca' /e 'o 8*e'ui'e issue as to a', -aterial factJ si'ce a co-plete
failure to sho1 proof of a' esse'tial ele-e't 'ecessaril, re'(ers all other
facts i--aterial
99sta'(ar( of su--ar, 6u(*-e't -irrors sta'(ar( for a (irecte( %er(ict
35G3a44
T6e 'urden on t6e %o"in& part-$ the, still /ear i'itial respo'si/ilit, of i'for-i'* the
(istrict court of the /asis of their -otio' a'( i(e'tif,i'* the portio's of the oppo'e't5s
case 1hich it /elie%es (e-o'strate the a/se'ce of a *e'ui'e issue of -aterial fact.
55
99<UT the, (o'5t ha%e to support the su--ar, 6u(*-e't -otio' 1ith affi(a%its
or other si-ilar -aterials 1hich 'e*ate oppo'e't5s clai-s
99the te2tual proof of this is that Rule 57 3e4 refers to 8affi(a%its if an#J
a'( Rules 57 3a4 a'( 3/4 pro%i(e clai-a'ts a'( (efe'(a'ts the ri*ht to
-o%e for su--ar, 6u(*-e't 81ith or 1ithout supporti'* affi(a%itsJ
Khite Co'curri'* a'( <re''a' Disse't /oth a*ree 1ith this %ie1$
8It is 'ot e'ou*h to -o%e for su--ar, 6u(*-e't 1ithout supporti'* the -otio' i' a',
1a, or 1ith a co'clusor, assertio' that the plai'tiff has 'o e%i(e'ce to pro%e his case.J
99The reaso' the, /oth sa, thisAthe, (o'5t 1a't such a lo1 /ar for fili'*
su--ar, 6u(*-e'tsAthat -ea's the, coul( /e use( as %ehicles for harass-e't
there shoul( /e so-ethi'* the -o%i'* part, has to (o to -a0e this -otio'
>oo( Ar*u-e't A*ai'st La2 &u--ar, Bu(*-e't &ta'(ar(99 if ,our
/ur(e' is easil, -et as -o%i'* part,, that forces the 'o'-o%i'* part, to
la, out their 1hole case for ,ou i' respo'se 1hich *i%es the -o%i'* part,
a /i* a(%a'ta*e
99if (efe'(a't5s coul( -a0e co'clusor, assertio's i' su--ar, 6u(*-e't
-otio's the' this 1oul( /eco-e a %ehicle to *et the plai'tiff to esse'tiall,
re%eal their case i' a(%a'ce
<re''a' Disse't$
Ar*ues that the Celote2 shoul( ha%e tal0e( a/out the e%i(e'ce i' the recor( raise( /,
CatrettAit 1aits to tal0 a/out it u'til its respo'se a'( that is 'ot a(eIuate
99if -o%i'* part, (oes 'ot (eal 1ith all of the e%i(e'ce i' the recor( 1hich (o
sho1 a *e'ui'e factual (ispute, the' 6ust (e', the -otio' a'( 'e%er -a0e the
'o'-o%i'* part, re%eal all its car(s
99e%e' if so-ethi'* is 'ot a(-issi/le at trial, ,ou shoul( still a((ress it i'
,our -otio'
.o1 (oes su--ar, 6u(*-e't 1or0 after ;elote) $
1. )o%i'* part, -eets i'itial /ur(e' /, poi'ti'* to 'o'-o%i'* part,5s lac0 of e%i(e'ce
i' the recor(
". No' -o%i'* part, respo'se$
99 ca' (efeat a su--ar, 6u(*-e't -otio' /, poi'ti'* out e%i(e'ce alrea(, i' the
recor( to the court that the -o%i'* part, (i( 'ot -e'tio' i' its -otio'
99ca'5t 6ust rest o' the plea(i'*s
99-ust respo'( 1ith sho1i'* that there is a(-issi/le e%i(e'ce that coul( possi/l,
persua(e a reaso'a/le 6ur, to fi'( for the 'o'9-o%a't o' the issue i' Iuestio'
F. )o%i'* Part, Re/uts
99i' that e%e't, -o%i'* part, -ust respo'( /, sho1i'* ho1 this e%i(e'ce poi'te(
to is i'a(eIuate
Ce#ote( " Adic$es$
57
Fro% Adic$es$ the -o%i'* part, has to foreclose the possi/ilit, that the cop 1as i' the
store+ it 1oul( ha%e to offer co'clusi%e proof that she coul( 'ot possi/l, satisf, this
ele-e't of her clai- =affir-ati%e e%i(e'ce to sho1 plai'tiff ca'5t satisf, a' ele-e't of
clai-D=the, ha%e to pro(uce their o1' e%i(e'ce hereD
Fro% Ce#ote($ The -o%i'* part, o'l, has to poi't out that there is a' a/se'ce of
e%i(e'ce /, poi'ti'* to the 'o'-o%i'* part,5s e%i(e'ce =all the, ha%e to use is the
'o'-o%i'* part,5s e%i(e'ce a'( 'ee( 'ot pro(uce a', of their o1'Athis is (iffere't
fro- A(ic0esD
Celote2 is o/%iousl, a' easier sta'(ar( for the -o%i'* part,. As a -o%i'* part, ,ou5(
rather cite it tha' A((ic0es, 1hile as a 'o'-o%i'* part, ,ou5( rather cite A((ic0es.
People ofte' *et co'fuse( /, sa,i'* that these are t1o (iffere't sta'(ar(s that this is
sa,i'* that A(ic0es 1ill lose u'(er Celote2 test
99A(ic0es -i*ht still 1i' u'(er Celote2 she actuall, (oes ha%e e%i(e'ce to
support her clai- she has e%i(e'ce to sho1 that the officer 1as i' the store,
thus she 1oul( sur%i%e it pro/a/l, e%e' u'(er celote2
The Other T1o cases i' the Trilo*, 1ith Celote2 =>oo( to )e'tio' i' a' A's1er a/out
&u--ar, Bu(*-e't <ecause People Ofte' Do'5t Discuss The- O' E2a-sD
These t1o cases are see' as e2te'i(i'* Celote2 -a0i'* &u--ar, Bu(*-e't sta'(ar(
e%e' har(er o' the 'o'-o%i'* part,
Anderson " 3i'ert- 3o''-1 Inc.Ap.HF
SCOTUS +0GD),
#acts$ District Court *ra'te( su--ar, 6u(*-e't o' the *rou'(s that i' li/el suits of this
'ature, the plai'tiff 'ee(e( to pro%e actual -alice, a'( the plai'tiff (i( 'ot sho1 that it
1oul( ha%e e%i(e'ce at the trial per-itti'* such a fi'(i'*. Appellate Court re%erse(,
sa,i'* the plai'tiff5s o/li*atio' to pro%e actual -alice at the trial /, clear a'( co'%i'ci'*
e%i(e'ce (i( 'ot appl, to su--ar, 6u(*-e't sta*e.
&u--ar, Bu(*-e't &ta*e ReIuires the Court to Pre(ict Khat Koul( .appe' to the Case
at the Directe( Ver(ict &ta*e 3i.e. Rule 5G4
998&ta'(ar( for su--ar, 6u(*-e't -irrors the sta'(ar( for a (irecte( %er(ict
u'(er #RCP 5G3a4
.ol(i'*$ 8Clear9a'(9co'%i'ci'* sta'(ar( of proof shoul( /e ta0e' i'to accou't i' ruli'*
o' su--ar, 6u(*-e't -otio'sJ
99Bu(*e is suppose( to /ear i' -i'( the VIua'tu-5 of proof reIuire( a'( co'si(er
1hether the e%i(e'ce is of sufficie't Vcali/er or Iua'tit,5 to -eet that VIua'tu-5
5!
The Bu(*eNBur, De/ate$
Disse't$ <re''a' ar*ues that 8clear9a'(9co'%i'ci'*J sta'(ar( at the su--ar, 6u(*-e't
sta*e -ea's that the 6u(*e ca''ot a%oi( 1ei*hi'* e%i(e'ce, a'( thus i-properl,
i'fri'*i'* o' the pro%i'ce of the 6ur,.
99he is sa,i'* this is the 6u(*e 1ei*hi'* e%i(e'ce, /ecause the 6u(*e is 'ot 6ust
as0i'* 8is there e%i(e'ceCJ, /ut rather is as0i'* 8is the e%i(e'ce clear a'(
co'%i'ci'*CJ, 1hich is a (eter-i'atio' for the 6ur, 'ot 6u(*e.
7atsus6ita " Nenit6=p. ::<
SCOTUS1 0GD)
#acts$ Dealt 1ith clai- /, Ye'ith a*ai'st "1 Bape'se co-pa'ies -a'ufacturi'* or selli'*
co'su-er electro'ics i' U& or co'trolli'* A-erica' fir-s that sell the pro(ucts. Ye'ith
alle*e( that the Bapa'ese co-pa'ies ha( co'spire(, i' %iolatio' of &her-a' A'titrust Act,
to 0eep prices artificiall, hi*h i' Bapa' i' or(er to su/si(i:e artificiall, lo1 prices i' the
U'ite( &tates, i' or(er to push A-erica' co-pa'ies out of the -ar0et.
District Court fi'(s that Ye'ith5s theor, (i( 'ot -a0e eco'o-ic se'se a'( thus *ra'te(
su--ar, 6u(*-e't to (efe'(a'ts
Appeals Ct. re%erses
.OLDIN>$ 8Khere the recor( ta0e' as a 1hole coul( 'ot lea( a ratio'al trier of fact to
fi'( for the 'o'9-o%i'* part,, there is 'o *e'ui'e issue for trialJ
&COTU& see-s to -a0e a fi'(i'* of fact i' *ra'ti'* su--ar, 6u(*-e't$ Court reaso's
that Ye'ith theor, 1oul( te'( to raise, 'ot lo1er, prices. The, (o'5t let the plai'tiff
sur%i%e su--ar, 6u(*-e't /ase( o' the propose( testi-o', of plai'tiff5s e2pert that
there 1as a co'spirac, /ecause the, fi'( the e2pert5s opi'io' 8i-plausi/leJ a'(
i'co'siste't 1ith other e%i(e'ce o' recor(.
Disse't stre'uousl, o/6ects /ecause the )a6orit, sa, plai'tiff5s e%i(e'ce is i-plausi/le
3e2pert 1it'ess5s theor, -a(e 'o se'se4
99The, ar*ue the 6u(*e is steppi'* i'to 6uror5s role of assessi'* cre(i/ilit, a'( is
'o1 1ei*hi'* e%i(e'ce VIOLATE& BUDICIAL O<LI>ATION NOT TO
KEI>.T T.E EVIDENCE AND LEAVE T.I& TO T.E BUR@
99the poi't o' su--ar, 6u(*-e't is 'ot that there is 'o (isa*ree-e't, /ut that
there is a -aterial (ispute /et1ee' parties a'( thus the 6ur, or fact fi'(er has
so-ethi'* to resol%e;for 6u(*es to sa, o'e si(e of factual (ispute is i-plausi/le
see-s li0e the, are e2te'(i'* the role of su--ar, 6u(*-e't
?uestio' Pose( /, Professor >ol(/er*99(oes 6u(*e ha%e to let trial *o for1ar( if it 0'o1s
the e%i(e'ce prese'te( /, plai'tiff is co-pletel, i-plausi/le
99IT CO)E& DOKN TO T.E CON#LICT O# #ACT V& CON#LICT O# LAK
5O
99Bu(*e (oes assess fact, /ut throu*h a (iffere't pris- tha' a 6ur, 1oul(
accor(i'* to Professor >ol(/er*
Strate&ic Considerations 9it6 Su%%ar- 4ud&%ent
Reaso's 'ot to -o%e for su--ar, 6u(*-e't
99the 6u(*e has to assu-e thi'*s are i' the li*ht -ost fa%ora/le to 'o'-o%i'*
part,
99-a,/e ,our si(e5s facts 1oul( /e /etter suite( for 6ur, a'( i' the courtroo-
/ecause it is a s,-pathetic stor,A,ou5ll (o /etter i' real life tha' o' paper so
(o'5t -o%e for su--ar, 6u(*-e't
99 if ,ou lose for su--ar, 6u(*-e't;,ou5%e e2pose( all ,our theories to the
other si(e
99i' se2ual harass-e't suit for e2a-ple;(o'5t -o%e for su--ar, 6u(*-e't
/ecause i' this t,pe of case there 1ill /e a (ispute o%er -aterial fact /ecause the
*u, 1ill sa, 8I (i('5t sa, thatJ a'( the *irl 1ill sa, 8,es ,ou (i(J;so ,ou5ll lose
o' su--ar, 6u(*-e't
4. Cntrlling t+e Jur%
Ru#e :0 Dis%issa# o Actions
a. Volu'tar, (is-issal
1. <, plai'tiff+ stipulatio'$ <efore a's1er ser%e(, plai'tiff ca' 6ust file a 'otice.
After a's1er, %olu'taril, (is-iss /, stipulatio's of /oth parties. No pre!udice
u'less alrea(, (is-isse( o'ce /efore o' the sa-e clai-Nactio'.
". <, or(er of court$ Plai'tiff ca' as0 the court to (is-iss, /ut (efe'(a'ts5 cou'ter9
clai-s 1ill pro/a/l, re-ai' pe'(i'*.
/. I'%olu'tar, (is-issal$ Operates as (is-issal o' -erits e2cept for$
l. lac0 of 6uris(ictio'.
-. I-proper %e'ue
'. #ailure to 6oi' a part, u'(er Rule 1
c. Dis-issal of Cou'terclai-, cross9clai-, or thir(9part, clai-$ Rule applies to the a/o%e.
(. If actio' pre%iousl, (is-isse(, a'( the plai'tiff /ri'*s a*ai', if (is-isse(, the court ca'
or(er pa,-e't of costs of the pre%ious actio' as it (ee-s proper. 3I'clu(i'* attor'e,5s
fees4.
Ru#e :@ Conso#idationC Separate Tria#s
a. Co'soli(atio'
/. &eparatio'
Ru#e :G Specia# 5erdicts and Intero&atories
a. &pecial Ver(icts$ Court -a, reIuire special %er(ict i' the for- of 1ritte' fi'(i'*s o'
issus of fact.
/. >e'eral Ver(ict Acco-pa'ie( /, a's1er to I'terro*atories$
5
Court -a, su/-it 1ritte' i'terro*atories to the 6ur, alo'* 1ith reIuest for *e'eral
%er(ict.
If the a's1ers to the i'terro*atories (o'5t -atch 1ith the %er(ict, /ut are co'siste't
1ith each other, the court -a, e'ter 6u(*-e't i' accor(a'ce 1ith the 6uries
a's1ers to the i'terro*atories or retur' the 6ur, for further procee(i'*s
If a's1ers are i'co'siste't 1ith each other, the court -a, or(er a 'e1 trial or
retur' 6ur, for further procee(i'*s
Ru#e *< 4ud&%ent as a 7atter o 3a9
a. Bu(*-e't as a )atter of La1 3Directe( Ver(ict4
1. Duri'* trial /, 6ur,
Part, has /ee' full, hear( o' a' issue
No reaso'a/l, sufficie't e%i(e'tiar, /asis for a reaso'a/le 6ur, to fi'( for a part, o'
a' issue
Court -a, (eter-i'e the issue
>ra't 6u(*-e't as a -atter of la1 o' a clai- or (efe'se that (epe'(s o' that issue
". )oti's for 6u(*-e't as a -atter of la1 -a, //e -a(e at a', ti-e /efore su/-issio'
of the case to the 6ur,
/. Re'e1i'* )otio' for Bu(*-e't After Trial+ Alter'ati%e )otio' for Ne1 Trial. 3BNOV4
If court (oes 'ot *ra't -otio' for 6u(*-e't as a -atter of la1 at the close of all
e%i(e'ce, court is co'si(ere( to ha%e su/-itte( actio' to 6ur, su'!ect to court>s
#ater decidin& t6e #e&a# ?uestions raised '- t6e %otionO
Re'e1 reIuest for 6u(*-e't as a -atter of la1 'o later tha' 1G (a,s after e'tr, of
6u(*-e't
)a, alter'ati%el, reIuest 'e1 trial or 6oi' Rule 5 -otio' for 'e1 trial
Courts optio's$
1. If a %er(ict retur'e($
a. allo1 6u(*-e't to sta'(
/. or(er a 'e1 trial
c. (irect e'tr, of 6u(*-e't as a -atter of la1
". If 'o %er(ict 1as retur'e(
a. or(er a 'e1 trial
/. (irect e'tr, of 6u(*-e't as a -atter of la1.
c. >ra'ti'* Re'e1e( )otio' for Bu(*-e't as a )atter of La1+ Co'(itio'al Ruli'*s+ Ne1
Trial )otio'
(. &a-e$ De'ial of )otio' for Bu(*-e't as a )atter of La1
Ru#e *@ Findin&s '- t6e CourtC 4ud&%ent on Partia# Findin&s Ru#e a'out 96en !ud&e is
t6e actinder and t6e #a9 inder
a. Effect
Trie( o' facts 1ithout a 6ur, or 1ith a(%isor, 6ur,
Court fi'( facts separatel,, a'( state its co'clusio's of la1 separatel,
#i'(i'*s of fact shall 'ot /e set asi(e u'less clearl, erro'eous
Due re*ar( shall /e *i%e' to opportu'it, of trial court to 6u(*e cre(i/ilit, of the
1it'esses
/. A-e'(-e't
O' parties -otio', 'o later tha' 1G (a,s after e'tr, of 6u(*-e't
Court -a, a-e'( its fi'(i'*s
7G
)a, a-e'( 6u(*-e't accor(i'*l,
)otio' -a, acco-pa', a -otio' for a 'e1 trial u'(er Rule 5
c. Bu(*-e't o' Partial #i'i'*s
Duri'* trial 1ithout a 6ur,
Part, has /ee' full, hear( o' a' issue
Court fi'(s a*ai'st part, o' that issue
)a, e'ter 6u(*-e't as a -atter of la1 1ith respect to clai- or (efe'se that
(epe'(s o' the issue.
&uch a 6u(*-e't shall /e supporte( /, fi'(i'*s of act a'( co'clusio's of la1 as
per su/(i%isio' a.
Ru#e *G Ne9 Tria#s A%end%ent o 4ud&%ents
a. >rou'(s
Ne1 trial -a, /e *ra'te( o' all or part of the issues
1. I' actio' i' 1hich trial /, 6ur,$ Ior an- o t6e reasons or 96ic6 ne9 tria# 6a"e
6eretoore 'een &ranted in actions at #a9.J
". Actio' trie( 1ithout a 6ur,+ for a', of the reaso's for 1hich reheari'*s ha%e
heretofore /ee' *ra'te( i' suits i' eIuit,. Court -a, ope' the 6u(*-e't, ta0e
a((itio'al testi-o',, a-e'( fi'(i'*s or co'clusio's, a'( (irect e'tr, of a 'e1
6u(*-e't.
/. Ti-e for )otio'$ Kithi'* 1G (a,s after e'tr, of 6u(*-e't
c. Ti-e for &er%i'* Affi(a%its$ 1ithi' 1G (a,s of e'tr, of 6u(*-e't, /ut -a, /e e2te'(e( to
"G (a,s
(. O' Court5s I'itiati%e$ Bu(*e -a, *ra't 'e1 trial o' 6u(*e5s o1' i'itiati%e.
e. )otio' to Alter or A-e'( Bu(*-e't.
Ru#e )< Re#ie Fro% 4ud&%ent or Order
a. Clerical )ista0es$ i' 6u(*-e'ts or or(ers or other parts of the recor( -a, /e correcte( /,
the court at a', ti-e or o' -otio' of a', part,. 3Note fro- 0randon v. ;hicago 0oard
of Education, -ista0e -ea's fla1s l,i'* 8i' the tra'slatio' of the ori*i'al -ea'i'* to the
6u(*-e't+J ho1e%er, 8if the 6u(*-e't captures the ori*i'al -ea'i'* /ut is i'fecte( /,
error, the parties -ust see0 a'other source of authorit, to correct the -ista0e.J
/. )ista0es+ I'a(%erte'ce+ E2cusa/le Ne*lect+ Ne1l, Disco%er, E%i(e'ce+ #rau(, Etc.
O' -otio', a'( upo' such ter-s as are 6ust
Court -a, relie%e a part, fro- a fi'al 6u(*-e't, or(er or procee(i'* /ecause$
1. -ista0e, i'a(%erte'ce, surprise, or e2cusa/le 'e*lect
". Ne1l, (isco%ere( e%i(e'ce, 1hich /, (ue (ili*e'ce coul( 'ot ha%e /ee' (isco%ere(
i' ti-e to -o%e for a 'e1 trial u'(er Rule 5/
F. #rau(, -isreprese'tatio', or other -isco'(uct o' a' a(%erse part,
H. the 6u(*-e't is %oi(
5. the 6u(*-e't has /ee' satisfie(, release(, or (ischar*e(, or a prior 6u(*-e't o'
1hich it 1as /ase( 1as re%erse( or %acate(, or 'o lo'*er eIuita/le that the 6u(*-e't
shoul( ha%e prospecti%e applicatio'
7. a', other reaso' 6ustif,i'* relief fro- the operatio' of the 6u(*-e't.
#or 19F, -ust /e /rou*ht 1ithi' o'e ,ear.
Other1ise, -ust /e /rou*ht 1ithi' a reaso'a/le ti-e.
Does 'ot effect the fi'alit, of 6u(*-e't
71
Dis%issa#s1 Directed 5erdicts1 4ud&%ents 4.N.O.5.1 Ne9 Tria# 7otions1 and 7otion to
5acate 4ud&%ent HH795H
Ti-eli'e for t,pical fe(eral 6ur, case$
Co-plai't
1"/ -otio's
A's1er
)otio's for %olu'tar, or i'%olu'tar, (is-issal
Rule 17 &che(uli'* Co'fere'ce a'( or(er
Disco%er,
)otio's to a-e'(
&ettle-e't (iscussio'
)otio's for su--ar, 6u(*-e't
Rule 17 Pretrial Co'fere'ce
Trial
)otio's for (irecte( %er(ictN6u(*-e't as a -atter of la1
Ver(ict
E'tr, of 6u(*-e't
)otio's for 6u(*-e't '.o.%N6u(*-e't as a -atter of la1
Notio's for 'e1 trial
Volu'tar, Dis-issal
U'less court or(ers other1ise, (is-issal 1ithout pre6u(ice
I'%olu'tar, Dis-issal
I'%olu'tar, (is-issals ha%e a Res Bu(icata effect
Dis-issal for lac0 of su/6ect -atter 6uris(ictio', perso'al 6uris(ictio', %e'ue, or failure to
6oi' a 'ecessar, part, (o 'ot ha%e a res 6u(icata effect
Directe( Ver(ict 3Bu(*-e't as a -atter of la14
Directe( %er(ict a'( BNOV are li0e su--ar, 6u(*-e't -otio's. As0, are their
fact (isputes, a'(, if 'ot, is the e%i(e'ce le*all, sufficie'tC
Co'si(er e%i(e'ce i' li*ht -ost fa%ora/le to 'o'9-o%i'* part,.
Khere there is 'o 6ur,, co'si(er /oth the pro(uctio' /ur(e' a'( the persuasio'
/ur(e'. Bu(*e ca' e'ter 6u(*-e't o' a' issue so lo'* as a part, has /ee' full,
hear( o' the issue.
U'(er Rule !, si'ce (uri'* the trial, -otio' for (irecte( %er(ict (oes'5t ha%e to /e
i' 1riti'*.
Bu(*-e't Not1ithsta'(i'* the Ver(ict 3BNOKNBu(*-e't as a -atter of la14
Bust li0e Directe( Ver(ict accept after 6ur, retur's a fi'(i'*.
Courts -a, allo1 6ur, to re'(er fi'(i'*s so that if the court is o%ertur'e(, there is a
6u(*-e't to fall /ac0 o'.
@ou ha%e to -o%e for (irecte( %er(ict i' or(er to Iualif, for BNOV.
o Co'stitutio'all, pro/le-atic 3se%e'th a-e'(-e't, 8'o fact trie( /, a 6ur,J -a, /e
re%isite(.4
o Le*al fictio', court is 'ot re%isiti'* 6ur, fi'(i'*, it is re%isiti'* its pre%ious
6u(*-e't.
7"
Ar*u-e'ts for Bu(*-e't as a )atter of La1
I'sufficie't e%i(e'ce to per-it reaso'a/le people to fi'( o'e 1a,.
#acts are i' a fo*. #i'(i'* o'e 1a, 1oul( /e 8-ere speculatio'.J
De-urer. Ke 0'o1 1hat happe'e(. Reaso'a/le people fi'( 'ot -eet le*al sta'(ar(.
E%i(e'ce is 'ot cre(i/le o' its face.
E%i(e'ce per-its t1o eIual /ut i'co'siste't i'fere'ces. >uess 1or0.
Defe'(a't ca' sa, e%i(e'ce -ust /e /elie%e(, either to (efeat plai'tiff5s clai- or
support affir-ati%e (efe'se.
)otio's for Ne1 Trial
Court ca' *ra't 'e1 trial o' all of the issues or o'l, so-e 3(a-a*es, for e2a-ple4.
Rule 5a$ o'l, or(er 'e1 trial for reaso's 'e1 trials ha%e pre%iousl, /ee' or(ere(.
o Note the prece(e'tial reaso'i'*. Li-its po1er of 6u(*es to co'trol 6uries.
"avoulareas v. 1ashington (ost
#acts$ Kashi'*to' Post pu/lishes article a/out Killia- Ta%oulareas. .ea(li'e
sa,s that he 8set upJ his so' i' a positio'. Defa-atio' clai-.
Plai'tiff5s /ur(e' 1as to pro%e that there 1as clear a'( co'%i'ci'* e%i(e'ce of
-alice. &ta'(ar( for pu/lic fi*ures is hi*her tha' for pu/lic fi*ure li0e
Ta%oulareas.
Bur, /ri'*s i' ruli'* for Ta%oulareas, /ut 'ot his so'. Ke 0'o1 fro- article that
this is /ecause 6ur, totall, -isu'(ersta'(s i'structio's.
Court o%ertur's i' a BNOV.
4ur- Instructions
&houl( 6u(*es *i%e 6uries a lot of *ui(a'ce or o'l, a littleC
Co--o' i' fe(eral courts for 6u(*es to co--e't o' the e%i(e'ce.
7otions to 5acate 4ud&%ent
Rule 7G is i'te'(e( /, rules to help e'sure that cases are (eci(e( o' their -erits. Ke
(o'5t 1a't people losi'* o' pure tech'icalities.
Other la'*ua*e of the rule li-ite( /, case la1 3see H!14.
Rule 7Ga 3fro- <ra'(o'4$ 8if fla1 lies i' tra'slatio' of ori*i'al -ea'i'* to the 6u(*-e't,
the' Rule 7Ga allo1s a correctio'+ if 6u(*-e't captures the ori*i'al -ea'i'* /ut is
i'fecte( /, error, parties -ust see0 a'other source of authorit, to correct.
0randon v. ;hicago 0oard of Educ.
#acts$ <ra'(o' files A-erica's 1ith Disa/ilities actio' a*ai'st the Chica*o <oar( of
E(ucatio'. .is attor'e,s, Paul Peters a'( Ba-es Reho e'ter a' appeara'ce a'( pro%i(e
their a((ress, /ut the Cler0 of the court *ets it 1ro'*, a'( se'(s -aili'*s to a (iffere't
Paul Peters5 la1 office. <ra'(o'5s cou'sel 'e%er recei%e( 'otice of t1o (iffere't status
heari'*s, a'( <ra'(o'5s case is (is-isse( for failure to appear. A ,ear passes. O'e ,ear
7F
a'( three (a,s after (is-issal, <ra'(o'5s attor'e, files a Rule 7G -otio' to %acate the
6u(*-e't.
Appeal of District Court ruli'* i' fa%or of Chica*o /oar( (e',i'* Rule 7G relief.
<ra'(o'5s attor'e, i'itiall, files u'(er Rule 7Ga, /ut cha'*es it to Rule 7G/7.
8I'heri't i' the structure of Rule 7G/ is the pri'ciple that the first three clauses a'( the
catchall clause are -utuall, e2clusi%e.
Rule 7G/1 applies to the attor'e,5s lac0 of (ili*e'ce a'( the error /, the Cler0.
U'(er Rule 7G/1, -otio' -ust /e -a(e 1ithi' o'e ,ear of the (ate the 6u(*-e't 1as
e'tere(.
District Court, 8if the rules -ea' a',thi'*; it -ea's that la1,ers -ust follo1 their
cases. The, ca''ot rel, o' the Bu(*e, the la1 cler0s or the courtroo- (eputies or the
Cler05s office. The, -ust follo1 their case.J
T-pes o 5erdicts
>e'eral %er(ict$ #i'( for plai'tiff or (efe'(a't, a'(, if plai'tiff, (a-a*es.
&pecial %er(ict$ 1ritte' fi'(i'*s of fact
>e'eral %er(ict Z a's1ers to i'terro*atories.
If ,ou5re a plai'tiff, ,ou -i*ht 1a't a *e'eral %er(ict, 1hich lea%es -ore roo- for
co-pro-ise
Biurcation and Triurcation
<ifurcatio' L &plitti'* case i'to t1o pote'tial trials, usuall, 1. lia/ilit, a'( causatio',
a'( ". (a-a*es.
Trifurcatio' L Three parts, usuall, 1. Causatio', ". lia/ilit,, a'( F. (a-a*es.
Rule H"/ is usuall, the authori:atio' for such 6u(icial (i%i(i'*.
Ar*u-e'ts i' fa%or$
o Efficie'c,
Deter-i'atio' of o'e portio' eli-i'ates 'ee( to *o further
Ki''i'* o' o'e portio' ofte' lea(s to settle-e't
o &eparati'* (a-a*es eli-i'ates o'e e-otio'al ele-e't fro- 6ur, co'si(eratio'
o Villiers article i' Colu-/ia <usi'ess La1 Re%ie1. U'itar, %. <ifurcate( trials
1. Khe' all ele-e'ts trie( to*ether, 6ur, -i*ht 'ot ha%e fou'( lia/ilit,,
/ut i'stea( co-pro-ises o' (a-a*es.
". &o-eti-es, 1he' /ifurcate(, 6ur, 1o'5t fi'( lia/ilit, /ecause the,
ca'5t co-pro-ise o' (a-a*es, 1hich is 'ot /efore the- ,et.
F. O'ce plai'tiff i' /ifurcate( case 1i's o' first part of the trial, the,
so-eti-es *et hi*her (a-a*es, /ecause 'o co-pro-ise.
o Villiers ar*ues, e'coura*e plai'tiffs to file suit 1here e%i(e'ce of lia/ilit, is
stro'*, a'( (iscoura*e -ar*i'al cases.
Cou'ter9ar*u-e'ts
o Depri%e plai'tiffs of le*iti-ate ri*ht to place /efore 6ur, circu-sta'ces a'(
at-osphere
o Co'siste'c, of results 3(iffere't if /ifurcate( or u'itar,4.
o .as a'ti9plai'tiff effect.
Trifurcatio' fairl, co--o' i' -ass9tort liti*atio', less co--o' i' ru'9of9the9-ill car
acci(e't cases.
7H
Re%ittitur and Additur
Re-ittitur$ Either plai'tiff accept re(uce( (a-a*es, or court 1ill or(er a 'e1
trial.
A((itur$ Either (efe'(a't 1ill accept i'crease( (a-a*es, or court 1ill or(er a
'e1 trial
&upre-e Court has (eci(e( a((itur is u'co'stitutio'al is Dimic% v. Schiedt
3althou*h i' "ull v. ?nited States has i'(icate( &upre-e court -a, rethi'04.
&e%e'th a-e'(-e't, ,ou ca'5t re%isit facts fou'( /, a 6ur,.
o Disti'*uishe( re-ittitur /ecause
E%i(e'ce of re-ittitur i' 1!1.
Re-ittitur, ,ou5re 6ust re(uci'* (a-a*es the 6ur, has fou'(. If
6ur, a*rees to U (a-a*es, 1ill certai'l, a*ree to a re(uce(
a-ou't.
A((itur ca' /e a' optio' i' state courts.
If plai'tiff refuses to re-itt, Court -a, or(er a 1hole 'e1 trial, or /ifurcate a'(
o'l, or(er 'e1 trial o' the (a-a*es.
Co'si(er 1hether to re-itt to 1. least a-ou't possi/le that 1ill /ri'* %er(ict i'to
ra'*e 6u(*e /elie%es per-issi/le+ ". a-ou't 6u(*e /elie%es is reaso'a/le+ F.
*reatest a-ou't possi/le *i%e' the e%i(e'ce.
5. P!%ing fr t+e Litig!tin Pr$e''" Attrne%' =ee' !nd t+e /$nmi$' f Ci*il
Litig!tin
Attor'e,5s fees are a' e'or-ous e2pe'se a'( e'or-ous su/plot u'(erl,i'* liti*atio'+
attor'e,s fees are reall, co'si(ere( i' e%er, le*al calculatio' -a(e i' (eci(i'* 1hether
to sue etc.
H part proce(ural fra-e1or0 1ith fee shifti'*$
RULE 7O
5H3D4
"OU&C 1"G
H" U&C 1OO
Ru#e )D=Oer o 4ud&%ent
If a (efe'(a't -a0es a' offer of 6u(*-e't, if plai'tiff (oes 'ot accept that offer a'( the'
plai'tiff 1i's that a-ou't or less at trial, the' the plai'tiff has to pa, the costs of
liti*atio' after the offer 1as -a(e
99this is rarel, -a(e;1here ,ou settle /ut the 6u(*-e't is e'tere( a*ai'st the
(efe'(a't 'o'etheless
7are$ " C6esne- 3P.1"14Athe u'(erl,i'* case 1as a ci%il ri*hts la1suit fro- police
-ista0e'l, shooti'* plai'tiff5s so'
The (efe'(a'ts -a(e a' offer for 1GG,GGG;P re6ects a'( at trial *ets o'l, 7G,GGG
75
99after trial the P *oes to court for their attor'e,s fees
99court sa,s that attor'e,s fees are i'clu(e( i' the offer of 6u(*-e't for the
attor'e,s fees fro- /efore the offer of 6u(*-e't is -a(e;/ut if the, collect less
tha' offer of 6u(*-e't, 'o'e of the fees the, i'cur after the offer of 6u(*-e't is
-a(e 1ill /e pai( for.
So i -ou incur A<<1<<< 'eore t6e oer o !ud&%ent %ade '- ot6er side and t6en
:<<1<<< ater
22-ou 9i## on#- co##ect t6e A<<1<<< i -ou 9in and co##ect #ess t6an t6e
oer o !ud&%ent 6ad set out
99u'(er #RCP, o'l, the part, (efe'(i'* a*ai'st a clai- ca' -a0e a' offer of
6u(*-e't
Ru#e *:+d,22Costs1 Attorne-s> Fees
+0, Costs Ot6er t6an Attorne-s> Fees
8E2cept 1he' e2press pro%isio' therefore is -a(e either i' a statute of the U'ite( &tates
or i' these rules, costs other tha' attor'e,5s fees shall /e allo1e( as opf course to the
pre%aili'* part, u'less the court other1ise (irects+ /ut costs a*ai'st the U&, its officers,
a'( a*e'cies shall /e i-pose( o'l, to the e2te't per-itte( /, the la1.J
+@, Attorne->s Fees
3A4 Clai-s for attor'e,s5 fees;.shall /e -a(e /, -otio' u'less su/sta'ti%e la1
*o%er'i'* the actio' pro%i(es for the reco%er, of such fees as a' ele-e't of (a-a*es to
/e pro%e( at trial.
3<4 1H (a,s to /ri'* -otio'+ -ust specific, 6u(*-e't a'( the statute, rule, or other
*rou'(s e'titli'* -o%i'* part, to the a1ar(
3C4 O' reIuest the a(%ersar, shall ha%e opportu'it, to su/-it stuff 1ith respect to the
-otio' for attor'e,s fees
3D4 Bu(*e ca' /, local rule esta/lish special proce(ures /, 1hich issues relati'* to such
fees -a, /e resol%e( 1ithout e2te'si%e e%i(e'tiar, heari'*s.
Attor'e,5s #ees i'clu(e the 1or0 attor'e, (oes+ attor'e,s rate is (eter-i'e( /, their
e2perie'ce, a'( ho1 -uch -o'e, ,our ,earl, salar, is
99all ,our e2pe'ses as a la1,er are usuall, calculate( i'to ,our attor'e,s fees
T-pes o pa-%ent
99hourl,
99co'ti'*e'c,A,ou ta0e a [ of the (a-a*es;if ,our clie't loses ,ou *et 'o
-o'e,
99,ou *et part [ of the settle-e't as 1ell;,ou5re -ore li0el, to settle i'
-a', 1a,s 1ith co'ti'*e'c, /ecause ,ou (o'5t 1a't to ris0 *etti'*
'othi'*. CONTIN>ENC@ O#TEN INCENTIVIYE& &ETTLE)ENT
99&alar,Ahours (o'5t -atter+ this is ofte' use( for i'house cou'sel
99fi2e( fees for specific ser%ices
99pro /o'o
77
99retai'erApa, -e T1G,GGG as a retai'er;the' I 1or0 for ,ou up to the poi't
1here -, ser%ices eIual 1G,GGG (ollars 1orth of la/or /ase( o' hourl, 1a*e;
o'ce 1G,GGG (ollars li-it is reache(, 1e -ust create a 'e1 retai'er a*ree-e't
.o1 it5s (o'eAthe -echa'is-$
Duri'* the case the la1,er is trac0i'* their hours. Khe' liti*atio' is o%er, the attor'e,
a((s all the hours up a'( -ultiplies /, hourl, rate
99the' the la1,er files fee petitio' to the court as0i'* other si(e to pa, its fees
3ofte' file a /rief 1ith this e2plai'i'* 1h, the plai'tiff is a pre%aili'* part, a'(
1h, ,our fees are the a-ou't the, are4
3odestar: it5s 6ust the hours e2pe'(e( -ultiplie( /, the hourl, rate
99the lo(estar 1ill the' /e a(6uste( up1ar( or (o1'1ar( /, the court+ attor'e,s
ca' ar*ue the lo(estar shoul( /e e'ha'ce( /ase( o' certai' factors 3ho1 har( it is
to *et a' attor'e, to tr, this t,pe of case, ho1 (ifficult the 1or0 1as etc.+ (i( thi
1or0 preclu(e ,ou fro- (oi'* a', other 1or04
A%erican Ru#e: ;enera##-1 3osin& part- does not pa- t6e pre"ai#in& part->s #e&a#
ees
99the %alue that u'(erlies that is 1e 1a't poor people to /e a/le to liti*ate 1ithout
fear of ha%i'* to pa, ,our a(%ersar,5s fees
99if ,ou5re tr,i'* to cha'*e or e2te'( the la1 a'( puruse i''o%ati%e suits+ if there
is the ris0 i' losi'* ,ou 1ill ha%e to pa, the a(%ersar, , there are less li0el, to /e
i''o%ati%e suits. A)ERICAN RULE ALLOK& DEVELOP)ENT O# LAK <@
ALLOKIN> #OR INNOVATIVE &UIT&
Criti?ues o t6e A%erican Ru#eP W6at>s ;ood A'out En&#is6 S-ste%:
99less li0el, to ha%e fri%olous clai-s /ecause those /ri'*i'* the- 1ill thi'0 t1ice
99(efe'(a'ts -a,/e so-eti-es (eser%e to /e co-pe'sate( for the hassle the, 1ere put
throu*h i' (efe'(i'* the-sel%es
#ee9&hifti'* &tatutes$
I' certai' circu-sta'ces it is (eclare( /, statute 1e force the losi'* si(e to pa, the
pre%aili'* part, it>s e(ception to A%erican Ru#e
:@ USC Q 0GDD+', and +c, +Proceedin&s in "indication o ci"i# ri&6ts,
&i-pl, putAplai'tiff ca' 1i' attor'e,5s fees if the, pre%ail 1hich other si(e 1ill pa,
for.
99these fee9shifts are 'ot -a'(ator, i' these cases ho1e%er+ the 6u(*e ca' i' its
(iscretio' a1ar( -a'(ator, attor'e,s fees
+', I' a', actio' see0i'* to e'force 1O1, 1O13a4, 1O", 1OF, 1O5, a'( 1O7;so-e
other stuff a'( TITLE VI O# CIVIL RI>.T& ACT O# 17H=)O&T I)PORTANTD
7!
99The court -a, =AT IT& DI&CRETIOND allo1 pre%aili'* part,, other tha'
U'ite( &tates, a reaso'a/le attor'e,5s fee as part of the costs.
99e2ceptio'$ i' a', actio' /rou*ht a*ai'st a 6u(icial officer for act or o-issio'
ta0e' i' such officer5s 6u(icial capacit,, the officer is 'ot lia/le for a', costs
u'less the, 1ere clearl, i' e2cess of their 6uris(ictio' i' acti'*.
+c, e2pert feesAe2pert fees ca' /e i'clu(e( i' attor'e, fees to e'force 1O1 or 1O1a
Polic, Poi'ts o' R1OO
99it>s pro=p#ainti$ if plai'tiff 1i's the (efe'(a't pa,s, /ut if plai'tiff loses, each si(e
6ust pa,s its o1' fees+ so the (efe'(a't 1ill reall, 'e%er *et pai( /, the plai'tiff.
99is'5t this /iase( to1ar( the plai'tiff$ pri%ate attor'e, *e'eral
ar*u-e't -a', of these clai-s are for the *oo( of societ,, plai'tiff is
ofte' acti'* o' /ehalf of a lar*e *roup of people, thus perhaps the, are
actuall, (oi'* 1hat a' attor'e, *e'eral (oes /, sui'* to e'force the la1s+
the fee shift *i%es the pri%ate plai'tiff the opportu'it, to e'force our
societ,5s la1s. If 1e (i('5t ha%e fee shifti'*, 1e 1oul('5t ha%e certai'
t,pes of pri%ate plai'tiff suits achie%i'* this e'(
@D USC Q 0G@<=Ta(ation o Costs
A 6u(*e or cler0 of a', court of the U& -a, ta2 as costs the follo1i'*$
314 #ees of the cler0 a'( -arshal+
3"4 #ees of the court reporter for all or a', part of the ste'o*raphic tra'script
'ecessaril, o/tai'e( for use i' the case+
3F4#ees a'( (is/urse-e'ts for pri'ti'* a'( 1it'esses
3H4 #ees for e2e-plificatio' a'( copies of papers 'ecessaril, o/tai'e( for use i'
the case
354 Doc0et fees u'(er sectio' 1"F of this title
+), Co%pensation o court appointed e(perts1 co%pensation o interpreters1
and sa#aries1 ees1 e(penses1 and costs o specia# interpretation ser"ices under
section 0D@D o t6is tit#e
CIT/ OF RI5ERSIDE 5 RI5ERA=p.0A0
SCOTUS1 0GD)
A couple of rece't la1 school *ra(uates ta0e o' this case a*ai'st a police (epart-e't.
The, are co-plete 'o%ices 1he' the, /ri'* suit. It5s a Q0GDD suit so the, are e'title( to
fee9shifte( attor'e,5s fees.
The, sou*ht a lot of thi'*s, /ut 1i'( up 1i''i'* 6ust K0A1<<< o' fe(eral clai-, a'(
K@<1<<< o' state clai- =so 'ot successful e%e' o' -a', of their clai-s i' courtD
99the, (i('5t *et i'6u'cti%e relief the, sou*ht for e2a-ple
The', i' fees the, see0 K@:*1<<< 3/ase( o' the lo(estar4
Khat sta'(ar( of re%ie1 (oes the court ta0e$
7O
99(efere'tial to appeals court+ 8clearl, erro'eousJ sta'(ar(+ if there is 'ot clear
error /, District Court the, 1o'5t re%erse
The court re6ects the ar*u-e't fro- tort co'ti'*e'c, that the attor'e,s fee shoul( /e
proportio'ate to the (a-a*es
99court re6ects propose( proportio'alit, approach /ecause T.I& I& NOT LIEE A
PRIVATE TORT &UIT <ECAU&E CIVIL RI>.T& PLAINTI## &EEE& TO
VINDICATE I)PORTANT CIVIL AND CON&TITUTIONAL RI>.T& T.AT
CANNOT <E VALUED &OLEL@ IN )ONETAR@ TER)&
999e 9ant incenti"es or #a9-ers to ta$e t6ese cases+ if the la1,er 0'o1s there
1o't /e /i* (a-a*es i' a case a'( 0'o1 that their fee is co'ti'*e't o' the si:e of
the (a-a*es, the, are less li0el, to ta0e the case that totall, u'(er-i'es the
poi't of Co'*ress5 e'acti'* R1OO.
<UR>ER DI&&ENT$ This is le*al 'o'se'se to fi2 the attor'e,5s fees at this hi*h 1he'
the reco%er, 1as for so lo1 a' a-ou't
DI&&ENT$ RE.N?UI&T
These la1,ers (i( a crapp, 6o/;.
1! of the people accuse( 1ere (is-isse( throu*h su--ar, 6u(*-e't;respo'(e'ts also
(roppe( their ori*i'al alle*atio' that the police ha( acte( 1ith (iscri-i'ator, i'te't.
It shoul('5t ta0e this -a', hours to 1i' this little -o'e,
>. ?ue'tining !nd 3!ming t+e Current S%'tem" 0' t+ere ! Litig!tin Cri'i'@
Pro/le-s$ Dela, a'( cost of pretrial (isco%er,, a(%ersarial s,ste- pro-otes
'o'(isclosure, -a'ipulatio', 1i''er9ta0e all solutio's. Capacit, to (eal 1ith
-upltipart,, -ulticlai- suits i'%ol%i'* co-ple2 social a'( eco'o-ic pro/le-s.
David $uban. C$aw#ers and /ustice! n Ethical Stud#
Co'seIue'tialist Ar*u-e'ts for A(%ersar, &,ste-
The s,ste- is *oo( /ecause it helps us to achie%e other e'(s.
Truth$ <UT e-pirical Iuestio' 1e (o'5t ha%e the a's1er to.
Le*al Ri*hts$ <UT la1,ers usi'* la1 to *et 1hat the, 1a't, 'ot le*al ri*hts.
Ethical (i%isio' of la/or$ Chec0s a'( /ala'ces. The other si(e also has a :ealous
a(%ocate. There is a 'eutral ar/iter 36u(*e.4 <UT each si(e actuall, tr,i'* to *et
arou'( chec0s a'( /ala'ces.
No'9co'seIue'tialist
The s,ste- is i'here'tl, *oo(.
La1,er clie't relatio'ship$
o Pro%i(i'* ser%ice is i'tri'sicall, *oo(.
o )elli'0off$ Clie't is a 8-a'9i'9trou/le.J
7
o #rie($ La1,er is a 8special9purpose frie'(.J
o People i' the 1orl( 1ho 1ill help ,ou 1hate%er ,ou ha%e (o'e.
o <UT (o frie'(s help ,ou (o i--oral thi'*sC
.u-a' (i*'it,$ E%er, liti*a't a %oice i' the le*al process. <UT (o'5t ,ou ha%e a
%oice i' other s,ste-sC
&ocial #a/ric$ A(%ersar, s,ste- e-/e((e( i' the %er, fa/ric of societ,.
o <UT$ Not actuall, truste( /, societ,.
o <UT$ Actuall, a fairl, rece't i'%e'tio'.
Kest9>er-a' s,ste-
Bu(*es *ather the e%i(e'ce.
Bu(*es choose e2pert 1it'ess.
Ci%il la1 si-plifies le*al research.
No 6ur, i' ci%il trials
Procee(i'*s are less for-al
La1,ers o1e alle*ia'ce to court process a'( 'ot i'%ol%e( 1ith 1it'esses. 3'o
practici'* 1ith 1it'esses for trial4.
La1,ers recei%e sa-e a-ou't 1hether the, 1o' or lost.
Court (eci(es 1ho *ets fu'(i'* for le*al ai(. 3Kee( out cases 1ithout -erit4.
Le*al e(ucatio', ,ou5re 'ot /ei'* trai'e( to /e a' a(%ocate, /ut for a 6u(*e.
Co'fere'ce for the purpose of iro'i'* out the issues.
La1,ers a'( 6u(*es ha%e closer relatio'ships.
$on ,uller. C"he ,orms and $imits of d7udication.D
Pol,ce'tric Tas0$ Decisio's that i'%ol%e co-ple2, -ulti9ce'tere(, situatio's that
-a, ha%e -ultiple ra-ificatio's.
A(6u(icate( solutio' to pol,ce'tric pro/le-$
o A(6u(icate( solutio' -a, fail. U'e2pecte( repercussio's.
o Ar/iter i*'ores 6u(icial proprieties. 8Tries outJ solutio's. Co'sults parties
'ot at heari'*s. >uesses at facts 'ot pro%e(.
o Refor-ulate pro/le- so as to -a0e it a-e'a/le to solutio' throu*h
a(6u(icati%e proce(ures.
A(6u(icatio' ca' 1or0 1ell i' pol,ce'tric tas0s, e.*. co'tractsNfree -ar0et.
bram ;ha#es. C"he -ole of the /udge in (ublic $aw $itigation.D
La1suit tra(itio'all,$ /ipolar, retrospectice, ri*h a'( re-e(, i'ter(epe'(e't, self9
co'tai'e(, part,9i'itiate( a'( part,9co'trole(.
Pu/lic la1 liti*atio'$ a((s parties, i'ceases i-porta'ce of eIuita/le relief, -a0es
fact9fi'(i'* prospecti%eNle*islati%e rather tha' retrospecti%e, /, issui'* (ecrees,
6u(*e /eco-es polic9pla''er a'( -a'a*er.
!G
Too -uch liti*atio'C Ee, facts o' 5"G95"1.
A. Altern!ti*e #i'pute Re'lutin
Ru#e 0) Pretria# ConerencesC Sc6edu#in&C 7ana&e%ent
17a Court -a, (irect attor'e,s to -eet for e2pe(itio'ar, purposes, i'clu(i'* facilitati'*
sett#e%ent discussions.
17/ Court 1ill create a sche(ule li-iti'* ti-e for acti%ities.
17c Lists topics for co'si(eratio' at pretrial co'fere'ces.
17( #i'al pretrial co'fere'ce. #or-ulate a pla' for the trial.
17e Pretrial Or(ers. After a pretrial co'fere'ce, the court 1ill e'ter a' or(er reciti'* the
actio' ta0e'.
17f &a'ctio's. @ou ca' /e sa'ctio'e( for %iolati'* pretrial or(ers, or if ,ou (o'5t sho1
up or are'5t prepare( for pretrial co'fere'ces.
A#ternate Dispute Reso#ution
"#pes of D-
rbitration$ Neutral (ecisio'9-a0er -a0es fi'al, 'indin&, 'o'appeala/le
6u(*-e't /ase( o' prese'tatio's of the parties.
o Ca' /e i'for-al or -irror court roo-.
o Rela2e( rules of e%i(e'ce a'( proce(ure.
Mediation$ Neutral actor facilitates a' a*ree-e't 'e*otiate( /et1ee' (isputa'ts.
o Non2'indin&.
o #acilitati%e$ -e(iator 1or0s to i-pro%e co--u'icatio' a'( *e'erate
optio's i' or(er to fi'( -utual solutio'.
o E%aluati%e$ -e(iator offers esti-ate of 1hat 1oul( happe' if the (ispute
e'(s up /efore a 6u(*e.
Summar# 7ur# trial$ &uper%ise( %olu'tar, a'( non'indin& settle-e't process
offeri'* each si(e the cha'ce to prese't case to 6ur,.
"rial before a 7udge$ &i-ilar to a/o%e -i'us the 6ur,.
;ase&screening conference$ elicit facts a'( (etails of case to -atch 1ith particular
(ispute process a'( 'eutral thir(9part, to assist i' resolutio'.
dvantages to D-
<uil( trust /et1ee' the parties, si'ce less a(%ersarial.
Less ti-e a'( e2pe'se, *reater fle2i/ilit,.
Creati%e solutio's such as re'e*otiati'* e'tire co'tract.
Pro-otes part, co'trol, self9(eter-i'atio', a'( satisfactio'.
!1
Disadvantages to D-
Does 'ot *uar( a*ai'st the i-/ala'ces i' po1er, /ecause of *reater i'for-alit,.
Veils pu/lic i-plicatio's of pri%ate settle-e'ts.
Derails collecti%e actio' liti*atio' ca' -o/ili:e.
U'(er-i'es ri*hts a'( 6ustice 1here parties lac0 full auto'o-,.
I' practice (oes 'ot al1a,s sa%e ti-e a'( -o'e,.
Pressure parties i'to accepti'* settle-e'ts that reflect a*e'(as of the -e(iator, or
the part, 1ith -ore political or eco'o-ic po1er.
I5. PERSONA3 4URISDICTION
>e'eral Poi'ts$
Court auto-aticall, has perso'al 6uris(ictio' o%er the plai'tiff /ecause the plai'tiff, /,
/ri'*i'* suit i' the court, has chose' to su/6ect hi-self to that court5s 6uris(ictio'.
If the (efe'(a't sho1s up at court a'( a's1ers the clai- 1ithout raisi'* a -otio' to
(is-iss for lac0 of perso'al 6uris(ictio' 30@+',+@,4;the' (efe'(a't is also su/-itti'* to
the court5s 6uris(ictio'
Wai"er o %otion to dis%iss or persona# !urisdiction: If ,ou (o 'ot raise ,our 1"3/4
3"4 -otio' i' ,our i'itial a's1er, ,ou 1ai%e the ri*ht to raise it later o'. =Rule 1"3h4
fa%ore( a'( 'o'fa%ore( (efe'sesD
A. T6e Traditiona# 5ie9
PENNO/ER 5 NEFF=p.**: +needs 9or$,
SCOTUS +0DBB,
#acts$
&uit 1$ )itchell sue( Neff for attor'e, fees i' Ore*o'. Neff 'e%er respo'(e( 1hich
lea(s to (efault 6u(*-e't for )itchell, resulti'* i' the force( sale of Neff5s la'( i'
Ore*o' to satisf, the 6u(*-e't. Reaso' Neff 'e%er respo'(e( 1as that he 1as 'e%er
ser%e( 1ith process perso'all,+ i'stea( all the, (i( 1as pri't i' the 'e1spaper the 'otice
3constructi"e ser"ice4 1hich is li0el, 'e%er to /e see' /, hi- /ecause he is fro- outsi(e
the state a'( is li%i'* i' CA at the ti-e
&uit "$ Neff see0s to reco%er his la'( fro- Pe''o,er, the perso' 1ho /ou*ht it at he
sherrif5s sale, ,rs later;.%ali(it, of 1
st
6u(*-e't (eter-i'es 1hat 1ill happe' 1ith the
seco'( suit=this is 0'o1' as a co##atera# attac$A9Neff ar*ues that the sheriff sale 1as
%oi( /ecause ori*i'al 6u(*-e't 1as %oi( for lac0 of perso'al ser%ice o' Neff 3he ha(
lac0 of opportu'it, to (efe'( a'( court 'e%er ha( 6uris(ictio' o%er Neff4
!"
T6e Code o Ore&on pro%i(es for co'structi%e of this 0i'( ser%ice for 1he' a' actio' is
/rou*ht a*ai'st a 'o'9resi(e't a'( a/se't (efe'(a't, 1ho has propert, 1ithi' the state. It
also pro%i(es, 1here the actio' is for reco%er, of -o'e,, for the attach-e't of propert,
of a 'o'9resi(e't.
The propert, i' this case 1as 'ot attache(;thus it 1as 'ot i' a', 1a, /rou*ht u'(er the
6uris(ictio' of the court.
Pe''o,er theor, is a territorial theor,, -ea'i'* that the Ore*o' courts ha%e 6uris(ictio'
o'l, o%er the people a'( the la'( that5s 1ithi' the state. A',thi'* out of state ca'5t /e
reache( /, courts i' Ore*o'.
E%er, state has e2clusi%e 6uris(ictio' o%er thi'*s 1ithi' the state5s /or(ers
F 1a,s for a state to aIuire 6uris(ictio' o%er a 'o'9resi(e't$
1. in personam 7urisdictionAprocee(i'* a*ai'st the perso'99o/tai'e( /, perso'al
ser%ice i' Ore*o' or co'se't /, (efe'(a't
". in remAprocee(i'* a*ai'st the propert,A1hat are ri*hts of i'(i%i(uals 1ith
respect to the propert,
F. Fuasi in remAit5s a' actio' a*ai'st the perso', /ut ,ou are usi'* propert, as
/asis for 6uris(ictio' t6at>s 96at 9e 6a"e 6ere+ it5s a suit a*ai'st Neff as
perso', /ut the, are usi'* his Ore*o' propert, to o/tai' 6uris(ictio' o%er hi-.
Court5s /asis for e2ercisi'* 6uris(ictio' is attach-e't of propert,
99court assu-es ,ou 1ill fi'( out a/out the la1suit 1he' ,ou reali:e ,our
propert, is /ei'* ta0e';that5s the 'otice as a propert, o1'er e%e' if the,5re 'ot
prese't.
Court also (iscusses (ue process a'( 1H
th
a-e'(-e't$
99court (ra1s a (isti'ctio' /et1ee' perso'al 6uris(ictio' a'( (ue process;(ue
process ca' /e Iuestio'e( to (eter-i'e 1hether courts has the ri*ht to perso'al
6uris(ictio'
99ho1 (oes this relate
99people shoul('5t ha%e propert, sei:e( 1ithout a heari'*;thus ,ou 'ee(
to 0'o1 a/out the actio' to sei:e ,our propert,
991e (o'5t 1a't a court crossi'* its /or(ers to force so-eo'e to *o out of
state to (efe'( the-sel%es;.1e 1a't a proce(ure to /ri'* so-eo'e
/efore a court that is fair a'( 6ust
If the 'otice 1as actuall, perso'all, ser%e( process o' Neff i' Califor'ia 1oul( Court
rule (iffere'tl,
99the co'clusio' 1oul( /e the sa-e actuall,;/ecause it 'ee(e( Neff5s prese'ce
properl, /efore it.
If Neff is 'ot i' state;is there a',thi'* )itchell ca' (o to *et his -o'e, fro- Neff
!F
99Ore*o' court ca'5t reach Neff;/ut Neff5s la'( is still i' the state, so )itchell
coul( actuall, attach the la'(;.the' a 'otice *oes up o' the la'( ; the theor, is
that the ph,sical prese'ce of the propert, thus the' falls su/6ect to Ore*o' court5s
6uris(ictio'
99or he ca' sue i' Califor'ia, 1hich (oes ha%e perso'al 6uris(ictio' o%er Neff.
Result$ As lo'* as the propert, 1as attache(, the Ore*o' court 1oul( ha%e ha( proper
6uris(ictio' o%er Neff. .o1e%er, si'ce it 1as 'e%er attache(;the first 6u(*-e't a*ai'st
Neff is i'%ali( /ecause he 1as 'ot properl, ser%e(
HESS 5 PAW3OS.I=p. *):
SCOTUS +0G@B,
Ee, poi't$ /ecause of the ri*i( reIuire-e't set out /, (enno#er, 1e see other states
creati'* le*al fictio's arou'( these reIuire-e'ts. .ere, i'9state ser%ice occurs
tech'icall, /ecause of ser%ice upo' a re*istrar 1ho the' -ails the 'otice to the out of
state (efe'(a't. I' realit,, the ser%ice is occurri'* %ia -ail,
#acts$ Actio' /rou*ht /, plai'tiff to reco%er (a-a*es for perso'al i'6uries cause( /,
(efe'(a't i' car acci(e't that occurre( i' )assachusetts. Plai'tiff is )ass Resi(e't+
Defe'(a't PA resi(e't.
No perso'al ser%ice is -a(e o' the plai'tiff, a'( 'o propert, /elo'*i'* to hi- 1as
attache(.
)assachusetts Lo'* Ar- &tatuteAIf ,ou operate a -otor %ehicle i' the state the' the
court ca' ser%e process o' a re*istrar i' the state, 1ho the' -ails the 'otice to ,ou.
99u'(er la1 i' .ess he ca' /e sue( i' )assachusetts ,ou ha%e co'se'te( /,
(ri%i'* o' the hi*h1a,s to /e ser%e( i' state, a'( ,ou ha%e appoi'te( re*istrar as
Iualifie( to /e ser%e( o' ,our /ehalf /, (ri%i'* i' the state
99so tech'icall,, /, ser%i'* the re*istrar as ,our a*e't, the, are ser%i'* ,ou i'
state, the' the re*istar -ails ,ou the process a'( ,ou retur' a receipt. Clearl,
the real 'otice occurs %ia -ail;/ut that5s the le*al fictio' of this s,ste-.
Kh, this co'%olute( -etho(C
99/ecause the,5re creati'* 1a,s arou'( the Pe''o,er reIuire-e'tAit5s a le*al
fictio' 1here ,ou tech'icall, *et ser%e( i' state, e%e' thou*h reall, ,ou5re /ei'*
ser%e( /, the -ail out of state throu*h a -i((le-a' 3the re*istrar4
"13 S"E( <=F?<-Y!
#irst step$ is there statutor, authori:atio' for this 3is there lo'*9ar- statute4C
!H
99,es. )A LAK C.APTER GAthe lo'* ar- statute
&eco'( step, if ,es;is (ue process %iolate(C
99The' 1e as0, e%e' if statute e2ists, (oes the court ha%e 6uris(ictio' 'ot %iolati'*
(ue process 99 is e2ercise of 6uris(ictio' u'(er statute co'siste't 1ith (ue
processC
99court sa,s ,es here /ecause the proce(ure is such that the (efe'(a't 1ill
pro/a/l, actuall, recei%e 'otice
Issue$ Khether the )A statute co'tra%e'es the (ue process clause of 1H
th
a-e'(-e't
.ol(i'*$ It (oes 'ot /ecause the 1a, s,ste- is set up the out of state (efe'(a't 1ill
actuall, reci%e a'( receipt for 'otice of ser%ice a cop, of the process. The lo'*9ar-
statute 8-a0es 'o hostile (iscri-i'atio' a*ai'st 'o'resi(e'ts, /ut te'(s to put the- o'
the sa-e footi'* as resi(e'ts.J
HARRIS 5 BA3. R p. *)0
SCOTUS +0G<*,
#acts$ .arrisANC resi(e't+ he o1es <al0 T1OG <al0ANC resi(e't+ he o1es Epstei'
-ore tha' TFGG Epstei'A)D resi(e't
Epstei' ser%es .arris perso'all, i' )ar,la'( 1he' .arris is te-poraril, i' the state.
.arris (oes 'ot co'test this *ar'ishi'* process a'( pa,s Epstei' for the (e/t he i'itiall,
o1e( <al0. Khe' .arris *ets /ac0 to NC ho1e%er, <al0 sues hi- for the T1OG
Proce(ural Posture$
<al0 files suit i' North Caroli'a;tria# court enters !ud&%ent a&ainst Harris. The
*rou'( of such 6u(*-e't 1as that the )ar,la'( court o/tai'e( 'o 6uris(ictio' to attach or
*ar'ish the (e/t (ue fro- .arris to <al0, /ecause .arris 1as /ut te-poraril, i' the state
a'( the situs of the debt 1as i' North Caroli'a
&upre-e Court of NC Affir-e(
&COTU& re%erses
<i* Iuestio'$ Di( .arris pa, off his (e/t to <al0 /, su/-itti'* to the *ar'ish-e't i'
)ar,la'(C
To a's1er this Iuestio' 'ee( to 0'o1 if the 6u(*-e't i' )ar,la'( a*ai'st .arris 1as
%ali(C Did 7ar-#and 6a"e persona# !urisdiction o"er Harris ro% 6is te%porar-
presence in t6e stateS
!5
.OLDIN>A@es. Perso'al ser%ice i' )ar,la'( it tur's out 1as sufficie't to *i%e
)ar,la'( 6uris(ictio' o%er .arris.
99<al0 coul( sue .arris i' North Caroli'a;.or he coul( sue .arris 1hile he is i'
)ar,la'(, 6ust /, <al0 sho1i'* up a'( ser%i'* process o' .arris i' )ar,la'(. The' the
suit 1oul( occur i' )ar,la'( accor(i'* to )ar,la'( la1. Thus, si'ce <al0 coul( ha%e
sue( .arris i' )D 6ust /, perso'all, ser%i'* process o' hi- there, the' Epstei' ca' (o
the sa-e as the 8(e/tor of the pri'cipal (e/torJ throu*h this *ar'ish-e't process
authori:e( u'(er )D statute.
B. T6e 7odern Conception: 7ini%u% Contacts
INTERNATIONA3 SHOE CO. 5 STATE OF WASHIN;TON=p. *))
SCOTUS +0G:*,
Ee, Poi'ts$
Birt6 o 7ini%u% Contacts Test: Khere the D has -i'i-u- co'tacts i' the
6uris(ictio' the, are su/6ect to that 6uris(ictio' /ecause the, are e'6o,i'* the /e'efits a'(
protectio's of that state. Buris(ictio' is 'o lo'*er a /ri*ht li'e rule it is e2a-i'e( case /,
case to (eter-i'e 1hether the -i'i-u- co'tacts 1ere sufficie't to satisf, 6uris(ictio'.
Applied" It e2ists i' this case /ecause D5s i'9state acti%ities 81ere 'either irre*ular 'or
casual. The, 1ere s,ste-atic a'( co'ti'uous throu*hout the ,ears i' Iuestio'J a'(
accor(e( D 8the /e'efits a'( protectio' of the la1s of the state, i'clu(i'* the ri*ht to
resort to the courts for the e'force-e't of its ri*hts.J
Due ProcessFairnessJJ7ini%u% ContactsJ Q )ost fu'(a-e'tall, it -ea's
fair'essM Khere the (efe'(a't has -i'i-u- co'tacts 1ith the 6uris(ictio', it5s 'ot u'fair
to ha%e 6uris(ictio' o%er the-, as the, are e'6o,i'* the /e'efits a'( protectio's of the
6uris(ictio'.
#acts$ &tate of Kashi'*to' sue( I'ter'atio'al &hoe for their 'ot pa,i'* u'e-plo,-e't
co'tri/utio' for the e-plo,ees it has 1or0i'* i' Kashi'*to'
.o1 (i( i'ter'atio'al shoe structure its /usi'ess
99i'corporate( i' Dela1are
99/ase of operatio's i' &t. Louis
99the, ha( 11 to 1F sales-e' i' Kashi'*to';the, sho1 their pro(ucts /ut (o'5t
-a0e a', co'tracts..the, se'( the or(ers. The co--issio's fro- these sales-e'
for each ,ear totale( -ore tha' TF1,GGG
99the sales-e' o'l, carr, o'e shoe 1ith the- as sa-ple
99sales-e' o1' propert, 1hich is their o1'
99co-pa', has 'o propert, i' Kashi'*to' 3 so 'o i' re-4
99the, 1ere super%ise( strai*ht fro- the &t. Louis office
99the, shippe( the pro(uct (irectl, fro- 1arehouses to the i'(i%i(ual custo-ers
1ho place( or(ers
!7
I'ter'atio'al &hoe ar*ues$
99it (oes 'ot ha%e to pa, i'to this fu'( /ecause it (oes 'ot (o /usi'ess i'
Kashi'*to'.
99 To e2ercise 6uris(ictio' 1oul( /e a %iolatio' of the co-pa',5s (ue process
ri*hts.
99 It is a tre-e'(ous i'co'%e'ie'ce a'( a *reat /ur(e' o' the co-pa', that 1oul(
co'tra%e'e our a/ilities to ha%e to (efe'( a suit i' Kashi'*to'
99so-e isolate( acti%ities i' a state (o'5t create 6uris(ictio' for the court+
I'ter'atio'al &hoe is sa,i'* it (oes 'ot ha%e a 8prese'ceJ i' the state of
Kashi'*to'
&tate of Kashi'*to' Ar*u-e't$
99it 1oul( /e tre-e'(ousl, u'fair for the co-pa', to ta0e a(%a'ta*e of our la1s
1ithout /ei'* su/6ect to o/li*atio's of our state5s la1s
99this is closer to co'ti'uous s,ste- of co'tacts tha' isolate( casual prese'ce
The Court si(es 1ith the &tate of Kashi'*to'
T.E <IRT. O# )INI)U) CONTACT& ANAL@&I&$ 8The ter- Vprese't5 or
Vprese'ce5 are use( -erel, to s,-/oli:e those acti%ities of the corporatio'5s a*e't 1ithi'
the state 1hich courts 1ill (ee- to /e sufficie't to satisf, the (e-a'(s of (ue process.
Those (e-a'(s -a, /e -et /, suc6 contacts o t6e corporation 9it6 t6e state of the
foru- as to -a0e it reaso'a/le, i' the co'te2t of our fe(eral s,ste- of *o%er'-e't, to
reIuire the corporatio' to (efe'( the particular suit 1hich is /rou*ht there.J
)i'i-u- Co'tacts L E'6o,i'* <e'efits a'( O/li*atio's$ 8To the e2te't that a
corporatio' e2ercises the pri%ile*e of co'(ucti'* acti%ities 1ithi' a state, it e'6o,s the
/e'efits a'( protectio' of the la1s of that state. The e2ercise of that pri%ile*e -a, *i%e
rise to o/li*atio's+ a'(, so far as those o/li*atio's arise out of or are co''ecte( 1ith
acti%ities 1ithi' the state, a proce(ure 1hich reIuires the corporatio' to respo'( to a suit
/rou*ht to e'force the- ca', i' -ost i'sta'ces, har(l, /e sai( to /e u'(ue.J
Kh, (oes I'ter'atio'al &hoe ha%e -i'i-u- co'tactsC
99the acti%it, 1as co'ti'uous
99lar*e %olu-e of /i:
99i'ter'atio'al shoe coul( ha%e sou*ht a re-e(, for its /usi'ess i' Kashi'*to'A
it ha( Kashi'*to' courts a%aila/le to it+ if o'e of its e-plo,ees 1as u'e-plo,e(,
the, 1oul( collect fro- the Kashi'*to' &tate fu'(
99o/li*atio's sue( o' here arose out of acti%ities i' state of Kashi'*to'
I' short$ I'ter'atio'al &hoe esta/lishes the follo1i'*$ To e2ercise 6uris(ictio' o' the
'o'9resi(e't, the 'o'9resi(e't -ust ha%e$ %ini%u% contacts suc6 as t6e %aintenance
o t6e #a9suit 9i## not otend traditiona# notions o air p#a- and su'stantia# !ustice .
!!
3this co'cept 1ill e'( up *etti'* (i%i(e( up i'to 1. -i'i-u- co'tacts ". (ue process, /ut
'ot ,et4
99)INI)U) CONTACT& I& T.E CON&TITUTIONAL RULE;if there are
-i'i-u- co'tacts the' it (oes 'ot %iolate their (ue process to hale the- i'to
court i' the state 1here the, ha%e sai( co'tacts
.OLDIN>$ 8It is e%i(e't that these operatio's esta/lish sufficie't co'tacts or ties 1ith
the state of the foru- to -a0e it reaso'a/le a'( 6ust accor(i'* to our tra(itio'al
co'ceptio' of fair pla, a'( su/sta'tial 6ustice to per-it the state to e'force the
o/li*atio's 1hich appella't has i'curre( there.J
Notice Issues$
&er%ice (oes 'ot ha%e to ta0e place i' the state a',-ore after this ruli'*. It 6ust
has to *i%e reaso'a/le assura'ce that the (efe'(a't 1ill /e -a(e a1are of the
clai-s.
99&o ser%ice /, -ail is sufficie't.
99'otice alo'e (oes 'ot -eet (ue process reIuire-e't;still 'ee( to sho1 it
(oes'5t i-pose u'(ue /ur(e' etc. o' the out of state (efe'(a't
<lac0 Disse't$ #e( Co'stitutio' lea%es to each &tate, 1ithout a', 8ifsJ or 8/utsJ, a po1er
to ta2 a'( to ope' the (oors of its courts for its citi:e's to sue corporatio's 1hose a*e'ts
(o /usi'ess i' those &tates. .e /elie%es i' this &tate po1er so -uch, that he thi'0s it
shoul('5t /e co'(itio'al o' a',thi'*, certai'l, 'ot o' fair pla, or 1hat is 8co'%e'ie'tJ
for the corporatio'.
.0)0.U. CB)3AC3S #0SCUSS0B)" HBC 03 CBR6S
&o after I'ter'atio'al &hoe 1e ha%e a t9o2step approac6 to specific 6uris(ictio'$
1. Lo'* Ar- &tatuteAIs state court authori:e( to e2ert its 6uris(ictio'
". )i'i-u- Co'tactsAIf ,es, 1oul( e2ercise of 6uris(ictio' i' this case /e co'siste't
1ith (ue process
Speciic " ;enera# 4urisdiction:
;enera# 4urisdiction:
.o1 (oes a court *et *e'eral 6uris(ictio' for out of state perso'
99the, co'se't
99,our propert, is i' the state
99(o-icile i' for-er state ;if ,ou li%e i' 'e1 ,or0 ,ou ca' /e sue( for
so-ethi'* that happe'e( i' .a1aii;the acti%ities sue( for (o'5t ha%e to arise out
of co'(uct i' that state specificall,
@ou ca' /e sue( 1ithi' the 6uris(ictio' re*ar(less of ,our co'tacts.
!O
99or ,ou ha%e such s,ste-atic or co'ti'uous tra'sactio's i' the state ,ou ca' /e
sue( 1ithi' the foru-
99if Ni0e (oes e'ou*h /i: i' .a1aii, ,ou ca' sue the- for (efecti%e shoes
,ou actuall, /ou*ht i' Ne1 @or0
99Ni0e pro/a/l, ca' /e sue( i' a', state /ecause the, pro/a/l, (o a to' of
/usi'ess i' e%er, state
Speciic 4urisdiction: Buris(ictio' e2ists for the specific clai- i' Iuestio' /ut 'ot
'ecessaril, for other clai-s. Khere the D5s acti%ities fall short of *e'eral 6uris(ictio', the
-i'i-u- co'tacts a'al,sis of <nternational Shoe /eco-es i-porta't. I' those cases
courts 1orr, /oth a/out the e2te't of those co'tacts a'( a/out the relatio' /et1ee' those
co'tacts a'( the clai- o' 1hich P is sui'*. Buris(ictio' is li-ite( to co'tacts 1ithi' the
state. Court (oes 'ot hol( that Kashi'*to' has 6uris(ictio' o%er I'ter'atio'al &hoe for
a', case 6ust this specific case.
7ini%u% Contacts Dia&ra%:
3e"e# o
Acti"iti-:
Effects of Out9
of9&tate
Co'(uct #elt
Kithi' #oru-
&i'*le Act
Kithi' #oru-
)i(9Ra'*e of
Acti%ities
Kithi' #oru-
Co'ti'uous,
&,ste-atic W
&u/sta'tial
Acti%ities
Kithi' #oru-
Re#ation o
C#ai% to
Acti"it-:
O'l, Relate(
Clai-s
O'l, Relate(
Clai-s
O'l, Relate(
Clai-s
All Clai-s,
Relate( or Not
7C;EE 5 INTERNATIONA3 3IFE INSURANCE CO.=p. *BD+note,
#acts$ No' resi(e't (efe'(a't solicite( a rei'sura'ce a*ree-e't 1ith a resi(e't of
Califor'ia. The offer 1as accepte( i' CA, a'( the i'sura'ce pre-iu-s 1ere -aile( fro-
there u'til the i'sure(5s (eath.
Proce(ural$ Default 6u(*-e't e'tere( a*ai'st the Te2as Corporatio' fro- a suit /rou*ht
i' Califor'ia.
Te2as Court 1oul('5t e'force the Califor'ia 6u(*-e't
999sa, CA court lac0e( 6uris(ictio' o%er the (efe'(a't
The fact that the tra'sactio' reall, 1as co'su--ate( i' Califor'ia -atters
Polic, co'si(eratio'99Co'su-ers 1oul( /e at a /i* (isa(%a'ta*e if the, ha( to sue the
co-pa', at a (ista't state.
!
.ol(i'*$ Noti'* the i'terest Califor'ia has i' pro%i(i'* effecti%e re(ress for its resi(e'ts
1he' 'o'resi(e't i'surers refuse to pa, clai-s o' i'sura'ce the, ha%e solicite( i' that
&tate, the Court uphel( 6uris(ictio' /ecause the suit 1as /ase( o' a co'tract 1hich ha(
su/sta'tial co''ectio' 1ith that &tate.
HANSON 5 DENC.3A=p.*BB
SCOTUS1 0G*D
=ew 'loss on 0ntern!tin!l S+e!
Purposeu# A"ai#%entA 8It is esse'tial i' each case that there /e so-e act /, 1hich the
(efe'(a't purposeu##- a"ai#s itse# o t6e pri"i#e&e o conductin& acti"ities 9it6in t6e
oru% State, thus i'%o0i'* the /e'efits a'( protectio's of its la1s.J
Uni#atera# Acti"it-= 8Uni#atera# acti"it- o t6ose 96o c#ai% so%e re#ations6ip 9it6
a nonresident deendant cannot satis- re?uire%ent o contact 9it6 t6e oru%
state.J
#acts$ Khile resi(i'* i' PA, Dora Do''er esta/lishe( a trust 1ith Kil-i'*to' Trust Co.
of Dela1are as trustee. &he retai'e( the ri*ht o recei%e the i'co-e u'til her (eath a'( to
(esi*'ate the /e'eficiaries 1ho 1oul( ulti-atel, *et the su/sta'tial assets. Do''er later
-o%e( to #lori(a, 1here she (esi*'ate( the chil(re' of o'e of her three (au*hters to
recei%e THGG,GGG fro- the trust upo' her (eath. &he (ie( a resi(e't of #lori(a.
Proce(ural$
The t1o (au*hters 1hose chil(re' 1ere 'ot pro%i(e for file( suit i' #lori(a
Trial Court e2ercise( 6uris(ictio' o%er the Dela1are trustee a'( i'%ali(ate( the trust o'
tech'ical *rou'(s.
Khe' Dau*hters see0 to e'force this (ecree a*ai'st the trustee i' Dela1are, the courts of
that state rule( it 1as 'ot e'title( to full faith a'( cre(it /ecause the #L ct ha( 'either in
personam 'or in rem 6uris(ictio'.
&COTU& a*rees 1ith Dela1are Court
.ol(i'*$ &COTU& #OUND IN&U##ICIENT CONTACT& /ecause the o'l, co'tact
/et1ee' the Trustee i' Dela1are a'( #lori(a 1as that )s. Do''er (eci(e( to -o%e to
#lori(a.
99the cause of actio' (oes 'ot arise out of a' act co'su--ate( i' #L 3u'li0e
)c>ee4
99the corporatio'5s co'tact 1ith #lori(a 1as i'%olu'tar,Athe u'ilateral acti%it,
/, )s. Do''er of -o%i'* to #L ca''ot satisf, the -i'i-u- co'tacts
reIuire-e't+ her -o%i'* to #L (oes 'ot (ra* the co-pa', alo'* 1ith her.
C. 7ini%u% Contacts and Purposeu# A"ai#%ent
OG
WOR3DWISE 5O3.SWA;EN CORP 5 WOODSON=p. *BG
SCOTUS1 0GD<
I)PORTANT POINT&$
,oreseeabilit# alone is not enough !
8/et Toreseea'i#it-> a#one 6as ne"er 'een a suicient 'enc6%ar$ or persona#
!urisdiction under t6e Due Process C#auseJ
8<ut the foreseea/ilit, that is critical to (ue process a'al,sis is 'ot -ere li0elihoo( that a
pro(uct 1ill fi'( its 1a, i'to the foru- &tate. Rather, it is that the (efe'(a't5s co'(uct
a'( co''ectio' 1ith the foru- &tate are such that 6e s6ou#d reasona'#- anticipate
'ein& 6a#ed into court t6ere.J
8I oreseea'#it- 9ere t6e criterionHE"er- se##er o c6atte#s 9ou#d in eect appoint
t6e c6atte# 6is a&ent or ser"ice o process. .is a-e'a/ilit, to suit 1oul( tra%el 1ith
the chattelJ
Stream of commerce!
Disse'tA<re''a'$ 8The sale of a' auto-o/ile (oes purposeu##- in!ect t6e "e6ic#e into
t6e strea% o interstate co%%erce so that it ca' tra%el to (ista't states.J
#ACT&$ Ro/i'so' purchase( a 'e1 Au(i fro- petitio'er &ea Vol0s1a*o' i' )asse'a
N@ i' 1!7. The follo1i'* ,ear the Ro/i'so' fa-il, 1as (ri%i'* to Ari:o'a a'( as the,
passe( throu*h O0laho-a a'other car struc0 their Au(i i' the rear, causi'* a fire 1hich
se%erel, /ur'e( Ea, Ro/i'so' a'( her t1o chil(re'
Korl( Ki(e is i'corporate( a'( has /usi'ess office i' Ne1 @or0. It (istri/utes %ehicles,
parts, a'( accessories, u'(er co'tract 1ith VK, to retail (ealers i' Ne1 @or0, NB, a'(
Co''ecticut.
&ea1a,, o'e of those retail (ealers, is i'corporate( a'( has its place of /usi'ess i' Ne1
@or0. &ea1a, a'( Korl(91i(e are full, i'(epe'(e't corporatio's 1hose relatio's 1ith
each other a'( 1ith VK a'( AUDI are co'tractual o'l,.
No e%i(e'ce that Korl(1i(e or &ea1a, (oes a', /usi'ess i' O0laho-a, ships or sells
a', pro(ucts to or i' that &tate, has a' a*e't to recei%e process there, or purchase
a(%ertise-e'ts i' a', -e(ia calculate( to reach O0laho-a.
I&&UE$ Khether, co'siste'tl, 1ith the Due Process Clause of 1H
th
a-e'(-e't, a'
O0laho-a court -a, e2ercise i' perso'a- 6uris(ictio' o%er a 'o'resi(e't auto-o/ile
retailer a'( its 1holesale (istri/utor i' a pro(ucts9lia/ilit, actio', 1he' the (efe'(a'ts5
o'l, co''ectio' 1ith O0laho-a is the fact that a' auto-o/ile sol( i' Ne1 @or0 to Ne1
@or0 resi(e'ts /eca-e i'%ol%e( i' a' acci(e't i' O0laho-a.
O1
.OLDIN>99 the fortuitous circu-sta'ce that a si'*le Au(i auto-o/ile, sol( i' Ne1
@or0 to Ne1 @or0 resi(e'ts, happe'e( to suffer a' acci(e't 1hile passi'* throu*h
O0laho-a.
99&ure it -i*ht /e foreseea/le that this Au(i coul( e'( up i' O0laho-a, /ut
8forseea/ilit,J alo'e has 'e%er /ee' a sufficie't /e'ch-ar0 for perso'al
6uris(ictio' u'(er the Due Process Clause.
)i'i-u- co'tacts has t1o fu'ctio's$
199it protects the (efe'(a't a*ai'st the /ur(e's of liti*ati'* i' (ista't foru-
"99it acts to e'sure that the &tates throu*h their courts, (o 'ot reach out /e,o'(
the li-its i-pose( o' the- /, their status as coeIual so%erei*'s i' fe(eral s,ste-
O' the /ur(e's of liti*atio' i' (ista't a'( i'co'%e'ie't foru-$
99(escri/e( i' ter-s of 8reaso'a/le'essJ or 8fair'essJ 1hich -ea's that the (ef5s
contacts 9it6 t6e oru% state %ust 'e suc6 t6at %aintenance o t6e suit Idoes
not oend Ttraditiona# notions o air p#a- and su'stantia# !ustice>
#AIRNE&& #ACTOR& ARE &EPARATED OUT A& &EPARATE ANAL@&I& K.IC.
DIDN5T .APPEN IN INTERNATIONAL &.OE 99there 1ill /e co'si(eratio' of the
/ur(e' place( o' (efe'(a't, a court 1ill also co'si(er other factors such as
22the foru- &tate5s i'terest i' a(6u(icati'* the (ispute state has i'terest
i' protecti'* its o1' citi:e's
29plai'tiff5s i'terest i' o/tai'i'* co'%e'ie't a'( effecti%e relief
29the i'terstate 6u(icial s,ste-5s i'terest i' o/tai'i'* the -ost efficie't
resolutio' of co'tro%ersies -ea'i'* all of the e%i(e'ce, 1it'esses etc
are i' O0laho-a so -a,/e it -i*ht /e -ost efficie't to resol%e there so
people (o'5t ha%e to fl, all o%er the cou'tr, to testif,
29share( i'terest of se%eral &tates i' furthereri'* fu'(a-e'tal su/sta'ti%e
social polices
Foreseea'i#it-: D ar*ues that /ecause a' auto-o/ile is -o/ile /, its %er, (esi*' a'(
purpose it 1as 8foreseea/leJ that the Ro/i'so's5 Au(i 1oul( cause i'6ur, i' OE. <ut,
the foreseea/ilit, that is critical to (ue process a'al,sis is 'ot the -ere li0elihoo( that a
pro(uct 1ill fi'( its 1a, i'to the foru- &tate. Rather, it is that the Ds co'(uct a'(
co''ectio' 1ith the foru- state are such that he shoul( reaso'a/l, a'ticipate /ei'* hale(
i'to court there. )ere foreseea/ilit, of the possi/ilit, of a suit i' forei*' 6uris(ictio's is
'ot e'ou*h.
99E2 A'te Effect: If foreseea/ilit, 1ere the criterio', e%er, seller of chattels
1oul( i' effect appoi't the chattel his a*e't for ser%ice of process. .is
a-e'a/ilit, to suit 1oul( tra%el 1ith the chattel.
Khat this approach pro%i(esApre(icta/ilit, i' for corporatio's$
99the, ca' cha'*e their actio's to alle%iate the ris0s of liti*atio'
O"
99let (efe'(a't structure co'(uct to protect itself or -i'i-i:e
ris0;
Strea% o Co%%erce: The foru- state (oes 'ot e2cee( its po1ers u'(er the Due
Process Clause if it asserts perso'al 6uris(ictio' o%er a corporatio' that (eli%ers its
pro(ucts i'to the strea- of co--erce 1ith the e2pectatio' that the, 1ill /e purchase( /,
co'su-ers i' the foru- state. .o1e%er, i' this i'sta'ce that is 'ot the case
99KKVK (i('5t sell cars i' O0laho-a+ the, (i('5t ser%ice cars there either
99the, 1ere'5t a(%ertisi'* their cars to /e sol( i' OE either
DI&&ENT$ <RENNAN
&u/sta'tial part of %alue of auto-o/ile is that ,ou ca' (ri%e it a',1here.
8&o-eo'e i' the /usi'ess of selli'* lar*e 'u-/ers of auto-o/iles ca' har(l,
plea( i*'ora'ce of their -o/ilit, or prete'( that the auto-o/iles sta, put after
the, are sol(.J
&trea- of co--erce$ 8The sale of a' auto-o/ile (oes purposeu##- in!ect t6e "e6ic#e
into t6e strea% o interstate co%%erce so that it ca' tra%el to (ista't states.J
#oru- state has stro'* i'terest i' the liti*atio'.
99all the e%i(e'ce, 1it'esses etc are i' OE
99Trial ca' procee( at least as efficie'tl, i' O0laho-a as a',1here else
Auto-o/ile sellers (eri%e /e'efit fro- the states$ 8A lar*e part of the %alue of
auto-o/iles is the e2te'si%e, 'atio'1i(e 'et1or0 of hi*h1a,s. &i*'ifica't portio's of
that 'et1or0 ha%e /ee' co'structe( /, a'( are -ai'tai'e( /, the i'(i%i(ual &tates,
i'clu(i'* O0laho-a.J
There are relate( (ealerships 1ith ser%ice (epart-e'ts that operate i' state of O0laho-a,
a'( this e'ha'ces the %alue of petitio'ers5 /usi'esses /, facilitati'* their custo-ers5
tra%eli'*.
DI&&ENT$ )AR&.ALL
99)a6orit, ta0es o%erl, 'arro1 %ie1 of petitio'ers5 foru- relate( co'(uct
99if it 1ere true that respo'(e't see0s to *et 6uris(ictio' /ase( o' o'e isolate(
i'ci(e't )arshall 1oul( a*ree, /ut reall, the /asis of assertio' of 6uris(ictio' is
'ot the happe'sta'ce that a' i'(i%i(ual o%er 1ho- petitio'er ha( 'o co'trol -a(e
a u'ilateral (ecisio' /ut rather !urisdiction is pre%ised on t6e de#i'erate and
purposeu# actions o t6e deendants t6e%se#"es in c6oosin& to 'eco%e part
o a nation9ide1 indeed &#o'a#1 net9or$ or %ar$etin& and ser"icin&
auto%o'i#es.
DI&&ENT$ <LACE)UN
OF
Nature of i'stru-e'talit, i-porta't to hi-.
99auto-o/ile is i'te'(e( for (ista'ce as 1ell as for tra'sportatio' 1ithi' a li-ite(
area
Li-its his positio' to auto-o/iles for the -o-e't;he 1ill (eal 1ith other
i'stru-e'talities as the, arise a'( i' their o1' co'te2ts.
CA3DER 5 4ONES
SCOTUS 0GD:=p.*G0
?uotes$
8Petitio'ers are 'ot char*e( 1ith -ere u'tar*ete( 'e*li*e'ce. Rather, their i'te'tio'al
a'( alle*e(l, tortuous actio's 1ere e2pressl, ai-e( at Califor'ia.J
#ACT&$ Bo'es /rou*ht suit i' Califor'ia &uperior Court clai-i'* that she ha( /ee'
li/ele( i' a' article 1ritte' a'( e(ite( /, petitio'ers i' #lori(a. The article 1as
pu/lishe( i' a 'atio'al -a*a:i'e 1ith a lar*e circulatio' i' Califor'ia. Petitio'ers 1ere
ser%e( 1ith process /, -ail i' #L a'( cause( special appeara'ces to /e e'tere( o' their
/ehalf, -o%i'* to Iuash the ser%ice of process for lac0 of perso'al 6uris(ictio'. 1"3/43"4
The co'tacts$ Petitio'er &outh is a #L resi(e't thou*h he freIue'tl, tra%els to Califor'ia
o' /usi'ess. .e (i( -ost of his research i' #lori(a, rel,i'* o' pho'e calls to sources i'
CA for the i'for-atio' co'tai'e( i' the article. Asi(e fro- his freIue't trips a'( pho'e
calls, &outh has 'o other rele%a't co'tacts 1ith Califor'ia. Petitio'er Cal(er is also a #L
resi(e't. .e has o'l, /ee' to CA t1ice, o'ce o' pleasure trip, a'( o'ce to testif, i' a'
u'relate( trial. Cal(er is pre:. A'( e(itor of the e'Iuirer.
.OLDIN>$ 8Buris(ictio' o%er petitio'ers i' CA is proper /ecause of their i'te'tio'al
co'(uct i' #L calculate( to cause i'6ur, to respo'(e't i' CA.J
Ar*u-e't for -i'i-u- co'tacts$
99all of the co'tacts a'( sources the, use( i' article 1ere i' Califor'ia+
99the, 0'e1 that the effects of the article 1oul( /e felt i' Califor'ia /ecause that5s 1here
-s. 6o'es resi(e(.
99The, also (istri/ute -ore -a*a:i'es i' Califor'ia tha' a', other state
99i' short south shoul( reasona'#- 6a"e anticipated t6at 6e cou#d 'e 6a#ed into court
Califor'ia
22Buris(ictio' is therefore proper i' Cali'for'ia /ase( o' the 8effectsJ of their #L co'(uct
i' Califor'ia
Khat5s the (iffere'ce /et1ee' Cal(er a'( Vol0s1a*e'
1he' ,ou 1rite a' article ,ou 0'o1 that the tar*et ,ou are (a-a*i'* is i'
Califor'ia /ecause it5s a/out a particular perso', 1hile i' Vol0s1a*e' ,ou (o'5t
0'o1 that a' acci(e't is *oi'* to happe' i' O0laho-a specificall,
(eli/eratel, causi'* har- i' a particular state %ersus a' acci(e't happe'i'* i' a
particular state throu*h happe'sta'ce.
OH
I'co'%e'ie'ce to Plai'tiff ar*u-e't$ 8A' i'(i%i(ual i' CA 'ee( 'ot *o to #L to see0
re(ress fro- perso's 1ho, thou*h re-ai'i'* i' #L, 0'o1i'*l, cause the i'6ur, i' CAJ
D. 7ini%u% Contacts Ana#-sis: Co%%erce and Contracts
ASAHI 7ETA3 INDUSTR/ 3TD 5 SUPERIOR COURT OF CA3IFORNIA1
SO3ANO COUNT/R p. *G*
SCOTUS +0GDB,
*e# Fuotes!
&trea- of Co--erce \ )i'i-u- Co'tacts
Act Purposefull, Directe( To1ar( &tate$ 8The Vsu/sta'tial co''ectio'5 /et1ee' the
(efe'(a't a'( the foru- &tate 'ecessar, for a fi'(i'* of -i'i-u- co'tacts -ust co-e
a/out /, a' actio' of the (efe'(a't purposeu##- directed to9ard t6e oru% state.J
Place-e't i' &trea- of Co--erce$ 8The place-e't of a pro(uct i'to the strea- of
co--erce, 1ithout -ore, is 'ot a' act of the (efe'(a't purposefull, (irecte( to1ar( the
foru- &tate.J
D5s A1are'ess Not &ufficie't$ 8A (efe'(a't5s a1are'ess that the strea- of co--erce
-a, or 1ill s1eep the pro(uct i'to the foru- &tate (oes 'ot co%ert the -ere act of
placi'* the pro(uct i'to the strea- i'to a' act purposefull, (irecte( to1ar( the foru-
state.J
#ACT&$ Car acci(e't 1he' Yurcher lost co'trol of his .o'(a -otorc,cle a'( colli(e(
1ith a tractor. .is 1ife is 0ille( i' acci(e't. Yurcher files pro(uct lia/ilit, actio' a*ai'st
Che'* &hi' Ru//er, Tai1a'ese -a'ufacturer of the Tu/e. Che'* &hi' i' tur'e( file( a
cross co-plai't see0i'* i'(e-'ificatio' fro- fro- Asahi )etal I'(ustr, Co. Lt(.
3Asahi43Bapa'ese Co-pa',4, the -a'ufacturer of the tu/e5s %al%e asse-/l,.

The ship-e'ts of Asahi to Che'* &hi' 1ere se't fro- Bapa' to Tai1a'. Che'* &hi'
-a(e Asahi a1are that the %al%e s,ste-s 1oul( li0el, e'( up i' the U'ite( &tates a'( i'
Califor'ia si'ce the, (i( a lot of /usi'ess there. Asahi clai-s that it 8has 'e%er
co'te-plate( that its li-ite(
PROCEDURAL PO&TURE$ Yurcher5s clai-s a*ai'st Che'* &hi' a'( the other
(efe'(a'ts 1ere e%e'tuall, settle( a'( (is-isse(, #ea"in& on#- C6en& S6in>s inde%nit-
action a&ainst As6ai
ANAL@&I&$
#oreseea/ilit, Disti'ctio'AAsahi (oes 'ot (e', the 0'o1le(*e that asse-/lies 1oul(
e'( up i' Califor'ia;/ut the, (e', foreseei'* that he coul( /e hale( i'to court there
See "wo Sides of the Minimum ;ontacts Debate <n 3G;onnor and 0rennan 3pinions
O5
Pluralit,$ O5Co''or positio'$ -ere a1are'ess that pro(uct 1ill e'( up i' foru- state
(oes 'ot co'stitute e'ou*h to /e -i'i-u- co'tacts+ -ere place-e't i'to strea- of
co--erce (oes 'ot eIual perso'al a%ail-e't+ a((itio'al co'(uct is 'ecessar,, such as$
99soliciti'*
99support
99etc
99a(%ertisi'*
The 1hole poi't is ,ou 'ee( so-ethi'* to sho1 that the (efe'(a't i'te'(e( for the
pro(uct to *et to the foru- state; /OU NEED PURPOSEFU3 ACTION OF
DEFENDANT DIRECTED TOWARD THE FORU7 STATE TO ESTAB3ISH
4URISDICTION +This is a' i(ea 1hich is on#- supported '- t6e P3URA3IT/, 'ot
the )ABORIT@4
The strictures of Due Process for/i( a state court to e2ercise perso'al 6uris(ictio' o%er
Asahi u'(er circu-sta'ces that 81oul( offe'( tra(itio'al 'otio's of fairpl, a'(
su/sta'tial 6usticeJ
99i' (eci(i'* this a court -ust co'si(er (efe'(a't5s /ur(e' a'( i'terests of foru-
state a'( plai'tiff 3/ut there are 'o real i'terests of plai'tiff left si'ce the, settle(+
Che'* shi' is a Tai1a'ese corp 1hich the Califor'ia state has 'o sta0e i' or
i'terest i'4
99clearl, its u'reaso'a/le /ur(e' to -a0e Asahi tr, case hereAthe, 1oul( ha%e
to co-e fro- ho-e office i' Bapa' a'( a#so su'%it its dispute 9it6 C6en& S6in
to a orei&n nation>s !udicia# s-ste%
229e 6a"e an internationa# conte(t 6ere: 1hich -ea's that the hea%, /ur(e' o'
the alie' (efe'(a't a'( the sli*ht i'terests of the plai'tiff a'( the foru- state;
*reat care shoul( /e e2ercise( 1he' e2te'(i'* perso'al 6uris(ictio' i'to the
i'ter'atio'al fiel(.
<RENNAN$ CONCURRIN>
.e (isa*rees o' strea- of co--erce theor, /, -a6orit,+ he a*rees 1ith the o%erall result
/ecause of the *reat i'co'%e'ie'ce etc that this 1oul( put Asahi throu*h
.is Ta0e o' &trea- of Co--erce$ 8The strea- of co--erce refers 'ot to u'pre(icta/le
curre'ts or e((ies, /ut to the re*ular a'( a'ticipate( flo1 of pro(ucts fro- -a'ufacture
to (istri/utio' to retail sale. As lo'* as a participa't i' this process is a1are that the fi'al
pro(uct is /ei'* -ar0ete( i' the foru- &tate, the possi/ilit, of a la1suit there ca''ot
co-e as a surprise.J
Defe'(a't I'(irectl, <e'efite( fro- #oru- &tate5s La1s$ the (efe'(a't i'(irectl,
/e'efits fro- the state5s la1s here /, placi'* a pro(uct i' strea- of co--erce+ 8/e'efits
accrue re*ar(less of 1hether that participa't (irectl, co'(ucts /usi'ess i' the foru-
&tate, or e'*a*es i' a((itio'al co'(uct (irecte( to1ar( that &tate.J
<re''a' % O5Co''or De/ate$
O7
To ar*ue for O5CONNOR ,ou coul( use 8purposeful a%ail-e'tJ ; this co-pa', 1as
'ot tr,i'* to reap /e'efits of Califor'ia la1s; purposeful -ea's so-ethi'* a'( it shoul(
-ea' so-ethi'* -ore tha' 6ust 1i'(i'* up i' the -ar0et+ ,ou 'ee( (eli/erate'ess
'eneral (oints on sahi!
The o'e thi'* all the opi'io's (o a*ree o', represe'ti'* the -a6orit, %ie1 i' the case
II <At6at it actua##- does "io#ate t6e strictures o Due process c#ause to 6a"e Asa6i
6a#ed into Ca#iornia Court under t6e circu%stances 'ecause t6at 9ou#d oend
Itraditiona# notions o air p#a- and su'stantia# !usticeJ
99the fair'ess factors here actuall, (eci(e it for the 6ustices 1ho (o'5t a*ree 1ith
O5Co''or5s -i'i-u- co'tacts ar*u-e't
999e tease apart notions o I%ini%u% contactsJ and Iairness actorsJ;. ,ou 'ee(
/oth fair'ess a'( -i'i-u- co'tacts to e2ercise 6uris(ictio';e%e' those 1ho thi'0 there
1ere -i'i-u- co'tacts i' this case still thi'0 that /, the fair'ess factors this 1oul( /e a'
i'appropriate e2ercise of 6uris(ictio'
5 #air'ess #actors$
1. /ur(e' o' (efe'(a't Asahi has to tra%el fro- Bapa'+ a'( Asahi has to su/-it to
forei*' le*al s,ste-
". i'terest of state i' ha%i'* case there Califor'ia 'o lo'*er has a', i'terest i' this 'o1
that the Califor'ia resi(e't is 'o lo'*er i'%ol%e( i' the suit+
F. p5s i'terest i' ha%i'* it foru- state Che'* &hi'5s i'terest has 'o rele%a'ce to
Califor'ia;the, (o'5t resi(e i' Califor'ia
H. share( state i'tereste( i' social polic, (oes'5t see- to /e social polic, i'terest i' U&
courts tr,i'* forei*' co-pa'ies
5. efficie't resolutio' of co'tro%ers,(oes'5t see- that efficie't to ha%e t1o forei*'
co-pa'ies tr, their Iuestio' i' Califor'ia
Case -i*ht ha%e co-e out (iffere'tl, if this 1as /et1ee' 'atio'al, 'ot i'ter'atio'al,
co-pa'ies
991ell if 1e appl, the 5 factors 1e see there is less of a /ur(e' o' (efe'(a't tha'
if the, 1ere fl,i'* fro- Bapa'
99forei*' polic, co'cer's 1ere /i* here
996u(icial resources Iuestio' as 1ell;a court -a, 'ot 1a't to 1aste its resources
o' (eci(i'* forei*' -atters, 1hile it -a, /e -ore li0el, to (eci(e a 'atio'al
Iuestio'
1:" = =$YS<S $33*S $<*E ,"E- S:<
#irst step i' a' a'al,sis;-a0e sure there is a lo'* ar- statute that co%ers e2ercisi'*
6uris(ictio' i' this 1a,
&eco'( step$ Due Process A'al,sis$
It reIuires that
O!
99it /e reaso'a/le that (efe'(a't is hale( i'to court i' this foru- state;.This
reIuires$
99loo0 /oth at -i'i-u- co'tacts
99a'( the' if 1e ha%e -i'i-u- co'tacts 1e -ust also at 1hether e2ercise
of 6uris(ictio' -eets the fair'ess factors so as 'ot to offe'( 8tra(itio'al
'otio's of fair pla, a'( su/sta'tial 6usticeJ
BUR;ER .IN; CORP. 5 RUDNEWICN=p. )<)
SCOTUS +0GD*,
T6is case is a &reat su%%ar- o t6e ot6er casesH'ut it does not 'rea$ so %uc6 ne9
&round e(cept or t6at airness considerations are used %ore t6an usua# to esta'#is6
proper !urisdiction e"en t6ou&6 t6is case 6as 9ea$ %ini%u% contacts.
#acts$ <E .ea(Iuarters are i' #lori(a, /ut re*io'al offices super%ise fra'chisees i' their
areas. Ds 6oi'tl, applie( a'( 1ere *ra'te( a <ur*er Ei'* #ra'chise i' the Detroit area.
&hortl, after si*'i'* the fi'al a*ree-e't, /usi'ess at the fra'chise /e*a' to (eteriorate.
Khe' re't pa,-e'ts fell /ehi'( <ur*er Ei'* trie( to 'e*otiate a'( the' sue( i' fe(eral
(istrict court of #lori(a.
The co'tract ha( a choice of la1 pro%isio' 1hich sa,s that #L la1 1ill *o%er' a',
(ispute /et1ee' the parties, e%e' if the (ispute is liti*ate( i' a'other state
Co''ectio' to Perso'al Buris(ictio' ?uestio'sAthis clause ca' /e use( as
e%i(e'ce that (efe'(a't co'se'te( to /ei'* u'(er #L 6uris(ictio';it rei'forces
(eli/erate affiliatio' of (efe'(a'ts 1ith the state of #lori(aAit also rei'forces
foreseea/ilit, of /ei'* hale( i'to court i' the foru- state.
#air'ess factors % -i'i-u- co'tacts relatio'ship
99ne9 &#oss 6ere;<re''a' is tippi'* the scales to1ar(s fair'ess factors o%er
-i'i-u- co'tacts it see-s
99so-eti-es if ,ou ha%e e'ou*h of the fair'ess si(e allo1s 6uris(ictio', e%e'
1he' the co'tacts are prett, 1ea0
K.AT KE .AVE ULTIA)TEL@ NOK I& A TE&T;9e #oo$ at %ini%u% contacts
'ut 9e a#so #oo$ at t6e airness actors;1e 1ei*h the- a*ai'st each other it see-s,
a'( (epe'(i'* o' the case it ca' %ar, in t6is case t6ere are 9ea$er %ini%u%
contacts1 'ut t6e airness actors see% to o"erco%e t6is 9ea$er %ini%u% contacts
ar&u%ent
A' i'(i%i(ual5s co'tract 1ith a' out of state part, alo'e ca''ot auto-aticall, esta/lish
sufficie't -i'i-u- co'tacts i' the other part,5s ho-e foru-
99,et, this fra'chise (ispute arose (irectl, out of a co'tract 1hich ha( su/sta'tial
co''ectio' 1ith that &tate.J
OO
99(efe'(a't 8(eli/eratel, reache( out /e,o'( )ichi*a' a'( 'e*otiate( 1ith a
flori(a corp. for the purchase of a lo'*9ter- fra'chise a'( the -a'ifol( /e'efits
that 1oul( (eri%e fro- affiliatio' 1ith a 'atio'1i(e or*a'i:atio' this -a0es
the Iualit, of his relatio'ship 'ot ra'(o-, fortuitous or atte'uate(.
Disse't$ Bustice &te%e's ar*ues that (efe'(a't ha( 'o -i'i-u- co'tacts 1ith flori(a
99the fries a'( the sha0e 1ere 'ot -a(e i' #lori(a, that 1as happe'i'* i' )I
99this approach is'5t ta0e' up /, a', o'e else
99&te%e's is co'cer'e( the -a6orit, is 6ust rel,i'* o' /oilerplate la'*ua*e /,
allo1i'* e2ercise of 6uris(ictio'
E. 4urisdiction Based on t6e Presence o Deendant>s Propert-
SHAFFER 5 HEITNER=p. )0G
SCOTUS1 0GBB
99I' ter-s of quasi in rem actio's, ho1e%er, there 1ill /e si*'ifica't cha'*e. W6ere t6e
propert- is co%p#ete#- unre#ated to t6e p#ainti>s cause o action1 t6en t6e presence
o t6e propert- a#one 9ou#d not support !urisdiction.
This case is a/out 1hether or 'ot to appl, the sta'(ar( of fair'ess a'( su/sta'tial 6ustice
set out i' <nternational Shoe to *o%er' quasi in rem as 1ell. 8The ti-e is ripe to co'si(er
1hether the sta'(ar( of fair'ess a'( su/sta'tial 6ustice set forth i' I'ter'atio'al &hoe
shoul( /e hel( to *o%er' actio's i' re- as 1ell as i' perso'a-J
The Court Deci(es that it is ti-e to a/a'(o' the quasi in rem (isti'ctio' Afull,
u'(er-i'i'* (enno#er o'ce a'( for all $ 8The fictio' that a' assertio' of 6uris(ictio' o%er
propert, is a',thi'* /ut a' assertio' of 6uris(ictio' o%er the o1'er of the propert,
supports a' a'cie't for- 1ithout su/sta'tial -o(er' 6ustificatio'. Its co'ti'ue(
accepta'ce 1oul( ser%e o'l, to allo1 state9court 6uris(ictio' that is fu'(a-e'tall, u'fair
to the (efe'(a't;.9e t6ereore conc#ude t6at a## assertions o state2court !urisdiction
%ust 'e e"a#uated accordin& to t6e standards set ort6 in 0ntern!tin!l S+e and its
pro&en-.J
#acts$ Appella't .eit'er, a 'o'resi(e't of Dela1are, is the o1'er of o'e9share of stoc0 i'
the >re,hou'( corporatio';a /usi'ess i'corporate( u'(er the la1s of Dela1are 1ith its
pri'cipal place of /usi'ess i' Ari:o'a. The alle*e( -is-a'a*e-e't /, corporate
officials too0 place i' Ore*o'. The stoc0 itself thou*h is locate( i' Dela1are
This is a &harehol(er (eri%ati%e actio';.the sharehol(er5s ri*ht to sue corporatio'
officers i' or(er to collect for the corporatio' at lar*e
Court ta0i'* 6uris(ictio' of la1suit /, seIuesteri'* the propert, of the (efe'(a't, 6ust
/ecause the, ha( propert, i' Dela1are authori:e( u'(er Dela1are statute. 3it5s Iuasi i'
re- 6uris(ictio'4 Defe'(a'ts 1ere 'ot Dela1are resi(e'ts /ut ha( propert, there.
O
I&&UE$ Khether a (ef5s i'9state propert, ca' /e the /asis of the court5s 6uris(ictio' o%er
'o'9state resi(e't
?uasi i' re- De/ate$
99ar*u-e't for usi'* Iuasi i' re- as sole /asis of 6uris(ictio'$
99 a 9ron&doer Is6ou#d not 'e a'#e to a"oid pa-%ent o 6is o'#i&ations
'- t6e e(pedient o re%o"in& 6is assets to a p#ace 96ere 6e is not
su'!ect to an in persona% suit
99if ,ou 6ust 0eep all ,our propert, i' a state 1here ,ou (o'5t li%e or e%er
*o, the' a (efe'(a't coul( al1a,s escape 6uris(ictio' a'( 'e%er ha%e to
pa,
99i' cases 1here ,ou -i*ht 'ot ha%e a foru- other1ise, this *uara'tees
,ou at least o'e si'*le foru-
99it5s al1a,s /ee' this 1a,, our courts ha%e a lo'* histor,
99ar*u-e'ts a*ai'st Iuasi i' re- /ei'* sole /asis of 6uris(ictio'$
99the state courts are suppose( to *i%e full faith a'( cre(it to a'other
state5s (ecisio's;,ou ca' also al1a,s sue so-e/o(, 1here%er the, are
(o-icile( throu*h i' perso'a- suit;.so o'e ca'5t reall, a%oi( /ei'*
/rou*ht to court at all
99 the court (oes 'ot 0'o1 of a',thi'* to 6ustif, the assu-ptio' that a
(e/tor ca' a%oi( pa,i'* his o/li*atio's /, re-o%i'* his propert, to a
&tate i' 1hich his cre(itor ca''ot o/tai' perso'al 6uris(ictio' o%er hi-
/ecause full faith a'( cre(it clause after all -a0es the %ali( i' perso'a-
6u(*-e't of o'e state e'forcea/le i' all other states
99the %ast -a6orit, of cases ca''ot appl,;shoul('5t sacrifice fair'ess i'
or(er to fi'( 6uris(ictio'
99tra(itio' (oes'5t -ea' it5s the ri*ht 1a,;thi'*s ca' cha'*e
.o1 the Court applies I'ter'atio'al &hoe &ta'(ar($
99acts relate( to the cause of actio' here (i('5t happe' i' Dela1are
99 Dela1are la1 /ases 6uris(ictio', 'ot o' appella'ts status as corporate
fi(uciaries, /ut rather o' the prese'ce of their propert, i' the &tate 'othi'*
specificall, a/out corporate fi(uciar, status i' statutes i DE 6ad suc6 a &reat
interest in securin& !urisdiction o"er corporate iduciaries t6e- 9ou#d 6a"e
enacted a statute %ore c#ear#- desi&ned to protect t6at interest
99the, e2ercise 6uris(ictio' /ecause (efe'(a'ts ha%e stoc0s i' the state, 'ot
/ecause the, are corporate (irectors i' the state;there is 'o statute (esi*'e( to
capture the particular 0i'(s of co'tacts a corp. (irector -a, ha%e i' the state;
thus 1ithout statute there is 'o e2plicit state i'terest
P tries to ar*ue si'ce the, i'corporate( i' Dela1are the, shoul( e2pect to /e sue( i'
Dela1are
99court re6ects purposeful a%ail-e't ar*u-e't;
99Bust /ecause the corporatio' -a, ha%e /e'efite( fro- the la1s of
Dela1are does not s6o9 t6at t6e appe##ants 6a"e Ipurposeu##-J
G
a"ai#ed t6e%se#"es of the pri%ile*e of co'(ucti'* acti%ities 1ithi' the
foru- state.
<re''a'$ Co'ucurri'* i' Part, Disse'ti'* i' Part
99<re''a' o' -i'i-u- co'tacts Iuestio';he feels that there 1ere -i'i-al co'tacts a'(
that 6uris(ictio' 1as proper
99DE has a stro'* i'terest i' a(6u(icati'* the (ispute
99Defe'(a'ts5 %olu'taril, a%aile( the-sel%es of the DE la1s. Not u'fair that the,
shoul( e2pect to /e hale( i'to court there
99,ou shoul('5t /e su/6ecte( to suit i' DE for a',thi'* ; it has to /e
relate( to ,our (irectorship
I-plicatio's of &haffer$
99I' ter-s of in rem actio's, the Court fi'(s that there is 'ot li0el, to /e a', ra-ificatio's
fro- the -i'i-u- co'tacts sta'(ar(.
99I' ter-s of quasi in rem actio's, ho1e%er, there 1ill /e si*'ifica't cha'*e. W6ere t6e
propert- is co%p#ete#- unre#ated to t6e p#ainti>s cause o action1 t6en t6e presence
o t6e propert- a#one 9ou#d not support !urisdiction.
F. 4urisdiction Based So#e#- on Persona# Ser"ice +ITa&J 4urisdiction,1 ;enera#
4urisdiction1 Consent
BURNHA7 5 SUPERIOR COURT OF CA3IFORNIA=p.)AA
SCOTUS +0GG<,
The ph,sical prese'ce rule re-ai's+ it (oes 'ot *i%e 1a, to a -i'i-u- co'tacts a'al,sis+
the reaso's for this i'terpretatio' are /ase( -ai'l, o' historical pe(i*ree a'( tra(itio'
espouse( /, &calia i' the -a6orit, opi'io'.
&calia o' Kh, Tra(itio'al Rule &atisfies Due Process$ 8The Vco'te-porar, 'otio's of
(ue process5 applica/le to perso'al 6uris(ictio' are the e'(uri'* Vtra(itio'al 'otio's of
fair pla, a'( su/sta'tial 6ustice esta/lishe( as the test /, I'ter'atio'al &hoe. <, its %er,
la'*ua*e that test is satisfie( if a state court a(heres to 6uris(ictio'al rules that are
*e'erall, applie( a'( ha%e al1a,s /ee' applie( i' the U'ite( &tates.J =6e is p#acin&
particu#ar e%p6asis on t6e 9ords tr!ditin!l ntin'D
#acts$ I' 1O! the <ur'ha-s (eci(e( to separate. The, a*ree( that )rs. <ur'ha, 1ho
i'te'(e( to -o%e to CA, 1oul( ta0e custo(, of the chil(re'. The, ha( i'itiall, a*ree(
that she 1oul( file for (i%orce o' *rou'(s of 8irreco'cila/le (iffere'cesJ. )r. <ur'ha-
thou*h e'(s up fili'* for (i%orce i' NB o' *rou'(s of 8(esertio'J i'stea(. )rs.
<ur'ha-, after u'successfull, (e-a'(i'* that petitio'er a(here to their prior a*ree-e't
to su/-it to a' 8irreco'cila/le (iffere'cesJ (i%orce, 'rou&6t suit a&ainst 7r. Burn6a%
in CA state court in ear#-.
1
<ur'ha- *oes to CA o' /usi'ess, after 1hich he %isits his chil(re' a'( ta0es the- to
&a'. #ra'. for the 1ee0e'(. Upon returnin& t6e c6i#d to 7rs. Burn6a%>s 6o%e1
petitioner 9as ser"iced 9it6 a Ca#iornia court su%%ons and a cop- o 7rs
Burn6a%>s di"orce petition.
I&&UE$ Does Due Process reIuire a separate i'Iuir, i'to -i'i-u- co'tacts if the
(efe'(a't is ser%e( i' the actual stateC
)a6orit,$ &caliaAph,sical prese'ce of the (efe'(a't i' the state is e'ou*h+ it5s the
tra(itio'.
<ur'ha- tries to -a0e a -i'i-u- co'tacts ar*u-e't$
99(espite his prese'ce, the lac0 of -i'i-u- co'tacts -ea's he shoul('5t /e
su/6ect to 6uris(ictio' of the case;.it *oes i' li'e 1ith the e%olutio' fro-
Pe''o,er to I'ter'atio'al &hoe that this -i'i-u- co'tacts pro/a/l, coul( /e
e2te'(e( to u'(ercut ph,sical prese'ce rule
Respo'se to &haffer Lo*ic$
99 there the, (eci(e( a' ol( tra(itio'al rule a/out Iuasi i' re- 1as i'%ali( o' (ue process
*rou'(s;the court specificall, sai( there that acie't for-s ca' offe'( (ue process
99is the situatio' here reall, a', (iffere'tC
99&calia ar*ues that t6e distinction 'et9een a'sent and present deendant is a
6u&e distinction;.the prece(e'ts of &haffer a'( I'ter'atio'al &hoe (o'5t5 appl,
here reall,
99This case is i' a (iffere't cate*or, of case tha' &haffer or I'ter'atio'al &hoe;
a'( thus 1e shoul( as0 (iffere't Iuestio's 1he' (efe'(a't is ph,sicall, prese't
99the lo*ic of shaffer5s hol(i'* (oes 'ot also co-pel a -i'i-u- co'tacts a'al,sis
1he' the (efe'(a't is i' the state.
The <re''a' % &calia De/ate$
Khat the, (o a*ree o'Athe hol(i'*+ the, /oth thi'0 6uris(ictio' 1as proper here,
ho1e%er <re''a' /elie%es it 1as /ecause of a -i'i-u- co'tacts a'al,sis 1hile &calia
rests e'tirel, o' tra(itio'.
Disa*ree o'$ &haffer .ol(i'*A&calia sa,s that it is a %er, li-ite( hol(i'* 6ust for usi'*
-i'i-u- co'tacts a'al,sis for quasi in rem. <re''a' /elie%es that the &haffer hol(i'* is
sa,i'* that -i'i-u- co'tacts -ust /e satisfie( i' e%er, e2ercise of perso'al 6uris(ictio'
<re''a' >oes Throu*h the I'ter'atio'al &hoe )i'i-u- Co'tacts A'al,sis To Reach .is
Result$ &calia Tears .i- Apart
<re'a''99Reaso's that <ur'ha- (i( recei%e /e'efits fro- the state of Califor'ia /,
/ei'* protecte( u'(er the state5s la1s for the three (a,s he 1as i' CA
99&calia respo'se$ three (a,5s 1orth of these /e'efits stri0es us as po1erfull,
i'a(eIuate to esta/lish, as a' a/stract -atter, that it is 8fairJ for Califor'ia to
(ecree o1'ership of all )r. <ur'ha-5s 1orl(l, *oo( acIuire( (uri'* the 1G ,rs
of his -arria*e, a'( the custo(, o%er his chil(re'.
"
<re''a' 99 ar*ues a/out as,--etr, if he coul( /ri'* suit as plai'tiff i' Califor'ia /ut 'ot
sta'( as (efe'(a't i' the state
&calia Respo'se99These assertio's 6ustif, 6uris(ictio' o%er e%er,o'e, 1hether or
'ot he e%er co-es to Califor'ia+ this sta'(ar( 1oul( also 6ustif, e2ercisi'*
6uris(ictio' o%er <ur'ha- o'ce he alrea(, retur'e( to NB 1ithout ser%ice, 1hich
1e 0'o1 (oes 'ot co'for- 1ith co'te-porar, 'otio's of (ue process.
<re''a'99 ar*ues that (efe'(a't %olu'taril, prese't i' a particular state has a 8reaso'a/le
e2pectatio'J that he is su/6ect to suit there
&calia Respo'se99this is 6ust tra(itio' -asIuera(i'* as 8fair'ess factorJ. The o'l,
reaso' for char*i'* <ur'ha- 1ith reaso'a/le e2pectatio' of /ei'* su/6ect to suit
is that the state assert a(6u(icator, 6uris(ictio' o%er the perso' a'( ha%e al1a,s
asserte( a(6u(icator, 6 o%er the perso' /, ser%i'* hi- 1ith process (uri'* his
te-porar, ph,sical prese'ce i' their territor,.
&CALIA$ T.E PRO<LE) KIT. DOIN> T.E ANAL@&I& T.I& KA@ I& IT
TOTALL@ LEAVE& IT UP TO T.E BUD>E5& NOTION& O# #AIRNE&& TO
DECIDE I# DUE PROCE&& )ET;.LET T.E LE>I&LATURE DECIDE I#
P.@&ICAL PRE&ENCE RULE I& NOT #AIR AND PA&& LE>I&LATION IN T.EIR
&TATE &A@IN> &UC.
<re''a' sa,s i' respo'se to this that le*islatures are 'ot li0el, to (o 1hat &calia is sa,i'*
for a 'u-/er of practical reaso's$
99the le*islature has 'o reaso' to co'si(er the fair'ess to 'o'9resi(e'ts of the
state;there is 'o i'ce'ti%e for the- to care /ecause the, (o'5t %ote i' their state
etc;.the state also has i'ce'ti%e to e2ercise 6uris(ictio' o%er these 'o'9resi(e'ts
so that the, ca' protect their o1' citi:e's;.T.E INCENTIVE& POINT
TOKARD& T.E &TATE .AVIN> TRAN&ITOR@ BURI&DICTION OVER
NON9RE&IDENT&+ NOT REPEALIN> T.E&E RULE& AN@TI)E &OON
=E1 "3(<;! ;3=SE=">
A' i'(i%i(ual ca' co'se't to 6uris(ictio' i' the state
99/, 'ot o/6ecti'* to the 6urisi(cito' 1ith 1"3/43"4 ,ou 1ai%e ri*ht to challe'*e
6uris(ictio'
99co'se't ca' co-e /, co'tract as 1ell ho1e%er
CARNI5A3 CRUISE 3INES 5 SHUTE
SCOTUS1 0GG0=p. )**
#ACT&$ &hutes /ou*ht tic0et throu*h a tra%el a*e't.
#oru- clause sa,s $ 8it is a*ree( /, a'( /et1ee' the passe'*er a'( the carrier that all
(isputes;;shall /e liti*ate( i' a'( /efore a court locate( i' #lori(a, to the e2clusio' of
the courts of a', other state or cou'tr,J
F
&COTU& fi'(s the foru-9selectio' clause for a 'u-/er of reaso's$
998cruise li'e has special i'terest i' li-iti'* the for a i' 1hich it pote'tiall, coul(
/e su/6ect to suitJ
99/ecause the, ha%e passe'*ers fro- so -a', places the co-pa', 1oul(
ha%e to liti*ate i' e%er, state i-a*i'a/le if the, coul('5t ha%e foru-
selectio' clause;this 1oul( cost car'i%al -o'e, a'( this 1oul( /e
passe( o' to the co'su-ers
99a clause esta/lishi'* e2 a'te the foru- for (ispute resolutio' has the salutar,
effect of (ispelli'* a', co'fusio' a/out 1here suits arisi'* fro- the co'tract -ust
/e /rou*ht, spari'* liti*a'ts the ti-e a'( e2pe'se of pretrial -otio's to (eter-i'e
the correct foru- a'( co'ser%i'* 6u(icial resources
99fair'ess test$ there is 'o i'(icatio' that the petitio'er set #L as the foru- i'
1hich (isputes 1ere to /e resol%e( as a -ea's of (iscoura*i'* cruise passe'*ers
fro- pursui'* le*iti-ate clai-s.
DI&&ENT$ &TEVEN&
O'l, -ost -eticulous passe'*er 1oul( /e a1are of the foru- selectio' clause.
)a', passe'*ers 1o't see the foru-9selectio' clause u'til the, alrea(, ha%e pai(, a'(
thus ca'5t *et a refu'(. Not 0'o1i'* 1hether or 'ot that pro%isio' sa,i'* that ca'5t *et a
refu'( is le*all, e'forcea/le, t6e a"era&e passen&er 9ou#d accept t6e ris$ o 6a"in& to
i#e suit in F#orida in t6e e"ent o an in!ur- rat6er t6an cance#in&=9it6out reund=
a p#anned "acation at t6e #ast %inute
Bust /ecause this clause lets the cruise li'e re(uce its liti*atio' costs (oes 'ot suffice to
re'(er the pro%isio' reaso'a/le.
A3S SCAN1 INC. 5 DI;ITA3 SER5ICE CONSU3TANTS1 INC.=p. )):
:
t6
Circuit1 @<<@
#ACT&$ Plai'tiff, AL& &ca', is a )ar,la'( corp. 1ith its place of /i: i' Colu-/ia )D.
The, co--e'ce( the actio' for cop,ri*ht i'fri'*e-e't a*ai'st Di*ital a'( Alter'ati%e
Pro(ucts 3custo-ers of Di*ital4. Plai'tiff clai-s that Alter'ati%e Pro(ucts appropriate(
copies of hu'(re(s of their cop,ri*hte( photo*raphs a'( place( the- o' its 1e/site,
there/, *ai'i'* re%e'ue fro- the- throu*h -e-/ership fees a'( a(%ertisi'*.
#urther alle*es that Di*ital, as the I&P pro%i(er, e'a/le( alter'ati%e pro(ucts to pu/lish
AL& cop,ri*hte( photos o' the i'ter'et /, pro%i(i'* alter'ati%e pro(ucts 1ith /a'(1i(th
ser%ice 'ee(e( to -ai'tai' its 1e/sites. Alle*es thus that the, are i'fri'*i'* o' their
cop,ri*hts 1ithi' )ar,la'( a'( else1here /, selli'* pu/lishi'* a'( (ispla,i'* its
cop,ri*hte( photo*raphs.
Place a hi*h pre-iu- o' fair'ess factors i' this case$
99the i(ea is that if ,ou poste( a',1here, 6uris(ictio' coul( /e li-itless if 'ot li-ite(;
H
99THE PERSON P3ACIN; INFOR7ATION ON THE INTERENT
WOU3D BE SUB4ECT TO PERSONA3 4URISDICTION IN E5ER/
STATE
221hat5s 1ro'* 1ith -a0i'* 6uris(ictio' li-itless 1ith i'ter'et
99this 1oul( i'fri'*e o' (ue process a'( it 1oul( /e i'here'tl, u'fair that ,ou
coul( /e sue( i' .a1aii for so-ethi'* ,ou post o' 1e/ 1hile i' N@
I'co'siste'c, /t1'. this case a'( <ur'ha-$
99<urha- a'( Car'i%al see- to let u'fair 6uris(ictio' e2ercises to occur;/ut 'o1
all of a su((e' court is co'cer'e( 1ith fair'ess a*ai';see-s li0e -a,/e the,
o'l, co'si(er fair'ess 1he' it is i' fa%or of their ar*u-e't
The Passi%eNActi%e Disti'ctio' is Critical+ Use the Yippo &li(i'* &cale Khich Dictates$
Acti%e998if the (efe'(a't e'ters i'to co'tracts 1ith resi(e'ts of a forei*' 6uris(ictio' that
i'%ol%e the 0'o1i'* a'( repeate( tra's-issio' of co-puter files o%er the
i'ter'etJperso'al 6uris(ictio' is proper
Passi%e99if (efe'(a't 8has si-pl, poste( i'for-atio' o' a' I'ter'et Ke/ site 1hich is
accessi/le to users i' forei*' 6uris(ictio'sJ 6uris(ictio' 'ot proper
&o usi'* t6e Nippo sca#e the, sa, a state -a, e2ercise 6u(icial po1er o%er a perso'
outsi(e the state 1he' that perso'
314 (irects electro'ic acti%it, i'to the state
3"4 1ith the -a'ifeste( i'te't of e'*a*i'* i' /i: or other i'teractio's 1ithi' the
state, a'(
3F4 that acti%it, creates, i' a perso' 1ithi' the state, a pote'tial cause of actio'
co*'i:a/le i' the state5s courts.
U'(er this sta'(ar(, PA&&IVE INTERENT ACTIVIT@, LIEE PO&TIN>
IN#OR)ATION ON A &ITE, DOE& NOT &U<BECT &O)EONE TO PER&ONAL
BUR&IDCTION IN EAC. &TATE INTO K.IC. T.E ELECTRONIC &I>NAL I&
TRAN&)ITTED AND RECEIVED.
&trea- of Co--erce Ar*u-e't$ Di*ital 6ust fu'ctio'e( as a' I&P for Alter'ati%e
Pro(ucts to e'a/le the- to create a 1e/site. 8It (i( 'ot select or 0'o1i'*l, tra's-it the
i'fri'*i'* photos specificall, to )ar,la'( 1ith the i'te't of e'*a*i'* i' /usi'ess or a',
other tra'sactio' i' )ar,la'(.J
>e'eral Buris(ictio' Ar*u-e't$ >e'eral 6uris(ictio' -a, /e asserte( o%er a (efe'(a't
1hose acti%ities ha%e /ee' co'ti'uous a'( s,ste-atic /ut the threshol( le%el of -i'i-u-
co'tacts sufficie't to co'fer *e'eral 6uris(ictio' is si*'ifica'tl, hi*her tha' for specific
6uris(ictio'$
>e'eral Buris(ictio' .ol(i'*99court 'ot prepare( at this ti-e to reco*'i:e that a
state -a, o/tai' *e'eral 6 o%er out9of state perso's 1ho re*ularl, a'(
s,ste-aticall, tra's-it electro'ic si*'als i'to the state %ia the i'ter'et /ase(
solel, o' those tra's-issio's.
5
;. Notice1 5enue1 and Foru% Non Con"eniens
7U33ANE 5 CENTRA3 HANO5ER BAN. L TRUST CO
SCOTUS1 0G*<=p. )B0
This case outli'es the co'stitutio'al para-eters of a(eIuate 'otice. It hi'*es o' 1hether
co'structi%e 'otice 3i' the 'e1spaper4 1as sufficie't
?UOTE&$
THE .E/ TO THE CASE=IT SETS OUT THE STANDARD FOR ADE8UATE
NOTICE UNDER DUE PROCESS$ 8Khe' 'otice is a perso's5 (ue, process 96ic6 is
a %ere &esture is not due process. The -ea's e-plo,e( -ust /e such as o'e (esirous
of actuall, i'for-i'* the a/se'tee -i*ht reaso'a/l, a(opt to acco-plish it. The
reaso'a/le'ess a'( he'ce the co'stitutio'al %ali(it, of a', chose' -etho( -a, /e
(efe'(e( o' the *rou'( that it is i' itself reaso'a/l, certai' to i'for- those affecte(, or,
1here co'(itio's (o 'ot reaso'a/l, per-it such 'otice, that the for- chose' is 'ot
su/sta'tiall, less li0el, to /ri'* ho-e 'otice tha' other of the feasi/le a'( custo-ar,
su/stitutes.J =K.EN DI&CU&&IN> AN@ NOTICE I&&UEAT.I& ?UOTE &EE)&
LIEE &O)ET.IN> TO <RIN> UPD
in rem " in per'n!m distinction or notice purposes is cast aside '- 4ustice 4ac$son
'ecause it is ancient: 8Ke thi'0 that the reIuire-e'ts of the 1H
th
a-e'(-e't to the
#e(eral Co'stitutio' (o 'ot (epe'( upo' a classificatio' for 1hich the sta'(ar(s are so
elusi%e a'( co'fuse( *e'erall, a'( 1hich, /ei'* pri-aril, for state courts to (efi'e, -a,
a'( (o %ar, fro- state to state;9e do not rest t6e po9er o t6e State to resort to
constructi"e ser"ice in t6is proceedin& upon 6o9 its courts or t6is Court %a- re&ard
t6is 6istoric antit6esis.J =&O 1H
th
A)END)ENT DUE PROCE&& I&&UE& TRU)P
T.E&E )EANIN>LE&& DI&TINCTION&D

#acts$ I' Ba' 1H7 Ce'tral .a'o%er <a'0 a'( Trust co-pa', esta/lishe( a co--o' trust
fu'( i' accor(a'ce 1ith these pro%isio's a'( i' )arch 1H! it petitio'e( for settle-e't
of its first accou't as co--o' trustee. O'l, 'otice *i%e' /e'eficiaries of this specific
applicatio' 1as /, pu/licatio' i' a local 'e1spaper i' strict co-plia'ce 1ith the
-i'i-u- reIuire-e'ts of N@ <a'0i'* La1. This 'otice o'l, set forth -erel, the 'a-e
a'( a((ress of trust co-pa',, the 'a-e a'( (ate of esta/lish-e't of co--o' t9fu'( a'(
a list of all participati'* estate, trusts, or fu'(s. At ti-e of first i'%est-e't i' the fu'( /,
estate, trust co-pa',, 'otifie( /, -ail each perso' 1hose 'a-e a'( a((ress 1as the'
0'o1' to it a'( 1ho 1as 8e'title( to share i' the i'co-e therefor-J
No'e of the people 1ho ha%e i'terest i' the trust actuall, sho1 up i' court;1h,C
99/ecause it 1as poste( i' a local 'e1spaper so pro/a/l, 'o/o(, 0'e1 a/out it
Also, i' the 'otice itself the, (o'5t 'a-e the people 1ho are part of the fu'(
the 'otice /, pu/licatio' 1as (esi*'e( 'ot to actuall, i'for- the
people part of the trust a/out this procee(i'*
7
the /a'0er lo//, 1rote a la1 to -a0e co'structi%e ser%ice %ali( ;the,
(o this /ecause the, (o'5t 1a't people liti*ati'* o%er trust
-is-a'a*e-e't
)ulla'e -a0es special appeara'ce
o/6ecti'* that 'otice a'( the statutor, pro%isio's for 'otice to /e'eficiaries 1ere
i'a(eIuate to affor( (ue process u'(er the 1H
th
a-e'(-e't a'( therefore that the
court 1as 1ithout 6uris(ictio' to re'(er a fi'al a'( /i'(i'* (ecree.
in rem " in per'n!m distinction or notice purposes is cast aside '- 4ustice 4ac$son
'ecause it is ancient
it (oes'5t -atter 1hich cate*or, it reall, falls i' here /ecause 1H
th

a-e'(-e't (oes 'ot (epe'( upo' a claissficaito' for 1hich the sta'(ar(s
are so elusi%e a'( co'fuse( *e'erall,, a'( 1hich , /ei'* pri-iarl, fore
state courts to (efi'e, -a, a'( (o %ar, fro- state to state
99<asic reIuire-e't of 'oticeA'otice that is reaso'a/l, calculate( to apprise i'tereste(
parties i' the pe'(e'c, of the actio' a'( to affor( the- a -ea'i'*ful opportu'it, to /e
hear(
22Notice '- Pu'#ication +constructi"e notice,
99W6en It>s A##o9ed$
9996en t6e- can>t possi'#- ind t6e #ocation o t6ese peop#e ; i' these
circu-sta'ces it5s 6ust as li0el, the,5ll see the 'e1spaper a( as the, 1ill
recei%e a letter ,ou se'( out to a' a((ress 1here ,ou5re prett, sure the,
(o'5t li%e =&O I# CANT #IND T.I& PER&ON T.E RULE& ARE
DI##ERENTD
99pu/licatio' has /ee' see' as accepta/le 1he' acco-pa'ie( /,
supple-e'tal steps li0e attach-e't of propert, /ecause these are -ore
li0el, to lear' a/out it this 1a,
99if ,ou a/a'(o' propert, i' the state, that5s (iffere't as 1ell
99 i so%eone %a-'e cou#d 6a"e 'een trac$ed do9n1 'ut t6eir
96erea'outs don>t co%e up in due course o 'iU t6en t6at>s
per%issi'#e as 9e##+ the co--o' trustee shoul(5t /e e2pecte( to
i'%esti*ate their 1herea/outs /ecause that5s e2pe'si%e a'( places a /i*
/ur(e' o' the-.
99Khe' It5s Not Allo1e($
99Ca'5t use co'structi%e 'otice as sole for- of 'otice for people 1ho the,
ca' easil, locate, a'( 1hose a((ress for e2a-ple the, i' fact (o ha%e
":E ,-;( =D -EF?<-EME="S 3, =3"<;E
#RCP H304$ Territorial Li-its of Effecti%e &er%ice
314 &er%ice of a su--o's is effecti%e to esta/lish 6uris(ictio' o%er perso' of a
(efe'(a't
!
3A4 ;enera# 4urisdiction Ru#e 99 1ho coul( /e su/6ecte( to the
6uris(ictio' of a court of *e'eral 6uris(ictio' i' the state i' 1hich the
(istrict court is locate(
3<40<< 7i#e Bu#&e Ru#e99Kho is part, u'(er Rule 1H3i-plea(er4 or Rule
13Boi'(er of Perso's4 a'( is ser%e( at a place 1ithi' a 6u(icial (istrict of
the U& a'( not %ore t6an 0<< %i#es ro% t6e p#ace ro% 96ic6 t6e
su%%ons issues
3C4 1ho is su/6ect to the fe(eral i'terplea(er 6uris(ictio' u'(er U&CR1FF5
3D4 Khe' authori:e( /, a statue of the U&
3"4 If the e2ercise of 6uris(ictio' is co'siste't 1ith the Co'stitutio';ser%i'* a
su--o's is also effecti%e, 1ith respect to clai-s arisi'* u'(er fe(eral la1, to
esta/lish perso'al 6uris(ictio' o%er the perso' of a', (efe'(a't 1ho is 'ot su/6ect
to the 6uris(ictio' of the courts of *e'eral 6uris(ictio' of a', state
2enue and ,orum =on ;onviens
PIPER 5 RE/NO
SCOTUS +0GD0,=p.)BG
#ACT&$ Pla'e acci(e't i' &cotla'( 1ith &cottish resi(e'ts i'%ol%e(. The heirs to the
(ea( people are also all &cottish. <ut the pla'e is -a(e i' the U&. &cottish heirs (eci(e
to sue i' U& /ecause la1s here are /etter tha' i' &cotla'(
The, sue first i' Califor'ia state court
Case re-o%e( to fe(eral Califor'ia court
The' tra'sfer to court i' Pe''s,l%a'ia
Piper a'( hart:ell -o%e to (is-iss it /ase( o' oru% non con"iens 3forum not convient4
99(oes the court ha%e to (is-iss no it>s 'ased on a 'a#ancin& test 'ased on
court>s discretion
Foru% Non Con"iens Factors: It>s A Ba#ancin& Test
99/ur(e' o' (efe'(a't % co'%e'ie'ce to the plai'tiff
99pri%ate i'terests of liti*a'ts are also e2a-i'e( a'( pu/lic i'terests i'%ol%e(
99*etti'* a hol( of 1it'esses a'( i-plea(i'* 1oul( 'ot /e possi/le for
(efe'(a'ts if the case 1as trie( i' PA+ also the e%i(e'ce -ostl, i'
&cotla'(
99the airpla'e itself 1hich 'ee(s to /e e2a-i'e( 'ee(s to happe' i'
E'*la'(
/ou>re as$in&H96ere it t6e case &oin& to 'e 'etter #iti&ated or pri"ate
parties
(olic# rguments against having trial in ?S!
O
99Pe''s,l%a'ia la1 1oul( /e appl,i'* to Piper a'( &cottish la1 to .art:ell if the case
1ere trie( i' the )i((le District of PA T.I& KOULD )AEE #OR .OPELE&L@
CO)PLEU TRIAL I# .ELD IN PA
99issue for 6ur, also is that the, are e2pe'(i'* their e'er*, as citi:e's to tr, the case
1he' the case is reall, a/out a' i'ci(e't that happe'e( i' &cotla'( a'( (eals 1ith
&cottish citi:e's 1ho are 'ot ,our 8peersJ i' a', 1a,
99&cotla'( has -ore a' i'terest to a(6u(icate this case rather tha' the U&;.let locali:e(
co'tro%ersies /e (eci(e( at ho-e
Resu#t: A-erica' i'terest i' the case is si-pl, 'ot sufficie't to 6ustif, e'or-ous
co--it-e't of 6u(icial ti-e a'( resources that 1oul( i'e%ita/l, /e reIuire( if the case
1ere to /e trie( here
=BRU. )B) CB)V/)0/)S" 1/)/RAL PB0)3S
Foru% Non Con"eniens: 'arro1s (o1' the possi/ilities still further.
A reIuire-e't i'(epe'(e't of, a'( i' a((itio' to, 6uris(ictio' a'( %e'ue+
Usuall, 'ot a((resse( u'til after 6uris(ictio' a'( %e'ue satisfie(
T,picall, raise( i' o'e of t1o 1a,s$ 314 foru- 'o' co'%e'ie's -otio'+ 3"4 -otio' to
tra'sfer u'(er "O U.&.C. R1HGH.
#oru- selectio' clause 1ill usuall, preclu(e -otio'
>ra'ti'* a #NC -otio' reIuires the court to (eter-i'e first there is a' alter'ati%e
foru- i' 1hich the case ca' /e /rou*ht+ other1ise, -otio' ca''ot /e *ra'te(
If the alter'ati%e foru-5s 6uris(ictio' is i' (ou/t, D 3i.e., the -o%i'* part,4 ca'
stipulate to 6uris(ictio' there.
Ba#ancin& Test: O'ce alter'ati%e foru- is i(e'tifie(, court starts 1ith (efere'ce to
Ps chose' foru-, /ut the' 1ei*hs 8pu/licJ a'( 8pri%ateJ co'si(eratio's. All
co'si(eratio's ta0e' to*ether -ust 1ei*h 8hea%il,J i' fa%or of alter'ati%e /efore
court *ra'ts -otio'. Ca%eat$ #orei*' a'( corporate Ps e'6o,s 1ea0er presu-ptio' i'
fa%or of their chose' foru-. The, ha%e represe'tatio' all o%er the *lo/e, are
sophisticate(, a'( so the, (o'5t *et the sa-e 0i'( of (efere'ce.
V/)U/<S3A3U3/S
5enue: locates a fe(eral (istrict court for /ri'i'* a case+ 'arro1s (o1' the possi/ilities
further tha' 6uris(ictio'. Ve'ue refers to the place 1ithi' a 6u(icial 6uris(ictio' i' 1hich a
case is to /e trie(. Ve'ue pri'ciples are ai-e( at the selectio' of the -ost co'%e'ie't a'(
lo*ical court 1ithi' a *i%e' court s,ste-.
Case ca' /e (is-isse( for lac0 of proper %e'ue e%e' if court has 6uris(ictio'
#or fe(eral courts, %e'ue reIuire-e'ts are create( /, Co'*ress+ "O U.&.C. R1F1
#e(eral %e'ue is 'ot a' issue i' re-o%e( cases+ re-o%al satisfies %e'ue, *i%e' that
re-o%al -ust /e to the fe(eral (istrict i' 1hich the state court actio' 1as /rou*ht+ /ut
challe'*es to state %e'ue preser%e( i' the fe(eral actio' 3Note$ 'o re-o%al i'
(i%ersit, cases 8(efe'(a't5s stateJ4
8&pecial Ve'ueJ 3cop,ri*ht, (eri%ati%e suits, etc.4 %ersus 8>e'eral Ve'ueJ
3e%er,thi'* else4

5enue and Di"ersit-1 Q0AG0+a, 2 A ci%il actio' 1herei' 6uris(ictio' is fou'(e( o'l, o'
(i%ersit, of citi:e'ship -a,, e2cept as other1ise pro%i(e( /, la1, /e /rou*ht o'l, i'$
314 a 6u(icial (istrict 1here a', (efe'(a't resi(es, if all (efe'(a'ts resi(e i' the
sa-e &tate,
3"4 a 6u(icial (istrict i' 1hich a su/sta'tial part of the e%e'ts or o-issio's *i%i'*
rise to the clai- occurre(, or a su/sta'tial part of propert, that is the su/6ect
of the actio' is situate(, or PPP-ost ofte' use(PPP
3F4 a 6u(icial (istrict i' 1hich a', (efe'(a't is su/6ect to perso'al 6uris(ictio' at
the ti-e the actio' is co--e'ce(, if there is 'o (istrict i' 1hich the actio'
-a, other1ise /e /rou*ht. Escape hatch 1he' 'either 314 or 3"4 appl,.
5enue and Federa# 8uestions1 Q0AG0+', 2 A ci%il actio' 1herei' 6uris(ictio' is 'ot
fou'(e( solel, o' (i%ersit, of citi:e'ship -a,, e2cept as other1ise pro%i(e( /, la1, /e
/rou*ht o'l, i'
314 a 6u(icial (istrict 1here a', (efe'(a't resi(es, if all (efe'(a'ts resi(e i' the sa-e
&tate,
3"4 a 6u(icial (istrict i' 1hich a su/sta'tial part of the e%e'ts or o-issio's *i%i'* rise
to the clai- occurre(, or a su/sta'tial part of propert, that is the su/6ect of the
actio' is situate(, or
3F4 a 6u(icial (istrict i' 1hich a', =1hereD (efe'(a't -a, /e fou'(, if there is 'o
(istrict i' 1hich the actio' -a, other1ise /e /rou*ht.
Foru% Non Con"eniens: 'arro1s (o1' the possi/ilities still further.
A reIuire-e't independent o1 and in addition to1 !urisdiction and "enue+
Usuall, 'ot a((resse( u'til after 6uris(ictio' a'( %e'ue satisfie(
T,picall, raise( i' o'e of t1o 1a,s$ 314 foru- 'o' co'%e'ie's -otio'+ 3"4 -otio' to
tra'sfer u'(er "O U.&.C. R1HGH.
#oru- selectio' clause 1ill usuall, preclu(e -otio'
>ra'ti'* a #NC -otio' reIuires the court to (eter-i'e first there is a' alter'ati%e
foru- i' 1hich the case ca' /e /rou*ht+ other1ise, -otio' ca''ot /e *ra'te(
If the alter'ati%e foru-5s 6uris(ictio' is i' (ou/t, D 3i.e., the -o%i'* part,4 ca'
stipulate to 6uris(ictio' there.
Ba#ancin& Test: O'ce alter'ati%e foru- is i(e'tifie(, court starts 1ith (efere'ce to
Ps chose' foru-, /ut the' 1ei*hs 8pu/licJ a'( 8pri%ateJ co'si(eratio's. All
co'si(eratio's ta0e' to*ether -ust 1ei*h 8hea%il,J i' fa%or of alter'ati%e /efore
court *ra'ts -otio'. &ee Piper Aircraft. Ca%eat$ #orei*' a'( corporate Ps e'6o,s
1ea0er presu-ptio' i' fa%or of their chose' foru-. The, ha%e represe'tatio' all
o%er the *lo/e, are sophisticate(, a'( so the, (o'5t *et the sa-e 0i'( of (efere'ce.
Federa# Transer R @D USC 0:<:: the re-e(, for #oru- No' Co'%ie's Q this is 1hat
ca' happe' 1he' the foru- is 'ot co'%e'ie't.
The -echa'is- /, 1hich 1e se'( a case fro- o'e fe(eral (istrict court to a'other.
A-o'* the fe(eral courts, tra'sfer is the %ehicle follo1i'* #NC
<roa(er tha' #NC.
Use( i' -ulti9(istrict liti*atio'
1GG
Plai'tiff ca' raise a 1HGH -otio' 3a'( 'ot a #NC4
SECTION 5. SUB4ECT 7ATTER 4URISDICTION
A. T6e Basic 8uestion: Federa# 8uestion and Di"ersit- 4urisdiction
Khere the #e(eral Bu(iciar, >ets its Po1er$
Article III O# U& CON&TITUION, &ECTION "$ This sectio' is o'l, a/out fe(eral
courts, 'ot states
99the fe(eral 6u(icial po1er shall e2te'( i' all cases of la1 a'( eIuit, to
99cases /et1ee' citi:e's of (iffere't states i' fe(eral courts
99or e2clusi%el, fe(eral su/6ects;1hich are rare3&her-a' A'titrust a' e2a-ple4
"O U&C R1FF1A#e(eral Iuestio'
99fe(eral courts 1ill ha%e ori*i'al 6uris(ictio'3as oppose( to appellate
6uris(ictio'4 o%er certai' su/6ect -atters 1hich arise u'(er the co'stitutio', la1s,
or treaties of the U&
"O U&C R1FF"ADi%ersit, of citi:e'ship+ a-ou't i' co'tro%ers,, costs
99the (istrict court shall ha%e ori*i'al 6uris(ictio' o%er all ci%il actio's 1here the
-atter i' co'tro%ers, e2cee(s the su- or %alue of !5 thousa'( (ollars 3that5s
-i'i-u- li-it4
#RCP AND &U<BECT )ATTER BURI&DICTION$
Ru#e 0@+6,+A,=the court (oes'5t 'ee( to 1ait for parties to raise the su/6ect -atter
6uris(ictio' issue+ it ca' raise it o' its o1'+ i' fact it is o/li*ate( to co'si(er this Iuestio'
if it thi'0s it5s a' issue. &U<BECT )ATTER BURI&DICTION CAN NEVER <E
KAIVED
3OUSI5I33E L NASH5I33E RR CO. 5 7OTT3E/
SCOTUS1 0G<D=p. )G0
Fuote$
Defi'es Iarises underJ:
Ia suit arises under the Co'stitutio' a'( la1s of the U'ite( &tates on#- 96en t6e
p#ainti>s state%ent o 6is o9n cause o action s6o9s t6at it is 'ased upon t6ose #a9s
or t6at Constitution. It is 'ot e'ou*h that the plai'tiff alle*es so-e a'ticipate( (efe'se
to his cause of actio', a'( asserts that the (efe'se is i'%ali(ate( /, so-e pri%isio' of the
Co'stitutio' of U'ite( &tates.J
#ACT&$ Appellees are resi(e'ts a'( citi:e's of Ee'tuc0,, 1ho /rou*ht this suit i'
eIuit, i' the circuit Court of the U& for Kester' District of Ee'tuc0, a*ai'st the
appella't, a railroa( co-pa', a'( a citi:e' of the sa-e state. O/6ect of the suit 1as to
1G1
co-pel specific perfor-a'ce of a co'tract 1hich pro-ise( the- free passes o' the RR
for life i' e2cha'*e for the )ottle,5s releasi'* their ri*hts to /ri'* clai-s fro- (a-a*es
the, suffere( fro- a' acci(e't o' the trai'.
Defe'(a't perfor-e( this co'tract /ut the' stoppe( re'e1i'* the passes at so-e poi't,
a/out thirt, ,ears after the acci(e't. The reaso' the RR cites for 'o lo'*er *i%i'* the-
the free passes is a 'e1 fe(eral statute 1hich for/i(s the *i%i'* of free passes or free
tra'sportatio'.
99Plai'tiff ar*ues i' respo'se to this clai- that$
99the act passe( /, Co'*ress (oes 'ot prohi/it *i%i'* the- free passes u'(er the
circu-sta'ces
99if the la1 is to /e co'strue( as proh/iti'* such passes, it is i' co'flict 1ith the
5
th
a-e'(-e't /ecause it (epri%es the plai'tiffs of their propert, 1ithout (ue
process.
A suit arises u'(er the Co'stitutio' a'( la1s of the U& o'l, 1he' the plai'tiff5s
state-e't of his o1' cause of actio' sho1s that it is /ase( upo' those la1s or that
Co'stitutio'.
T.E COURT5& REA&ONIN>99It is not enou&6 t6at t6e p#ainti a##e&es so%e
anticipated deense to 6is cause o action1 and asserts t6at t6e deense is
in"a#idated '- so%e pro"ision o t6e Constitution o US =/asicall, 6ust /ecause
the (efe'(a't5s (efe'se is *o%er'e( /, fe(eral statute is'5t e'ou*h, /ecause
plai'tiff5s clai- is 'ot a fe(eral clai- i' 'atureD
>ol(/er*$ Coul( tr, to re/ut the Co'clusio' /, &COTU& here /, focusi'* o' the
la'*ua*e of Article III 1hich states 8arisin& under this Co'stitutio'J;coul( sa, this
case 1ill arise u'(er Co'stitutio' si'ce it 1ill i'%ol%e co'stitutio'al ar*u-e't
)as % Perr,ADi( Ke >o O%er It I' CLA&&C NEED NOTE& I# KE DID
B. Supp#e%enta# 4urisdiction and Re%o"a#
Supp#e%enta# 9 3a0a 8pe'(a't 6uris(ictio'4 Q 1e ca' appe'( state la1 clai-sNtheories to
a fe(eral case 1ith sufficie't su/6ect -atter 6uris(ictio'. It is use( 1he' it 1oul( /e a
1aste of ti-e to liti*ate t1ice /ecause it is the sa-e facts, (isco%er,, parties, etc; If the
court refuses supple-e'tal 6uris(ictio' ,ou ca' ha%e t1o trials, o'e i' fe(eral court a'(
o'e i' state court, or o'e co-/i'e( trial i' state court.
USC Q0A)B: Supp#e%enta# 4urisdiction 3this statute 1as 1ritte' i' respo'se to ,inle#
a'( after the t1o cases /elo1AO1e' a'( >i//s4
+a, &upple-e'tal Buris(ictio' >e'erall,
I' a', ci%il actio' 1hich the (istrict courts ha%e ori* 6, e2cept as pro%i(e( i' 3/4 a'( 3c4,
1G"
99fe( cts 1ill ha%e 6uris(ictio' ;o%er all other clai-s that are so relate( to clai-s
i' the actio' 1ithi' such ori*i'al 6uris(ictio' that the, for- part of the sa-e case
or co'tro%ers, u'(er Article III
99such supple-e'tal 6uris(ictio' 1ill i'clu(e clai-s that i'%ol%e 6oi'(er or
i'ter%e'tio' of a((itio'al parties
+', Di%ersit, e2ceptio'
i' a', ci%il actio' 1here (istrict courts ha%e ori*i'al 6uris(ictio' fou'(e( solel, o'
(i%ersit, of citi:e'ship 31FF"4
99there is 'ot supp 6 for clai-s '- p#ainti /rou*ht a*ai'st parties /rou*ht i'to
the suit /ase( o'$
99 1H 3i-pea(er4, 1 36oi'(er of perso'4, "G 3per-issi%e 6oi'(er of parties4,
or "H
991he' e2ercisi'* such supple-e'tal 6uris(ictio' 1oul( /e i'co'siste't
1ith the 6uris(ictio' reIuire-e'ts of sectio' 1FF". =so the court ca'5t
e2ercise supple-e'tal 6uris(ictio' o%er a clai- /, the plai'tiff a*ai'st a
'o'9(i%erse part, /rou*ht i'to the suit /, these %arious rulesD
E)plantor# :#potheticals$
a (i%ersit, case 1here ,ou ha%e N@ plai'tiff sui'* NB (efe'(a't;.the NB (efe'(a't
i-plea(s a'other N@ (efe'(a't
99the N@ plai'tiff ca'5t /ri'* 'e1 clai-s a*ai'st the 'e1 N@ (efe'(a't /ecause
1F7!3/4 sa,s plai'tiff ca'5t /ri'* clai-s a*ai'st perso's -a(e part, u'(er rule
1H, 1, "G, or "H 1hich 1oul( 'ot -eet 1FF" 6uris(ictio' reIs.
Khat a/out if 1ith sa-e h,po, the '6 (efe'(a't i-plea(s a'other '6 (efe'(a't+
99the court ca' allo1 this i-plea(er /ecause the (efe'(a't is the o'e /ri'*i'* the
'e1 clai-s;.the e2ceptio' i' 1F7!3/4 applies to p#aintis 'rin&in& clai-s
a*ai'st perso's -a(e part, /, rule 1H, 1, "G, or "H o'l,.
3c4 Discretio'
District Courts -a, (ecli'e to e2ercise supp 6. o%er clai- u'(er su/sectio' 3a4 if$
314 clai- raises a 'o%el or co-ple2 issue of &tate La1
3"4 the clai- su/sta'tiall, pre(o-i'ates o%er the clai- 1hich (ist. Ct. has ori*.
6uris(ictio'
3F4 (istrict ct. has (is-isse( all clai-s o%er 1hich it has ori*. 6uris(ictio'
3H4 i' e2ceptio'al circu-sta'ces, there are other co-pelli'* reaso's for (ecli'i'*
6uris(ictio'
UNITED 7INE WOR.ERS OF A7ERICA 5 ;IBBS
SCOTUS1 0G))=p. )GG
This Case is loo0i'* at U& Co'stitutio' Article III &ectio' " to (eci(e if fe(eral court ha(
proper authorit, to (eci(e /oth the state a'( fe(eral clai-s /rou*ht /, the plai'tiff
1GF
This case spa1's the >I<<& TE&T, 1hich allo1 tests to (eci(e if a fe(eral court ca'
properl, e2ercise 6uris(ictio' o%er /oth a fe(eral a'( a state clai-.
>I<<& TE&T$
314 (o the t1o clai-s arise out of a 8co%%on nuc#eus o operati"e actsJ
3"4fe(eral clai-s -ust /e su/sta'tial part of the case+ ca'5t 6ust /e tac0e( o' to
the state clai- as a' a((e'(u-
*e# Fuote!
8The state a'( fe(eral clai-s %ust deri"e ro% a co%%on nuc#eus o operati"e act.
<ut if, co'si(ere( 1ithout re*ar( to their fe(eral or state character, a plai'tiff5s clai-s are
such that he 1oul( or(i'aril, /e e2pecte( to tr, the- all i' o'e 6u(icial procee(i'*, the',
assu-i'* su/sta'tialit, of the fe(eral issues, there is po1er i' fe(eral courts to hear the
1hole.J
#acts$ U)K local 5OO1 thi'0s the, 1ere pro-ise( the 6o/s for the 'e1 -i'e. The, /eat
up >i//s 1he' the, ope' the -i'e a'( *i%e it to a (iffere't u'io'. >i//s loses his
respo'si/ilit, /c he is so re%ile( a'( loses future 6o/s as 1ell
" clai-s /rou*ht$ O'e #e(eral, O'e &tate Clai-
#e(eral clai-Ala/or -a'a*e-e't relatio's act RFGF+ clai-s i'ter'atio'al u'io' /ro0e
the la1 a/out seco'(ar, /o,cotts.
Co--o' la1 of Te''essee clai-Aa' u'la1ful co'spirac, to i'terfere 1ith his co'tract
<ri'*s <oth Clai-s i' #e(eral Court$ The suit 1as /rou*ht i' the U& District Court for
the Easter' District of Te''essee, a'( 6uris(ictio' 1as pre-ise( o' alle*atio's of
seco'(ar, /o,cotts u'(er RFGF. The state la1 clai-, for 1hich 6uris(ictio' 1as /ase(
upo' is the (octri'e of pendent !urisdiction.
I' the e'( 1e ha%e ;i''s on#- actua##- 9innin& on state #a9 c#ai% and ai#in& on
edera# c#ai% i' fe(eral court. The 6ur, ca-e /ac0 for the plai'tiff o' fe(eral la1 clai-,
/ut the' the 6u(*e e'(e( up (oi'* a 6.'.o.%.
99the co'cer' is that there is 'o /asis for fe(eral court to carr, o' 1ith this case
/ecause it appears the case -a, 'ot arise u'(er fe(eral la1
991e5re tal0i'* a/out article III;the co'stitutio'al li-its o' the fe(eral court
=u'li0e O1e' 1hich is co'cer'e( 1ith the statutor, li-its set out i' U&C 1FF1
AND 1FF"D
Pendent 4urisdiction Deined
Pe'(e't 6uris(ictio' e2ists 1he'e%er there is a clai- 8arisi'* u'(er the Co'stitutio';.J
Article III a'( the relatio'ship /et1ee' that clai- a'( the state clai- per-its the
co'clusio' that the e'tire actio' /efore the court co-prises o'e co'stitutio'al 8caseJ.
1GH
Ke *et a test out o ;i''s t6at is t9o part to (eci(e if state a'( fe(eral clai- are /oth
part of sa-e co'stitutio'al case, thus -a0i'* fe(eral court 6uris(ictio' o%er the state
clai- proper =>I<<& TE&TD
314 (o the t1o clai-s arise out of a 8co%%on nuc#eus o operati"e actsJ
3"4fe(eral clai-s -ust /e su/sta'tial part of the case+ ca'5t 6ust /e tac0e( o' to
the state clai- as a' a((e'(u-
If @ou Pass the >i//s Test &till Nee( Not E2ercise Buris(ictio' It5s Discretionar-
Doctrine
Considerations in"o#"ed in t6e !ud&e>s discretion to use pendent !:
996u(icial eco'o-,
99fair'ess to liti*a'ts
Discretio'ar, >ui(e
Khe' to (is-iss$
'ee(less (ecisio's of state la1 shoul( /e a%oi(e( /oth as a -atter of co-it, a'( to
pro-ote 6ustice /et1ee' the parties, /, procuri'* for the- a surer9foote( rea(i'* of
applica/le la1
if fe(eral clai-s are (is-isse( /efore trial, the' state clai-s shoul( also /e (is-isse(
if state clai-s pre(o-i'ate the case, the state clai-s -a, /e (is-isse( 1ithout
pre6u(ice to /e (eci(e( /, the state courts;so the fe(eral clai- is tac0e( o' to *et the
6uris(ictio' i' esse'ce.
if the 6ur, -a, /e co'fuse( i' treati'* (i%er*e't le*al theories of relief, the'
separati'* state a'( fe(eral clai-s is /etter
Khe' 'ot to (is-iss$
1he' state clai- is so closel, tie( to the fe(eral polic, Iuestio's that the ar*u-e't for
e2ercise of pe'(e't 6uris(ictio' is stro'*
1he' the state a'( fe(eral clai-s arise fro- the sa-e 'ucleus of operati%e fact
Resu#t: court 'ot prepare( to sa, that the (istrict court e2cee(e( its (iscretio' i'
procee(i'* to 6u(*-e't o' the state clai-
99the state a'( fe(eral clai-s i' this case arose fro- t6e sa%e nuc#eus o
operati"e act and re#ected a#ternati"e re%edies.
99ho1e%er, it is true that RFGF clai-s ulti-atel, faile( a'( that the o'l, reco%er,
allo1e( 1as o' the state clai-;.the court ca''ot sa, ho1e%er that the fe(eral
issues 1ere so re-ote that i' effect the state clai- 1as the o'l, o'e trie(.
OWEN E8UIP7ENT AND ERECTION CO7PAN/ 5 .RO;ER
SCOTUS1 0GBD=p.B<A
*e# Fuotes!
If the fe(eral court coul( e2ercise 6uris(ictio' i' a case li0e this;8a plai'tiff coul( (efeat
the statutor, reIuire-e't of co-plete (i%ersit, /, the si-ple e2pe(ie't of sui'* o'l,
1G5
those (efe'(a'ts 1ho 1ere of (i%erse citi:e'ship a'( 1aiti'* for the- to i-plea(
'o'(i%erse (efe'(a'ts.J =tr,i'* to a%oi( foru- shoppi'* it appearsD
8Neither the co'%e'ie'ce of liti*ata'ts 'or co'si(eratio's of 6u(icial eco'o-, ca' suffice
to 6ustif, e2te'sio' of (octri'e of a'cillar, 6uris(ictio' to a plai'tiff5s cause of actio'
a*ai'st a citi:e' of the sa-e &tate i' a (i%ersit, case.J
#acts$ Kro'*ful (eath actio' /, 0ro*er5s sur%i%i'* 1ife a*ai'st the po1er co-pa',
3OPPD4 /ecase their li'es electrocute( her hus/a'(. &he sues OPPD i' fe(eral court i'
Ne/ras0a. .er /asis for fe(eral 6uris(ictio' is that OPPD is a Ne/ras0a co-pa', a'( she
is a' Io1a Resi(e't.
Proce(ural Posture$
99OPPD i-plea(s O1e' EIuip 3rule 1H3a44 O1e' is also suppose(l, a Ne/ras0a
Corporatio'
99Ero*er a-e'(s their co-plai't to i'clu(e a clai- a*ai'st O1e'. 3this is a'
i'(epe'(e't a'( separate clai- tha' the ori*i'al clai- accor(i'* to the court4
99Ero*er5s clai-s a*ai'st OPPD *et (is-isse( u'(er su--ar, 6u(*-e't
99Ke5re left 1ith Ero*er % O1e'
99It co-es out (uri'* the trial that O9en is a not on#- a citiUen o Ne'ras$a1 'ut a#so a
citiUen o Io9a;3corporatio' hea(Iuarters ca' /e citi:e's of place 1here the,
i'corporate( a'( their pri'cipal place of /i:4
I'itiall,;..

After OPPD5s &u--ar, Bu(*-e't )otio' >ra'te(;
&i'ce there is 'o lo'*er (i%ersit, 'ecessar, to *o throu*h the ;i''s Test @2part test$
314 (o the, arise fro- co--o' 'ucleus of operati%e fact
1G7
Ero*er
3P9Io1a4
OPPD 3D9Ne/4
O1e' Co'st.
3Ne/ras0a W
Io1a4
Ero*er
3P9Io1a4
O1e' Co'st.
D 3Ne/ras0a
Io1a4
99,es /ecause the, arise fro- sa-e set of e%i(e'ce a'( sa-e e%e't
of electrocutio'
3"4 fe(eral clai-s -ust /e su/sta'tial part of the case+ ca'5t 6ust /e tac0e(
o' to the state clai- as a' a((e'(u-
99fe( clai-s issue 'ot applica/le /c 1e5re (eali'* 1ith a state
clai-
The ce'tral co'cer' for the court is that the, -a, 'ot ha%e 6uris(ictio' u'(er either of
their -ea's to1ar( 6uris(ictio'Aha%e 'either sectio' 1FF13fe(eral Iuestio'4 'or
1FF"3(i%ersit,4
99fe( cts are courts of li-ite( 6uris(ictio', so the, ca' o'l, hear cases the, ha%e
/ee' autorhoi:e( to hear
a O1e' has this sa-e effect of (estro,i'* the (i%ersit, of parties, thus this
shoul( 'ot /e allo1e(
if the, allo1e( this to /e trie( i' fe(eral court, t6en Ia p#ainti cou#d deeat
t6e statutor- re?uire%ent o co%p#ete di"ersit- '- t6e si%p#e e(pedient o
suin& on#- t6ose deendants 96o 9ere o di"erse citiUens6ip and 9aitin& or
t6e% to i%p#ead nondi"erse deendants.J
R/.BVAL
@D USC Q 0::0 : Actions Re%o"a'#e ;enera##-
3a4 *e'eral rule that (efe'(a't ca' re-o%e to fe(eral court for a', ci%il actio' /rou*ht i'
a &tate court of 1hich the (istrict courts of U& ha%e ori*i'al 6uris(ictio'3so *e'eral rule
is ,ou ca' re-o%e a',thi'* to fe(eral, (i%ersit, or fe(eral clai-Aho1e%er 3/4 sets out
o'e i-porta't e2ceptio'4
3/4 #or a', ci%il actio' arisi'* u'(er 8co'stitutio', treaties or la1s of the U'ite(
&tatesJ 8shall /e re-o%a/le 1ithout re*ar( to the citi:e'ship or resi(e'ce of the
parties.J
Di%ersit, Re-o%al E2ceptio'Aho1e%er, (efe'(a't can>t re%o"e to edera# court if
(efe'(a't is a citi:e' of the state 1here the suit is i'itiall, /rou*ht 3i.e. if ,ou are a 'e1
6erse, citi:e' sue( i' a 'e1 6erse, state court /, a out of state resi(e't, ,ou ca''ot
re-o%e to fe(eral court+
Ratio'ale <ehi'( this E2ceptio' for Re-o%al$ poi't of (i%ersit, 6 is to
preclu(e (efe'(a'ts fro- /ei'* pre6u(ice( /, /ei'* trie( i' out of state
court;if the plai'tiff /ri'*s suit the' (efe'(a't has ho-e court a(%a'ta*e
alrea(,, so 'o 'ee( to let the (efe'(a't s1itch the foru-

3c4 Khe'e%er there is a separate a'( i'(epe'(e't clai- or cause of actio' 1ithi' the
6uris(ictio' co'ferre( /, 1FF1, a'( this clai- is 6oi'e( 1ith o'e or -ore other1ise 'o'9
1G!
re-o%a/le clai-s the e'tire actio' -a, /e re-o%e( a'( the (istrict court -a,
(eter-i'e all issues therei'. .o1e%er, the (istrict court is free to re-a'( at its (iscretio'
for all -atters i' 1hich &tate La1 pre(o-i'ates.
BURNETT 5 BIR7IN;HA7 BOARD OF ED.
Nort6ern District A#a'a%a1 0GG:=p. B0B
1HH1 3c4 is critical to this case /ecause of this la'*ua*e$ 8.o1e%er, the (istrict court is
free to re-a'( at its (iscretio' for all -atters i' 1hich &tate La1 pre(o-i'ates.J
.e- 8uotes:
8The clear tre'( a-o'* the fe1 6uris(ictio's that ha%e co'si(ere( this Iuestio';is that
the a-e'(e( re-a'( clause of R1HH1 3c4 'o1 allo1s for a re-a'( of the e'tire case,
fe(eral clai- i'clu(e(, 1here 8state la1 pre(o-i'atesJ.
8The i'sta't case is -ore li0e a fe(eral clai- tac0e( o'to a state clai- tha' %ice %ersa.
This court (oes 'ot fi'( a 'ucleus of operati%e fact co--o' to the state a'( fe(eral
clai-s i' the i'sta't case. The state la1 clai-s are 'ot pe'(e't to the fe(eral clai- /ut
are (o-i'a'tJ
#ACT&$ Plai'tiffs E--a <ur'ett et al are e-plo,ees of (efe'(a't, <ir-i'*ha- /oar( of
e(. Their state court co-plai't co'siste( of a petitio' for 1rit of -a'(a-us see0i'* to
force (efe'(a't to pa, plai'tiffs i' accor(a'ce 1ith the scale alle*e(l, calle( for /, their
6o/ classificatio'. This is clearl, a state9la1 clai-.
The, a((e( a clai- u'(er the state la1 for /reach of co'tract.
#e(eral Clai-99The' the, thre1 i' a cou't clai-i'* that the, 1ere i' so-e u'(escri/e(
1a, (epri%e( of the (ue process *uara'tee( the- /, the co'stitutio' of Ala/a-a a'( /,
the co'stitutio' of the U& i' the latter i'sta'ce i'%o0i'* U&C 1OF as the statutor,
%ehicle for e'force-e't.
PROCEDURAL$
#ollo1i'* (efe'(a'ts5 re-o%al of the case to circuit court pursua't to U&C R1FF1 a'(
1FHF, upo' alle*atio' that a fe(eral Iuestio' u'(er U&C R1OF is prese'te(, plai'tiffs
ti-el, file( a -otio' to re-a'( to state court, i'%o0i'* U&C R1HH13c4 a'( asserti'* that
/ecause state la1 pre(o-i'ates the e'tire 8-atterJ shoul( /e re-a'(e(.
99if case reall, a/out state la1, the' the fe( court ca' re-a'( the e'tire case;1ith /oth
fe( a'( state clai-s /ac0 to the state court
991h, ca' fe( court se'( a fe(eral clai- to a state court;1hat5s -oti%atio'
/ehi'( 1HH13c4 esse'tiall,C
99so-eti-es it5s prefera/le 1he' there is operati%e 'ucleus of sa-e facts
to ha%e o'e court (eci(e e%er,thi'*;if the fe( ct ca't (eci(e the state
1GO
issues a'( the, pre(o-i'ate the clai-;.the' -a0es -ore se'se to let the
state court to (eci(e e%er,thi'*, i'clu(i'* fe(eral issues
SECTION 5I: CHOICE OF FEDERA3 OR STATE 3AW=
THE /R0/ DOCTRINE
A. C6oice o 3a9 in Federa# Court: T6e /rie Pro'#e%
ERIE RAI3ROAD CO. 5 TO7P.INS=p. B@:
SCOTUS1 0GAD
Co'tri/utio' to choice of la1$ sa,s #e(eral Courts are /ou'( to follo1 state co--o'
la1, 'ot 6ust state statutes. #e( Ct5s ca'5t 6ust -a0e up the 8fe(eral *e'eral co--o'
la1J a',-ore.
?uotes$ 8E2perie'ce i' appl,i'* the (octri'e of &1ift % T,so' ha( re%eale( its (efects,
political a'( social+ a'( the /e'efits e2pecte( to flo1 fro- the rule (i( 'ot accrue.J
#acts$ To-p0i's, a citi:e' of Pe''s,l%a'ia, 1as i'6ure( o' a (ar0 'i*ht /, a passi'*
frei*ht trai' of the Erie RR CO3N@ Corp4 1hile 1al0i'* alo'* its ri*ht of 1a, at
.u*hesto1', i' Pe''s,l%a'ia. .e clai-e( that the acci(e't resulte( throu*h 1a, of
'e*li*e'ce i' the operatio', or -ai'te'a'ce, of the trai'+ that he 1as ri*htfull, o' the
pre-ises as lice'see /ecause o' a co--o'l, use( /eate' footpath 1hich ra' for a short
(ista'ce alo'*si(e the trac0s+ a'( that he 1as struc0 /, so-ethi'* 1hich loo0e( li0e a
(oor pro6ecti'* fro- o'e of the -o%i'* cars.
To-p0i's is Tr,i'5 to Escape PA Co--o' La1$ The co--o' la1 of PA 1oul( 'ot
allo1 To-p0i's to esta/lish lia/ilit, /ecause To-p0i's 1oul( /e treate( as a trespasser
a'( thus the RR 1oul( o1e hi- 'o (ut, of care tur's out that /oth N@ a'( PA choice
of la1 rules also (ictate that PA la1 1oul( co'trol i' either state court
.arr, To-p0i's 'ee(s to *et to #e(eral Court to Escape PA Co--o' La1 3foru-9
shopper e2traor(i'aire4 there is (i%ersit, of citi:e'ship so he ca' *et there.
U'(er Swift, the #e(eral Court the fe( ct ca' appl, its o1' *e'eral fe(eral co--o' la1
i' the a/se'ce of a state statute;
The fi*ht i' this case is o%er 1hat the ter- 8LAK&J -ea's i' R175" #e(eral Bu(iciar,
Act
s1ift sa,s the 1or( la1s o'l, -ea' state statututes;'ot state co--o' la1
Bustice <ra'(eis$ )a6orit,$ O"erturns S9it or t6ree unda%enta# reasons
1. #e&is#ati"e 6istor-$ stor, -isi'terprete( co'*ressio'al i'te't
". po#ic-$
99-ichie%ious results are occurri'* /ecause of &1ift+ (i%ersit, e2ists to help out of state
resi(e'ts 'ot /e (iscri-i'ate( a*ai'st i' a state court;./ut reall, 1hat &1ift (i( 1as 6ust
1G
allo1 foru- shoppi'* a'( *a%e the 'o'9citi:e' a /i* a(%a'ta*e o%er citi:e' /ecause o'ce
the, *et i'to fe( ct ca' escape the state la1
998-ischie%ous resultJ e2a-ple$ 0lac% H 1hite "a)icab ;o. v 0rown H Yellow
"a)icab ;o.$ O'e Co-pa', rei'corporate( i' a (iffere't state 6ust so the, ca'
esta/lish (i%ersit, a'( file i' fe( ct to *et the- to uphol( ,our e2clusi%it,
co'tract to *et arou'( the Ee'tuc0, co--o' la1. =>oo( e2a-ple to use if o'e
1ishes to (iscuss the e2cesses of foru- shoppi'*D
99 creates co'fusio' a'( a lac0 of u'ifor-it,
99s1ift 1as suppose( to *et %ertical u'ifor-it,, /ut i'stea( 1e 6ust *et
i'co'siste't 6uris(ictio' /ecause state courts are'5t follo1i'* the fe(eral court
ruli'*s
F. constitutiona# pro'#e%$ fe( courts shoul('5t /e (eclari'* la1 for -atters that are
totall, u'(er the so%erei*'t, of the particular states
99/ut the court (oes'5t actuall, tell us 1hat co'stitutio'al clause 1as %iolate(;
the, are %er, %a*ue a/out this a'( that5s 1h, the co'curri'* opi'io' /, Ree( is
Iuite critical of co'stitutio'al ar*.
;UARANT/ TRUST CO. 5 /OR.=p. BA@
SCOTUS1 0G:*
Co'tri/utio' to Choice of La1$ Outco%e Deter%inati"e Test
?uotes$
#e( Cts &itti'* I' Di%ersit, Are Bust Li0e &tate Courts$ 8<ut si'ce a fe(eral court
a(6u(icati'* a &tate9create( ri*ht solel, /ecause of the (i%ersit, of citi:e'ship of the
parties is for that purpose, i' effect, on#- anot6er court o t6e State, it ca''ot affor(
reco%er, if the ri*ht to reco%er is -a(e u'a%aila/le /, the &tate nor can it su'stantia##-
aect t6e enorce%ent o t6e ri&6t as &i"en '- t6e State.
Outco%e Deter%inati"e Test$ 8The i'te't of that (ecisio' =ErieD 1as to i'sure that, i'
all cases 1here a fe(eral court is e2ercisi'* 6uris(ictio' solel, /ecause of the (i%ersit, of
citi:e'ship of the parties, t6e outco%e o t6e #iti&ation in t6e edera# court s6ou#d 'e
su'stantia##- t6e sa%e1 so ar as #e&a# ru#es deter%ine t6e outco%e o a #iti&ation1 as
it 9ou#d 'e i tried in a State court.J
#acts$ >uara't, Trust acti'* as a trustee a*ree( to a /u,9out pla' i' 1hich 'otehol(ers of
the Va' & corp recei%e( o'l, 5G[ of the face %alue of their 'otes. The suit, i'stitute( as
a class actio' o' /ehalf of 'o'accepti'* 'otehol(ers a'( 'rou&6t in ed ct. so#e#-
'ecause o di"ersit-, is /ase( o' a' alle*e( /reach of trust /, >uara't, Trust i' that it
faile( to protect the i'terests of the 'ote hol(ers i' asse'ti'* to the e2cha'*e offer a'(
faile( to (isclose its self9i'terest 1he' spo'sori'* the offer.
N@ state la1 statute of li-itatio's 1oul( /ar case+ /ut 'o such /ar for a case 8i' eIuit,5
i' fe(eral court
11G
The Pro/le- 1ith Yor% v 'uarant# "rust99 U'(er outco-e (eter-i'ati%e test;.the'
e%e' the si:e of the paper the co-plai't is file( u'(er -i*ht /e co'si(ere( to effect the
outco-e;..this see-s 0i'( of ri(iculous
99pro/le- 1ith it is is that the proce(ural stuff reall, 1ill effect the outco-e Iuite
ofte'
B/RD 5 B3UE RID;E RURA3 E3ECTRIC COOPERATI5E1 INC.=p.BA)
SCOTUS1 0G*D
Contri'ution to C6oice o 3a9: The @or0 Outco-e Deter-i'ati%e Test is still %ali(,
ho1e%er there are 8affir-ati%e cou'ter%aili'* co'si(eratio's at 1or0 hereJ 3fe(eral
polic, of /roa( a%aila/ilit, of 6ur, trial4. Thus, 1he' i-porta't fe(eral i'terests are
i-plicate( the, ca' out1ei*h Erie co'si(eratio's a'( the Yor% Outco-e Deter-i'ati%e
Test.
I' deter%inin& 96et6er so%et6in& is procedura# or su'stanti"e, <re''a' loo0s to see
if a state rule is 8 intended to 'e 'ound up 9it6 t6e deinition o t6e ri&6ts and
o'#i&ations o t6e parties.J If ,es, the rule is su/sta'ti%e. If 'o, the' it5s proce(ural.
?uotes$
.ol(i'*$ 8Ke (o 'ot thi'0 the li0elihoo( of a (iffere't result is so stro'* as to reIuire the
fe(eral practice of 6ur, (eter-i'atio' of (ispute( factual issues to ,iel( to the state rules
i' the i'terest of u'ifor-it, of outco-e.J
8The fe(eral s,ste- is a' i'(epe'(e't s,ste- for a(-i'isteri'* 6ustice to liti*a'ts 1ho
properl, i'%o0e its 6uris(ictio'. A' esse'tial characteristic of that s,ste- is the -a''er
i' 1hich, i' ci%il co--o'9la1 actio's, it (istri/utes trail fu'ctio's /et1ee' 6u(*e a'(
6ur, a'(, u'(er the i'flue'ceAif 'ot the co--a'(Aof the !
th
a-e'(-e't, assi*'s the
(ecisio's of (ispute( Iuestio's of fact to the 6ur,.J
#acts$ Petitio'er, a resi(e't of NC, sue( respo'(e't a &C corporatio' for (a-a*es for
i'6uries alle*e(l, cause( /, the respo'(e't5s 'e*li*e'ce. Respo'(e't is i' the /usi'ess
of selli'* electric po1er to su/scri/ers i' rural sectio's of &C. Petitio'er 1as hurt 1hile
co''ecti'* po1er li'es to o'e of the 'e1 su/statio's. Petitio'er 1as e-plo,e( as a
li'e-a' i' the co'structio' cre1 of a co'structio' co'tractor.
Respo'(e'ts raise affir-ati%e (efe'se that u'(er &C 1or0er5s co-pe'satio' act the
petitio'er ha( the status of a statutor, e-plo,ee of respo'(e't a'( 1as therefore /arre(
fro- sui'*.
T6e Factua# Issue In 8uestionA 1hether or 'ot <,r( co'stitutes a' e-plo,ee or a
su/co'tractor;(i( his acti%ities -eet the (efi'itio' of e-plo,ee u'(er su/co'tract
T6e 3e&a# Issue: 4ud&e " 4ur-$ &outh Caroli'a la1 1oul( *i%e this factual Iuestio' to
the 6u(*e;.i' fe( cts this Iuestio' coul( /e *i%e' to the 6ur,
111
TKO Q PART ANAL@&I&$
I. Is the Bu(*eNBur, Disti'ctio' of Kho Deter-i'es the E-plo,ee Defi'itio' a
&u/sta'ti%e or Proce(ural Ri*htC
RESU3T: Brennan Conc#udes It>s Procedura#$ 8Thus the reIuire-e't appears
to /e -erel, a for- a'( -o(e of e'forci'* the i--u'it,, a'( not a ru#e
intended to 'e 'ound up 9it6 t6e deinition o t6e ri&6ts and o'#i&ations o
t6e parties.J
II. E%e' if Proce(ural, (oes Yor% ReIuire That the Court Appl, &tate La1 No'ethelessC
Outco%e Deter%inati"e "ersus Federa# Po#ic- :
Outco%e Deter%inati"e Test <re''a' co'ce(es that, a/se't, other
co'si(eratio's, the outco-e (eter-i'ati%e test 1oul( %er, li0el, reIuire the court
to appl, state la1 to the 6u(*e96ur, issue.
Counter"ai#in& Federa# Po#icies$ .o1e%er, it s6ou#d not 'e so#e consideration.
There are 8affir-ati%e cou'ter%aili'* co'si(eratio's at 1or0 hereJ 1hich arise
fro- the fe( ct5s status as a' i'(epe'(e't 6u(icial s,ste-. The Co'stitutio'al !
th

A-e'(-e't Ri*ht to 6ur, is i-plicate( here.
RESU3T: Erie Polic, of -a2i-i:i'* u'ifor-it, of outco-e shoul( ,iel( to the
fe(eral polic, of /roa( a%aila/ilit, of 6ur, trial. The fe(eral polic, tru-ps @or0
outco-e (eter-i'ati%e.
99assu-ptio' of outco-e of the liti*atio' -a, /e su/sta'tiall, affecte( /, 1hether the
issue is (eci(e( /, 6u(*e or 6ur, here there is 'o certai't, that a (iffere't result 1oul(
follo1
HANNA 5 P3U7ER=p. B:<
SCOTUS1 0G)*
Contri'ution to C6oice o 3a9: Ke ha%e a case 1here #RCP a'( &tate Rule (irectl,
colli(eAu'li0e other cases. This case ser%es t1o fu'ctio's$
1. ,or ?nguided Erie ;hoice (roblems99/ac0s a1a, fro- the Yor% outco-e
(eter-i'ati%e test /, offeri'* -o(ifie( outco-e (eter-i'ati%e test 1hich co'si(ers
outco-e (eter-i'ati%e test i' refere'ce to t1i' ai-s of ErieA-ea'i'* that if the
(iffere'ce is 'ot -a6or e'ou*h that it 1oul( 'ot cause 314 foru- shoppi'* 'or 3"4
i'eIuita/le a(-i'istratio' of the la1s, the' (o'5t use state rule. If the co'flict (oes'5t
affect these t1i' ai-s it is sai( 'ot to /e a su/sta'ti%e co'flict a'( thus state rule 1o'5t
/e applie(.
". 1hen there is a direct clash between ,-;( and State -ule, the #RCP rule 1ill ta0e
prece(e'ce u'less the rules 8a'rid&e1 en#ar&e1 or %odi- an- su'stanti"e ri&6t.J="O
U&C "G!" 3/4 3Rules E'a/li'* Act4D.
11"
Karre' tal0s a/out t1o9part a'al,sis 1he' ,ou ha%e state proce(ure % fe(eral proce(ure
1. if (irect co'flict /et1ee' the t1o rules, the' the a'al,sis is actuall, fairl,
li-ite(+ all that is to /e loo0e( at is (oes fe(eral rule 8su/sta'tiall, e'lar*e,
-o(if, or a/ri(*e su/sta'ti%e ri*htJ if ,es it %iolates Rules E'a/li'* Act, if 'o,
the #RCP Rule *o%er's. =.ANNA PART II ANAL@&I&D
". if 'o co'flict, it5s o0 to use fe( rule u'(er 'ecessar, a'( proper clause
99loo0 at outco-e u'(er " ai-s of Erie 3foru- shoppi'* a'( i'eIuita/le
a(-i'istratio' of the la1s4
8uotes:
INot o'l, are 'o'su/sta'tial, or tri%ial %ariatio's 'ot li0el, to raise the sort of eIual
protectio' pro/le-s 1hich trou/le the Court i' Erie the, are also u'li0el, to i'flue'ce
the choice of a foru-. T6e Toutco%e2deter%ination> test t6ereore cannot 'e read
9it6out reerence to t6e t9in ai%s o t6e Erie ru#e$ (iscoura*e-e't of foru-9shoppi'*
a'( a%oi(a'ce of i'eIuita/le a(-i'istratio' of the la1s.J
8To hol( that the #e(eral Rules of Ci%il Proce(ure -ust cease to fu'ctio' 1he'e%er it
alters the -o(e of e'forci'* state9create( ri*hts 1oul( /e to (ise-/o1el either the
Co'stitutio'5s *ra't of po1er o%er fe(eral proce(ure or Co'*ress5 atte-pt to e2ercise
that po1er i' the E'a/li'* Act.J
#ACT&$ Plai'tiff 1as citi:e' of Ohio i'6ure( i' car crash i' )ass+ (efe'(a't is )ass
resi(e't. Plai'tiff sues for (a-a*es.
The plai'tiff ser%e( process o' the (efe'(a't, /, lea%i'* the su--o's a'( co-plai't at
his ho-e 1ith 8a perso' suita/le a*e a'( (iscretio'J as reIuire( /, #RCP H3(4314.
.o1e%er, a )ass statute reIuire( i'9ha'( ser%ice upo' the e2ecutor.
It>s a con#ict o Federa# Ru#e " State Ru#e+created '- Statute,
.o1e%er, e%e' thou*h it5s 6ust o%er a -i'or rule of 1hat t,pe of ser%ice, this (iffere'ce
i' the fe(eral %ersus state rule 1ill ha%e a Yor% outco-e (eter-i'ati%e effect /ecause if
ser%ice is %ali( the case *oes for1ar(, 1hile if it5s 'ot the case 1oul( ha%e to /e
(is-isse( si'ce the e2ecutor ha( 'ot /ee' ser%e( 1ithi' the li-itatio's perio(.
(art <Bnal#Ie service issue as though it involved J-elativel# unguided Erie ;hoiceG
between uncodified federal 7udicial practice and state law =the, (i('5t actuall, 'ee( to
(o this, /ut the, (i( for purposes of clarificatio' 1e use .a''a Part I i' a', case as
i-porta't prece(e't for relati%el, u'*ui(e( Erie choicesD
Yor% is (esi*'e( 'ot as a' 8auto-atic Vlit-us paper5 criterio', /ut rather /, refere'ce to
the policies u'(erl,i'* the Erie rule.
#or 8Relati%el, U'*ui(e( Erie ChoiceJ, The Court 'ac$s a9a- ro% Outco%e
Deter%inati"e TestAKe *et %odiied outco%e2deter%inati"e test:
11F
99I'stea( the Courts -ust loo0 at outco-e (eter-i'ati%e test i' refere'ce to the
t1i' ai-s of Erie $ 314 (iscoura*e-e't of foru-9shoppi'* a'( 3"4 a%oi(a'ce of
i'eIuita/le a(-i'istratio' of the la1s.
)o(ifie( Outco-e Deter-i'ati%e Test3i' refere'ce to the t1i' ai-s of Erie applie( here4
1. &tate % #e( Rule co'flict has 'o effect o' choice of foru-$ 8Thou*h choice of
fe(eral or state rule 1ill at this poi't ha%e a -ar0e( effect upo' the outco-e of
liti*atio', the (iffere'ce /et1ee' the t1o rules 1oul( /e of sca't, if a',,
rele%a'ce to the choice of foru-.J
". &tate % #e( Rule co'flict has 'o effect o' eIuita/le a(-i'istratio' of la1s$ 8It
is (ifficult to ar*ue that per-itti'* ser%ice of (efe'(a't5s 1ife to ta0e the place of
i'9ha'( ser%ice of (efe'(a't hi-self alters the -o(e of e'force-e't of state9
create( ri*hts i' a fashio' sufficie'tl, Vsu/sta'tial5 to raise the sort of eIual
protectio' pro/le-s to 1hich the Erie opi'io' allu(e(.J
(art <<! Different nal#sis for cases in which ,-;( conflicts with State $aw EWHICH
IS ACTUA33/ WHAT WE HA5E HERE=NOT RE3ATI5E3/ UN;UIDED
ERIE CHOICEHERIE DOESN>T APP3/ TO THIS CASE IT TURNS OUTF
Warren rescues t6e FRCP$ 8The Erie rule has 'e%er /ee' i'%o0e( to %oi( a #e(eral
RuleJ;I' prior cases, the hol(i'* 1as 8'ot that Erie co--a'(e( (isplace-e't of a
#e(eral Rule /, a' i'co'siste't state rule, /ut rather that the scope of the #e(eral Rule
1as 'ot as /roa( as the losi'* part, ur*e(, a'( therefore, there /ei'* 'o #e(eral Rule
1hich co%ere( the poi't i' (ispute, Erie co--a'(e( the e'force-e't of state la1. J =so it
1as that 1here 'o fe(eral co%ere( the poi't i' (ispute, use the state la1D
<ut 1he' a court faces a situatio' 1here state la1 a'( #RCP (irectl, co'flict;t6is is
not a re#ati"e#- un&uided Erie choice a'( thus$
8the court has /ee' i'structe( to appl, the #e(eral Rule, a'( ca' refuse to (o so
o'l, if the A(%isor, Co--ittee, this Court, a'( Co'*ress erre( i' their pri-a
facie 6u(*-e't that the Rule i' Iuestio' tra's*resses 'either the ter-s of the
E'a/li'* Act 'or co'stitutio'al restrictio's.J
if 1e ha%e a (irect clash;1arre' tells us that 1e o'l, ha%e to as0 1hether the fe(eral
rule -o(ifies, a/ri(*es or co'tra(icts a', su/sta'ti%e ri*ht create( /, state;
99i' this case it (eci(e( this co'flict 1as 'ot su/sta'ti%e e'ou*h
.arla' co'curre'ce
99he (isa*rees 1ith the u'ifor-it, approach
99Erie 1as suppose( to (o -ore tha' 6ust pre%e't these t1o co'crete sce'arios+ it
1as suppose( to pre%e't fe(eral rules that u'(er-i'e state rules i' *e'eral
99appl,i'* fe(eral rule i' this case 1as o0a, /ecause the effect 1as 'ot su/sta'tial
99he thi'0s that the -a6orit, o%erl, co'strai's the Erie approachAhe (ra1s a pri-ar, %
liti*atio' acti%ities (isti'ctio'
11H
991h, (oes'5t a',o'e si*' o' to this approach
99/ecause the' 1e5re *oi'* /ac0 to 6u(*e /, 6u(*e a'al,sis si'ce it5s
%a*ueAKarre'5s opi'io' is pro%i(i'* a clearer a'( si-pler test+ people
(o'5t 1a't these %a*ue sta'(ar(s li0e .arla'5s a',-ore
After .a''a % Plu-er 1e ha%e retur'e( i' so-e 1a,s to this &1ift i(ea of u'ifor-it,
991e ha%e u'ifor-it, of proce(ural rules, 1hereas i' &1ift it 1as u'ifor-it,
a/out su/sta'ti%e la1
C. C6oice o 3a9: Reso#"in& t6e Erie pro'#e%S
WA3.ER 5 AR7CO STEE3 CORP. R B:G
SCOTUS1 0GD<
Contri'ution to C6oice o 3a9: Court (eter-i'es that there is 'o co'flict /et1ee' state
pro%isio' a'( the #RCP Rule F. This allo1s it to short circuit a .a''a Part II a'al,sis
a'( i'stea( (eci(e /ase( o' the -o(ifie( outco-e (eter-i'ati%e test, i' refere'ce to t1i'
ai-s of Erie. Thus e%e' thou*h it see-s li0e there is a co'flict, the court /, fi'(i'* that
the rules coul( coe2ist ca' appl, the state rule rather tha' #RCP.
8uotes: 8Rule F a'( O0la. &t. ca' e2ist si(e /, si(e, therefore, eac6 contro##in& its o9n
intended sp6ere o co"era&e 9it6out con#ict.J
8There is si-pl, 'o reaso' 1h,, i' the a/se'ce of a co'trolli'* fe(eral rule, a' actio'
/ase( o' state la1 1hich co'ce(e(l, 1oul( /e /arre( i' the state courts /, the state
statute of li-itatio's shoul( procee( throu*h liti*atio' to 6u(*-e't i' fe(eral court solel,
/ecause of the fortuit, that there is (i%ersit, of citi:e'ship /et1ee' the liti*a'ts.J
8Since t6ere is no direct con#ict 'et9een t6e Federa# Ru#e and t6e state #a91 t6e
Hanna ana#-sis does not app#-. Instead1 t6e po#icies 'e6ind /rie and R!g!n contro#
t6e issue 1hether, i' the a/se'ce of a fe(eral rule (irectl, o' poi't, state ser%ice
reIuire-e'ts 1hich are a' i'te*ral part of the state statute of li-itatio's shoul( co'trol i'
a' actio' /ase( o' state la1 1hich is file( i' fe(eral court u'(er (i%ersit, 6uris(ictio'J
#acts$ Carpe'ter is i'6ure( 1hile pou'(i'* a 'ail i'to a ce-e't 1all. Alle*atio'A
'e*li*e'ce i' -a'ufacturi'* a'( (esi*' of the 'ail. T,pical pro(uct lia/ilit, suit.
Di%ersit, &uit99Plai'tiff is a O0laho-a citi:e', the corporatio' is a forei*' corp 1ith
pri'ciple place o/ /usi'ess i' a state other tha' O0laho-a.
The co'flict$ &tatute of li-itatio's rules
The statute of li-itatio's for the state are (iffere't tha' i' fe( court rules /ase( o' the
'otice rules
99OE rule sa,s file 1ithi' statute of li-itatio's a'( the ser%ice -ust happe'
1ithi' 7G (a,s of the co-plai't a'( that this ser%ice is the co--e'ce-e't of the
actio', 'ot the fili'* of the co-plai't 1ith the court
115
99fe( court 3Rule F4 sa,s a ci%il actio' is co--e'ce( /, fili'* a co-plai't 1ith
the court
99fe( practiceAfili'* /e*i's tolli'* statute of li-itatio's
If court follo1s Rule F the plai'tiff -a(e it u'(er statute of li-itatio's, /ut if 1e follo1
state rule the' the suit ca'5t procee( /ecause Plai'tiff outsi(e statute of li-itatio's
-agan v Merchants "ransfer H 1arehouse ;o. CaseAle*al (ispute 1as esse'tiall, sa-e
(ispute o%er statute of li-itatio's co'tro%ers, i'%ol%i'* ser%ice+ scotus hel( i' that case
that Ea'sas la1 applie(, 'ot frcp rules
99the court there sai( the, ca'5t *i%e the actio' lo'*er life i' fe( ct tha' it 1oul(
ha%e ha( i' state court
.a''a Part II Rule for #RCP % &tate Rule o'l, applies 1he' there is a' a/solute co'flict
/et1ee' the t1o rules
99is the #e( Rule as /roa( as state rule+ are the, i' co'flict or ca' the, /e rea(
to*etherAit5s o'l, if the, are i' a/solute co'flict 1here the .a''a co'flict rule
applies 3the' 1e5( chec0 it a*ai'st the Rules e'a/li'* act a'( the 8a/ri(*es,
-o(ifies, e'lar*esJ stuff4
.ere, the Court (eter-i'es that the &tate Rule a'( the #e(eral Rule ca' actuall,
coe2ist NOT A CON#LICT 8Rule F a'( O0la. &t. ca' e2ist si(e /, si(e, therefore,
eac6 contro##in& its o9n intended sp6ere o co"era&e 9it6out con#ict.J
99#RCP Rule F pro%i(es that a suit is co--e'ce( /, fili'*+ it is 'ot i'te'(e( to
*o%er' 1he' the li-itatio's perio( is tolle(Ait o'l, prescri/es the poi't for
calculati'* %arious ti-e reIuire-e'ts u'(er the #RCP 3such as ti-e for fili'* a'
a's1er etc4
99the OE &tatute o' the other ha'( 8is a state-e't of su/sta'ti%e (ecisio' /, that
&tate that actual ser%ice o', a'( accor(i'*l, actuall, 'otice /,, the (efe'(a't is
a' i'te*ral part of the se%eral policies ser%e( /, the statute of li-itatio's.J
&o the co'flict i' Kal0er is a CONF3ICT BETWEEN STATE RU3E AND A
FEDERA3 PRACTICEHTHIS ISNT THE SA7E AS CONF3ICT WITH FRCP
&i'ce 1e (o'5t ha%e co'flict of #e(eral Rule a'( &tate Rule, the .a''a Part II a'al,sis
(oes 'ot appl,. I'stea( 1e use Relati%el, U'*ui(e( Erie Choice A'al,sisA-ea'i'* 1e
loo0 at the -o(ifie( outco-e (eter-i'ati%e testA314foru- shoppi'* a'( 3"4 i'eIuita/le
a(-i'istratio' of the la1
99court (eci(es that thou*h this (iffere'ce i' statute of li-itatio's /et1ee' state
rule a'( fe(eral practice -a, 'ot affect foru- shoppi'*, 8the result 1oul( /e a'
8i'eIuita/le a(-i'istratio'J of the la1.J
998There is si-pl, 'o reaso' 1h,, i' the a/se'ce of a co'trolli'* fe(eral rule, a'
actio' /ase( o' state la1 1hich co'ce(e(l, 1oul( /e /arre( i' the state courts /,
the state statute of li-itatio's shoul( procee( throu*h liti*atio' to 6u(*-e't i'
fe(eral court solel, /ecause of the fortuit, that there is (i%ersit, of citi:e'ship
/et1ee' the liti*a'ts.J
117
>ol(/er*$ T.I& KALEER CA&E I& AN EUA)PLE O# A 8RELATIVEL@
UN>UIDED ERIE C.OICEJ
99Khe' 1e ha%e co'flict /et1ee' fe(eral rules a'( state rules t1o cate*ories
199(irect co'flict /t1' #RCP a'( state ruleAthat *oes i'to cate*or,
1here #RCP operates
"99e%er,thi'* else is i' (o-ai' o re#ati"e#- un&uided erie c6oice 1hat
1e5re tr,i'* to fi*ure out is if 1e follo1 fe( 1a, of (oi'* thi'*s % state
1a, of thi'*s, 1ill the outco-e /e (iffere't re*ar(i'* t1i' ai-s of Erie
99is the state 1a, of (oi'* thi'*s /ou'( up i' state create( ri*ht+ is
the fe( 1a, of (oi'* thi'*s i-porta't to fe( court
Note H p. !55AStewart 3rganiIation v -ichoAstate rule % a fe(eral statute
99i' this case the court applies .a''a9t,pe a'al,sis;lo'* a'( short99as lo'* as
fe( statute is %ali( it *o%er's. &a-e 1oul( /e true u'(er co'stitutio'al ri*ht.
&tate rules ca't %iolate co'stitutio'.
&o for fe( statute i' co'flict 1ith state rule 1e loo0 at
99(i( co'*ress ha%e authorit,Athat 1ill /e pursua't to 8'ecessar, a'(
proper clauseJ
;ASPERINI 5 CENTER FOR HU7ANITIES=p. B*B
SCOTUS1 0GG)
?uotes$
8#e(eral (i%ersit, 6uris(ictio' pro%i(es a' alter'ati%e foru- for the a(6u(icatio' of state9
create( ri*hts, /ut it (oes 'ot carr, 1ith it *e'eratio' of rules of su/sta'ti%e la1.J
8It thus appears that if fe(eral courts i*'ore the cha'*e i' the Ne1 @or0 sta'(ar( a'(
persist i' appl,i'* the Vshoc0 the co'scie'ce5 test to (a-a*e a1ar(s o' clai-s *o%er'e(
/, Ne1 @or0 la1, Vsu/sta'tial %ariatio's /et1ee' state a'( fe(eral =-o'e,
6u(*-e'tsD5-a, /e e2pecte(. Ke therefore a*ree;..that Ne1 @or05s chec0 o'
e2cessi%e (a-a*es i-plicates 1hat 1e ha%e calle( Erie5s Vt1i' ai-s5;.Erie prec#udes a
reco"er- in edera# court si&niicant#- #ar&er t6an t6e reco"er- t6at 9ou#d 6a"e 'een
to#erated in state court.J
#acts$ >asperi'i5s sli(es are lost /, Ce'ter for .u-a'ities. .e sues for (a-a*es.
>asperi'i *ets TH5G,GGG a1ar( e%e' thou*h his total ear'i'*s 1ere T1G,GGG for his last
te' ,rs.
Khat5s the choice of la1 issue hereC
99N@ Ci%il PracticeAAppellate courts ca' re%ie1 6ur, %er(icts a'( or(er 'e1
trials 1he' 6ur,5s %er(ict (e%iates -ateriall, fro- reaso'a/le co-pe'satio'
99#e( Rule 5+ !
th
a-e'(-e'tA'o fact trie( /, a 6ur, shall other1ise /e
ree2a-i'e( e2cept u'(er the *uise u'(er re'e1e( -otio' for 6u(*-e't as -atter
11!
of la1+ also the co--o' la1 sta'(ar( sa,s fe( ct ca' re%ie1 1he' 6ur, a1ar(
8shoc0s the co'scie'ceJ &ta'(ar( o' appellate re%ie1 is a/use of (iscretio'
The T1o Parties5 Ar*u-e'ts$
>asperi'i$ 1ill ar*ue that the N@ La1 (oes 'ot appl, /ecause it allo1s 6u(*e re%ie1 of
the %er(ict -ore easil,;he (oes 'ot 1a't this. .e 1a'ts %er(ict to sta'(. &i'ce the
fe(eral rule ste-s for- !
th
a-e'(-e't >asperi'i shoul( ar*ue that there is a co'flict
/t1'. N@CPLR a'( the !
th
a-e'(-e't+ characteri:e the state la1 as proce(ural 'ot
su/sta'ti%e, a'( thus it shoul( /e tru-pe( /, fe(eral rule
99>asperi'i is tr,i'* to ar*ue there is a state proce(ure % fe( proce(ure
co'flictAa'( fe( proce(ure ste-s fro- !
th
a-e'(-e't
The Ce'ter 1ill ar*ue the N@ la1 is 'ot proce(ural /ut rather it is su/sta'ti%e;.it 1oul(
ha%e helpe( (ictate choice of foru- a'( 'ot appl,i'* it 1oul( cause i'eIuita/le
a(-i'istratio' of the la1
991hat ,ou 1a't to (o is sho1 is that the applicatio' of the fe(eral rule 1oul( /e
outco-e (eter-i'ati%e i' a 1a, that 1oul( i-plicate the t1i' ai-s of Erie
99,ou are ar*ui'* the N@ rule is /ou'( up i' the su/sta'ti%e ri*hts of the
N@ LAK #e( Courts are suppose( to follo1 state su/sta'ti%e la1s
>i's/er* thi'0s it is si*'ifica't that >asperi'i ac0'o1le(*es that if there 1as a statutor,
cap o' (a-a*es, that 1oul( /e a su/sta'ti%e 'ot proce(ural la1 u'(er Erie (octri'e the
court 1oul( ha%e to a/i(e /, state (a-a*es cap si'ce this is su/sta'ti%e i' that it 1oul(
affect choice of foru- as plai'tiffs 1oul( select fe(eral foru- to escape the cap.
The Court here a'al,:es fro- .a''a Part I co'flict a'( appro%es <,r(5s e-phasis o' the
i-porta'ce of the fe(eral i'terests as a factor i' -a0i'* the relati%el, u'*ui(e( Erie
choice.
Thus here, si'ce the s,ste- of 6u(icial re%ie1 1oul( li0el, affect the tolera/le a-ou't of
(a-a*es, this is a su/sta'ti%e ri*ht /ou'( up i' the state rule, a'( the state rule shoul(
therefore appl,$
8Ke therefore a*ree;..that Ne1 @or05s chec0 o' e2cessi%e (a-a*es i-plicates
1hat 1e ha%e calle( Erie5s Vt1i' ai-s5;.Erie prec#udes a reco"er- in edera#
court si&niicant#- #ar&er t6an t6e reco"er- t6at 9ou#d 6a"e 'een to#erated in
state court.J
The Result$ >i's/er* sa,s the Ne1 @or0 &tate &ta'(ar( for Re%ie1 shoul( /e use( /,
the #e(eral District Court, 1hile the #e(eral Appellate Court shoul( still use the sta'(ar(
it al1a,s use($ 3this is /ecause of &e%e'th A-e'(-e't co'si(eratio's4
8Kithi' the fe(eral s,ste-, practical reaso's co-/i'e 1ith &e%e'th A-e'(-e't
co'strai'ts to lo(*e i' the (istrict court, 'ot the court of appeals, pri-ar,
respo'si/ilit, for applicatio' of R55G13c45s V(e%iates -ateriall,5 chec0.
5II. FINA3IT/ AND PREC3USION
11O
A. Introduction and C#ai% Prec#usion
Res Bu(icata 3or clai- preclusio'4$ A thi'* a(6u(icate(
Kh, res 7udicataC
o Efficie'c, 3repetitio' 1oul( 1aste scarce 6u(icial resources4
o #air'ess 3u'fair to harass (efe'(a't4
o Defi'ite'ess 3u'fair to allo1 plai'tiff to 0eep tr,i'* u'til fi'( a
s,-pathetic 6ur,4
Ke (o'5t 1a't i'co'siste't results.
Ti-e fra-es to co'si(er res 7udicata
o Pla''i'* the case$ careful to i'clu(e i' the co-plai't all -atters that
-i*ht /e co'si(ere( part of the sa-e clai-
o O'ce fi'al 6u(*-e't e'tere($ Loo0 at 1hether su/seIue't liti*atio' is
8splitti'*J of a si'*le clai-.
-es /udicata is a' affir-ati%e (efe'se 1hich -ust /e plea(e( u'(er Rule Oc.
E#e%ents o Re' Judi$!t!:
o A prior suit that procee(e( to a fi'al %ali( 6u(*-e't o' the -erits
o The prese't suit arises out of the sa-e clai- as the prior suit
o The parties i' /oth suit are the sa-e, or in privit#.
A%erican 3a9 Institute1 Restate%ent +Second, o 4ud&%ents L0B1 +B))2)B,
Vali( a'( fi'al perso'al 6u(*-e't is co'clusi%e /et1ee' the parties, e2cept o'
appeal or other (irect re%ie1, to the follo1i'* e2te't$
1. If the 6u(*-e't is i' fa%or of the plai'tiff, the clai- is e2ti'*uishe( a'(
-er*e( i' the 6u(*-e't a'( a 'e1 clai- -a, arise o' the 6u(*-e't.
This -ea's ,ou ca' /ri'* a clai- to e'force the 6u(*-e't, /ut the
ori*i'al clai- itself is e2ti'*uishe(.
". If the 6u(*-e't is i' fa%or of the (efe'(a't, the clai- is e2ti'*uishe( a'(
the 6u(*-e't /ars a su/seIue't actio' o' that clai-.
F. A 6u(*-e't i' fa%or of either the plai'tiff or the (efe'(a't is co'clusi%e,
i' a su/seIue't actio' /et1ee' the- o' the sa-e or a (iffere't clai-, 1ith
respect to a', issue actuall, liti*ate( a'( (eter-i'e( if its (eter-i'atio'
1as esse'tial to that 6u(*-e't 3issue preclusio'4.
Khat Co'stitutes the &a-e Clai-C
A%erican 3a9 Institute1 Restate%ent +Second, o 4ud&%ents L@: +B)B2)D,
1. Khe' %ali( fi'al 6u(*-e't e2ti'*uishes a clai-, the clai- e2ti'*uishe( i'clu(es
8all ri*ht of the plai'tiff to re-e(ies a*ai'st the (efe'(a't with respect to all or
an# part of the transaction. or series of connected transaction. out of which the
action arose.D
". Khat co'stitutes a 8tra'sactio'J is (eter-i'e( pra*-aticall,.
Co'si(eratio' *i%e to$
o Khether facts relate( i' ti-e, space, ori*i', or -oti%atio'
o Khether the, for- a co'%e'ie't trial u'it
o Khether their treat-e't as a u'it co'for-s to the parties5 e2pectatio's or
11
/usi'ess u'(ersta'(i'* or usa*e.
Clai- arises fro- a tra'sactio' or a series of tra'sactio's *e'erall, 'atural
*roupi'* of co--o' 'ucleus of operati%e facts.
o Co'si(er their relate('ess i' ti-e, space, ori*i', or -oti%atio'.
o As0, (o the facts for- a co'%e'ie't u'it for trialC
.o1 far the 1it'esses or proofs 1ill o%erlapC 3sufficie't, /ut 'ot
'ecessar,4
Tra'sactio' ca' /e si'*le (espite (iffere't har-s, su/sta'ti%e theories, -easures
or 0i'(s of relief.
Ke5%e hear( co--o' 'ucleus of operati%e facts /efore. Rule "G, relatio' /ac0,
cross9clai-s.
;ar ;arriers v. ,ord Motor ;o. 3!7!9!!4
#acts$ Car carriers hauls cares for #or(. Their rates are re*ulate( /, Illi'ois a'(
the I'terstate Co--erce Co--issio's. Car Carriers alle*es that #or( i'terferes
1ith the rate setti'*. Also pre%e'te( the- fro- acIuiri'* a'other carrier.
E%e'tuall, #or( ter-i'ates Car Carriers, a'( Car Carriers asserts that #or( *i%es
/usi'ess to Nu9Car o' 8sha- a'( 0'o1i'*l, pre(ator, /i(s.J
Car Carriers trie( to /ri'* a a'ti9trust clai-, 1hich 1as (is-isse( 1ith pre6u(ice.
Ne2t, it /ri'*s a'other actio' /ase( o' the RICO act, /ut the (istrict court
(is-isses /ase( o' res 7udicata.
Car Carriers appeals a'( reIuests$
o 1. Re6ect fact orie'te( test for res 7udicata a'( replace 1ith a'al,sis that
(iffere'tiates o' the /asis of ri*hts, (uties, a'( i'6uries alle*e(l, re(resse(
/, each clai-.
o ". Relie%e fro- res 7udicata /ecause so-e of their clai-s /ase( o' facts
1hich, 1hicle i' e2iste'ce prior to the 1O" Co-plai't, 1ere u'0'o1' to
the- u'til after the 6u(*-e't.
Court stic0s 1ith the sa-e tra'sactio' test$
o -es 7udicata is 8a rule of fu'(a-e'tal a'( su/sta'tial 6ustice, Vof pu/lic
polic, a'( of pri%ate peace,J 1hich 8e'coura*es relia'ce o' 6u(icial
(ecisio's, /ars %e2atious liti*atio', a'( frees the courts to resol%e other
(isputes.J
o -es 7udicata shoul( /e (efi'e( 1ith sufficie't /rea(th to achie%e this
purpose.
o Cou'ter9poi't to co-pulsor, 6oi'(er.
o The 8ri*ht9(ut,J approach 1oul( allo1 parties to cloa0 the sa-e actio' i'
a (iffere't theor, of reco%er,.
&i'*le core of operati%e facts+ Earlier a'titrust clai-s alle*e( #or( i'(u%e( Car
Carriers to -a0e i'%est-e'ts coul( 'ot recoup. Li0e earlier clai-, alle*e
ter-i'ate( (ue to a sha- a'( pre(ator, /i(, #or( a'( Nu9Car refuse( to /u, Car
Carriers assets.
1"G
Bust /ecause part, clai-s it (i('5t 0'o1 certai' facts (oes 'ot /ar res 7udicata
o 8The courts ha%e a ri*ht to presu-e that he has (o'e his le*al a'( factual
ho-e1or0.J
Khat Co'stitutes a 8#i'al Vali( Bu(*-e't o' the )eritsJC, CP pp. !!!9!O
'onIaleI v. 0anco ;entral ;orp. 3!!O9O!4
#acts$ F,GGG people, -ostl, fro- Puerto Rico, purchase la'( fro- a (e%eloper.
Real Estate tur's out to /e #lori(a s1a-p la'(. O'e *roup of purchasers, the
Ro(ri*ue: plai'tiffs, sue. A'other *roup, the >o':ale: plai'tiffs trie( to 6oi' the
liti*atio'. Khe' the, coul('5t, the, file( their o1' la1suit. Ro(ri*ue: plai'tiffs
lose.
La'( (e%eloper tries to /ar the >o':ale: plai'tiffs fro- co'ti'ui'* their actio' o'
clai- preclusio'.
De%elopers ar*ue the >o':ale: plai'tiffs 1ere i' pri%it, 1ith the Ro(ri*ue:
plai'tiffs.
#or -es /udicata, ,ou 'ee( 14 a fi'al 6u(*-e't o' the -erits, "4 sufficie't
i(e'ticalit, /et1ee' the causes of actio', a'( F4 sufficie't i(e'ticalit, /et1ee'
the parties.
Court fi'(s that ,ou clearl, ha%e the first t1o. Co--o' 'ucleus of operati%e
facts.
#or the (octri'e of res 7udicata to ha%e its effect, it 'ee(s to reach perso's 1ho
are 'ot tech'icall, parties to the first actio', so-eti-es.
This pre%e'ts %arieties of -a'ipulatio', i'clu(i'* clai-9splitti'*, suits /, pro2,,
a'( foru-9shoppi'*.
To fi'( pri%it,, ,ou 'ee( to fi'( either$
o No'part, su/sta'tiall, co'trolle( a part,5s i'%ol%e-e't i' the i'itial
liti*atio'
o No'part, per-itte( a part, to the i'itial liti*atio' to fu'ctio' as (e facto
represe'tati%e.
&u/sta'tial co'trol co''otes a%aila/ilit, of si*'ifica't (e*ree of effecti%e co'trol
i' the prosecutio' or (efe'se of the case.
o Court fi'(s 'o e%i(e'ce of su/sta'tial co'trol.
Virtual represe'tatio' reIuires$
o 1. I(e'tit, of i'terests.
o ". &o-ethi'* -ore, thou*h 'o har( a'( fast rule 1hat.
Clear ,ou 'ee( to ha%e actual or co'structi%e 'otice a'( ha%e the
eIuities tip i' ,ou fa%or. E2a-ples$
No' part, *i%e' actual or i-plie( co'se't to /e /ou'( /,
the earlier result.
A' e2press or i-plie( le*al relatio'ship
Certai' t,pes of fa-ilial relatio'ships
Tactical -a'eu%eri'* (esi*'e( u'fairl, to e2ploit tech'ical
'o'part, status i' or(er to *et t1o or -ore (a,s i' court.
1"1
.ere, 'o'e of the a/o%e.
No Pri%it,M 3I -iss le*al -etho(s;4
B. Issue Prec#usion
<asic rule for collateral estoppel$
1. &a-e issue
". Actuall, liti*ate(
F. Actuall, (eci(e( i' a %ali( fi'al 6u(*-e't
H. Deter-i'atio' has to ha%e /ee' 'ecessar, to the (ecisio'
Khat is the poi't of issue preclusio'C
Bu(icial eco'o-,. Not 6ust for courts, /ut for the parties as 1ell, la1,ers (o'5t
ha%e to ar*ue the sa-e issues i' case after case.
Pre(icta/ilit,

:oult v. :oult, !OO91
Ee, poi't$ Issue ca' /e (eci(e( e%e' if there is 'ot a' e2plicit fi'(i'* of fact.
#acts$ La1suit ]1 Be''ifer sues her father Da%i( for tort$ se2ual a/use, rape,
threats. &he o%erco-es statute of li-itatio's pro/le- /, sa,i'* that the alle*e(
a/use cause( her to repress her -e-or,. &he testifies to fi%e separate episo(es of
rape. &he 1i's.
o Be''ifer the' 1rites letters to se%eral professio'al associatio's i' 1hich
she repeats char*e her father Da%i(, rape( her.
o La1suit ]" Da%i( sues Be''ifer for (efa-atio', 1hich reIuires fi'(i'*
that the rape alle*atio's are u'true.
Be''ifer uses collateral estoppel as a' affir-ati%e (efe'se. &a,s issue preclu(e(
/ecause 6ur, fou'( the rapes as a fact i' the pre%ious trial.
o >ol(/er*$ &li*ht %ariatio' o' the usual picture 1here A sues < a'( A sues
< a*ai'.
o <ur(e' is al1a,s o' the part, see0i'* estoppel /ecause the presu-ptio' is
that the perso' 1ill ha%e their (a, i' court to liti*ate a' issue.
8A' issue -a, /e actuall, (eci(e( =for collateral estoppel purposesD e%e' if it is
'ot e2plicitl, (eci(e(, for it -a, ha%e co'stitute(, lo*icall, or practicall,, a
'ecessar, co-po'e't of the (ecisio' reache(.J
I' fi'(i'* that the statue of li-itatio's ha( ru', the o'l, plausi/le e2pla'atio' is
that the 6ur, accepte( Be''ifer .oult5s testi-o', as to the rapes, 1hich 1ere the
salie't a'( specific act of repeate( a/use to 1hich she testifie(.
>ol(/er* 'otes follo1i'* the case$
Rule H<. >e'eral %er(ict acco-pa'ie( /, a's1ers to i'terro*atories.
&trate*icall,, la1,ers so-eti-es see0 i'terro*atories i' a'ticipatio' of later
la1suits for collateral estoppel purposes.
<UT ,ou (o'5t al1a,s 1a't to 0'o1 1hat the 6ur, is thi'0i'*. #or Ta%elareas5s
la1,ers, for e2a-ple, ha( there /ee' -ore clarit, a/out 1hat the 6ur, 1as
1""
thi'0i'*, it 1oul( ha%e /ee' a -uch easier BNOV.
/arosI v. (almer, !19H
Ee, poi't$ Issue -ust /e esse'tial to the 6u(*-e't i' the first case.
#acts$ Baros: a'( three /usi'ess part'ers acIuire U'io' Pro(ucts. Pal-er ser%es
as a' attor'e, for all of the-. Part'ers e%e'tuall, ter-i'ate Baros:, a'( i' a
1ro'*ful ter-i'atio' /rou*ht /, Baros:, Pal-er represe'ts the three part'ers.
I' the first actio', Baros: -o%es to ha%e Pal-er (isIualifie( as the part'ers5
attor'e, /ecause he represe'te( Baros: i' the acIuisitio' 'e*otiatio's a'( 1oul(
therefore ha%e a co'flict of i'terests.
Bu(*e sa,s Baros: 1oul( ha%e to esta/lish attor'e, clie't relatio'ship.
o #ails to (o so.
Baros: /ri'* this seco'( actio' a*ai'st Pal-er for /reach of fi(uciar, (ut,, le*al
-alpractice, a'( %iolatio's of >.L. c. FA.
Pal-er tries to preclu(e Baros: fro- asserti'* a' attor'e, clie't relatio'ship o'
the /asis of the pre%ious actio'.
Preclusio' Iuestio' is, (i( la1suit 'u-/er o'e 'ecessaril, (eci(e the Iuestio' of
1hether the t1o ha( a' attor'e, clie't relatio'shipC
Court re%ie1s 1hether the issue 1as actuall, liti*ate(. #ou'( that there 1as 'o
(isco%er,. No for-al e%i(e'tiar, heari'*.
o <UT @ou (o'5t 'ee( a full trial to satisf, the actuall, liti*ate( issue. &o
lo'* as it is a(%ersarial, ,ou (o'5t 'ee( a full trial.
Kas the (eter-i'atio' esse'tial to the 6u(*-e't, ho1e%erC
o I' &uit 1$ No attor'e, clie't relatio'ship /et1ee' BZP. Esse'tial Iuestio'
to (isIualificatio' -otio', /ut not essentia# to t6e ina# deter%ination of
the case.
Kh, (oes the court careC DUE PROCE&&M Ke 1a't to -a0e sure that parties
ha%e their (a, i' court. Cha'ce to pro%e clai-. Courts 1ar, a/out ta0i'* a1a,
the opportu'it, to /ri'* the clai-.
(ar%lane :osier# v. Shore. !H9OGF
Ee, Poi't$ Offe'si%e, 'o'9-utual collateral estoppel.
#acts$ &uit ]1 &hore, a stoc0hol(er, files la1suit a*ai'st Par0la'e .osier,. Clai-
1as that Par0la'e ha( issue( a -ateriall, false a'( -islea(i'* pro2, state-e't i'
co''ectio' 1ith a -er*er. &ee0i'* (a-a*es as 1ell as rescissio' of the -er*er.
o &uit ]" &EC files a la1suit a*ai'st Par0la'e -a0i'* esse'tiall, the sa-e
ar*u-e'ts. Relief that &EC reIuests is i'6u'ctio'. The, *et fast trac0e(
3/ecause the, are see0i'* i'6u'cti%e relief4. Trial that lasts for four (a,s.
After the trial, court fi'(s i' fa%or of the &EC a'( *ra'ts the i'6u'ctio'.
Declarator, 6u(*-e't i' the &EC suit.
&hore 1a'ts to use the (eclarator, 6u(*-e't to collaterall, estopp Par0la'e fro-
reliti*ati'* issues (eci(e( i' the &EC case.
o If &hore succee(s i' issue preclusio',, he still has to sho1 his (a-a*es.
#or -a', ,ears, collateral estoppel ha( a %utua#it- reIuire-e't, 1hich 1oul(
1"F
reIuire the sa-e parties i' /oth cases.
o 0londer&"ongue. .ol(s -utualit, 'ot reIuire(.
o A %. < a/out A5s pate't. The' A %. C, C sa,s A shoul('5t /e a/le to
reliti*ate the %ali(it, of A5s pate't.
o C is i'%o0i'* a DE#EN&IVE 'o'9-utual collateral estoppel.
Ke ha%e a (iffere't case here. Issue of Par0la'e5s pro2, state-e't is alrea(,
(eci(e(. O##EN&IVE use. Plai'tiff is see0i'* to pre%e't (efe'(a't fro- -a0i'*
the sa-e ar*u-e't.
Offe'si%e 'o'9-utual collateral estoppel coul( /e i'efficie't.
o I' (efe'si%e, A has a' i'ce'ti%e for 6oi'(er. E2pa'(s cha'ce to reco%er
a*ai'st -ultiple (efe'(a'ts throu*h settle-e't /, 6oi'i'* -ultiple parties.
o I' Offe'si%e use of collateral estoppel, there is the i'ce'ti%e to 1ait a'(
see 1hat happe's.
#or e2a-ple, let the &EC (o the 1or0 of pro%i'*. Ke5ll 1ait a'(
ri(e i' o' their coattails.
If future suits are 'ot foreseea/le, -i*ht 'ot 1or0 as har( to
pre%ail i' the first suit, /ut the' 1oul( /e preclu(e( o' the sa-e
issues. #AIRNE&&
Also, if < pre%ails i' "H la1suits a'( loses i' "5, is it fair to stop <
fro- liti*ati'* /ase( o' the "5
th
.
#i'all,, (efe'(a't (i('5t choose the foru-, the plai'tiff chooses
the foru-, so -a,/e proce(ural opportu'ities are (iffere't.
.ere, &hore coul('5t ha%e 6oi'e( the &EC case, a'( he actuall, file( first.
<ecause of the serious'ess of the &EC clai-, (efe'(a't ha( e%er, reaso' to
liti*ate full,.
<UT the &EC case 1as a fi'(i'* i' eIuit,. .ere it 1oul( /e a 6ur, trial.
o EIuita/le (eter-i'atio' ca' ha%e a collateral estoppel effect i' a 6ur, trial
situatio'.
Reh'Iuist Disse't$ U'fair to appl, offe'si%e collateral estoppel 1here the part,
1ho is sou*ht to /e estoppe( has 'ot ha( a' opportu'it, to ha%e the facts of his
case (eter-i'e( /, a 6ur,. )a6orit, is re(uci'* the 6ur, to a 8'eutral factor.J
o &tro'* fe(eral polic, fa%ori'* 6uries.
o Opportu'it, for a 6ur, trial i' the seco'( actio' coul( lea( to a (iffere't
result
Other e2a-ples$
P %. D1$ P loses
P %. D"$ D" ca' i'%o0e (efe'si%e 'o'-utual collateral estoppel.
P1 %. D$ D loses
P" %. D$ Offe'si%e, 'o'-utual collateral estoppel.
P1 %. D$ Defe'(a't 1i's
P" %. D$ Defe'('at see0s to estop, ca'5t (o, (e'ial of (ue process.
1"H
C. Co%p#ications
,ederated Department Stores. <nc. v. Moitie 3as0 ?ui'' to -a0e sure this is the case4
#acts$ T1o la1suits alle*e price fi2i'*. Alle*e a'ti9trust %iolatio's. U'clear
1hether pri%ate plai'tiffs coul( reco%er for a'ti9trust. <oth cases 1ere (is-isse(
for lac0 of sta'(i'*. A appeals, loses at the appellate le%el. < refiles a separate
la1suit i' state court. Khile A5s la1suit is pe'(i'*, &upre-e Court issues a 'e1
(ecisio' a'( clarifies that pri%ate retailers ca' /e lia/le for (a-a*es u'(er a'ti9
trust. A5s case is re-a'(e( to lo1er court. A ulti-atel, pre%ails. < has 'e1
la1suit i' state court, file( u'(er state la1 clai-s.
The store ar*ues res 6u(icata. &a-e clai- or tra'sactio'.
< is 'ot allo1e( to pursue its clai-. I'stitutio'al fi'alit,.
<ut the la1 cha'*e(. Kh, shoul('5t /e /e'efit fro- the cha'*e i' the la1C
Ke 1a't to *i%e /e the i'ce'ti%e to appeal.
<i* e2ceptio' to fi'alit, rule 1he' it is the *o%er'-e't
If ,ou allo1 *o%er'-e't 'e%er to /e sue( a*ai', th1arts (e%elop-e't of the la1.
.elps the *o%er'-e't 'ot to ha%e to appeal e%er, case it loses, a'( allo1s
-ultiple courts of appeal to hear si-ilar cases.
A sues the stores
< sues the stores
99/oth la1suits 1ere (is-isse( for lac0 of sta'(i'* /ecause pri%ate plai'tiffs ca't
/ri'* a'titrust
A appeals, loses at ct of appAsee0s cerc
< -a0es separate suit i' state suit a*ai'st the stores
Khile this pe'(i'*;.the supre-e court (eci(es that citi:e's ca' /ri'* a'titrust
A5s suit is re-a'(e( /ecause of 'e1 la1..the, e'( up 1i''i'*
<5s 'e1 la1suit is i' state court;.the stores ar*ue clai- preclusio' the, sa,
that the 6u(*-e't there 1as fi'al i' first suit to sa, that the, (i('5t ha%e sta'(i'*
COURT hol(s that ,es, the, are estoppe( /ecause of first suit e%e'
thou*h the la1 has cha'*e( a'( 'o1 the, 1oul( /e a/le to /ri'* their
suit;.court *i%es /i* salute to fi'alit, see-s u'fair, the la1 cha'*e(,
1h, shoul('5t it help the-
5III. CO7P3EM 3ITI;ATION
A. Co%pu#sor- 4oinder1 Inter"ention and Interp#eader
1"5
#RCP 1, "H
Necessar- and Indispensa'#e Parties
Rule 1 has t1o sectio', a4 'ecessar, parties /4 i'(ispe'sa/le parties
o Necessar, parties$ Khe' a/se'tee shoul( /e 6oi'e(
1a1 Khere plai'tiff ca''ot *et relief fro- the 'a-e( part,
1a"Khere the a/se'tee -a, /e pre6u(ice( /, the failure to 6oi'
1aF Khere the (efe'(a't -a, /e pre6u(ice( /, the failure to 6oi'.
o I'(ispe'sa/le parties$ Khe' ca'5t /e 6oi'e(, ca' ,ou procee( a',1a,C
Khether pre6u(icial
Ca' the pre6u(ice /, lesse'e( or a%oi(e(
1hether 6u(*-e't re'(ere( 1ill /e a(eIuate
1hether plai'tiff 1ill ha%e a(eIuate re-e(, if actio' is (is-isse(
for 'o'6oi'(er.
Reaso's for Rule 1$ #air'ess to parties. Bu(icial efficie'c,.
"emple v. S#nthes ;orp. 3O"F4$
#acts$ Te-ple 3)ississippi resi(e't4 files suit a*ai'st &,'thes i' fe(eral (istrict
court for Louisia'a 3(i%ersit, 6uris(ictio'4, a'( a*ai'st (octor a'( hospital i'
Louisia'a state court after plate a'( scre1 (e%ice -a'ufacture( /, &,'thes
/rea0s off i' /ac0 follo1i'* sur*er,.
E%e' thou*h (efe'se of &,'thes coul( /e that the (octor is respo'si/le, 8it is 'ot
'ecessar, for all 6oi't tortfeasors to /e 'a-e( as (efe'(a'ts i' a si'*le la1suit.
A(%isor, Co--ittee Notes to Rule 1a$ 8a tortfeasor 1ith the usual V6oi't9a'(9
se%eral lia/ilit,5 is -erel, a per-issi%e part, to a' actio' a*ai'st a'other 1ith
li0e lia/ilit,.J
Da#nard v. =ess et al. 3O"74$
#acts$ Da,'ar( a la1 professor 1ho helps (efeat to/acco i' court. Da,'ar(
pro%i(es a(%ice to (efe'(a't la1 fir- 3separate( as the )ississippi (efe'(a'ts
a'( &outh Caroli'a (efe'(a'ts4. There 1as 'o 1ritte' co'tract, /ut Da,'ar( sa,s
he a'( o'e of )ississippi (efe'(a'ts shoo0 o' a' a*ree-e't that he 1oul(
recei%e 5 perce't of a', attor'e,5s fees. The, 1i'. )ississippi (efe'(a'ts here
1i' (is-issal for lac0 of perso'al 6uris(ictio' 3ulti-atel, re%erse(4. &outh
Caroli'a (efe'(a'ts the' -ore for (is-issal u'(er Rule 1 /ecause o'e of
)ississippi (efe'(a'ts 1as the o'e 1ho alle*e(l, shoo0 ha'(s.
The court fi'(s that the )ississippi parties are 'ot 'ecessar, u'(er 1a /ecause
the, are, (ra1i'* i'fere'ces i' fa%or of Da,'ar(, 6oi'tl, a'( se%erall, lia/le co9
o/li*ors.
Disti'*uishe( fro- cton v. 0achman ,oods$ Khere a/se't part, 1as a co9
o/li*ee 'ot a co9o/li*or a'( the 6u(*-e't 1oul( ha%e /ee' /i'(i'* /ecause the
parties 1ere i' pri%it,.
Court also loo0s at the i'(ispe'sa/le factors a'( fi'(s that$
1"7
o Pro/a/l, 'ot -uch pre6u(ice.
Defe'(a'ts 6oi'tl, a'( se%erall, lia/le, so Da,'ar( 1ill *et his (ue
Persuasi%e prece(e't alo'e ca''ot, as a practical -atter, i-pair or
i-pe(e the )ississippi (efe'(a'ts5 a/ilit, to (efe'( the-sel%es.
3'o res 6u(icata or issue preclusio'4.
Rule 1 is co'cer'e( 1ith the ris0 of i'co'siste't o/li*atio's, 'ot
i'co'siste't a(6u(icatio's.
Rules of Thu-/ o' Rule 1 fro- )oore5s #e(eral Practice 3Da#nard O"O4
Boi't tortfeasors are 'ot 'ecessar, parties. Thus, /, (efi'itio', the, -a, 'o /e
i'(ispe'sa/le
Co9o/li*ors =to a co'tractD -a, /e 'ecessar, parties, /ut *e'erall, are 'o
i'(ispe'sa/le
As a *e'eral rule, a' actio' to set asi(e a co'tract reIuires the 6oi'(er of all
parties to the co'tract.
Inter"ention
Rule "H allo1s 'o'parties to 6oi' o'*oi'* liti*atio' either 14 as a -atter of ri*ht,
or "4 i' the (iscretio' of the court.
I'ter%e'tio' -ust /e ti-el,
#or Rule "Ha 3I'ter%e'tio' as a -atter of ri*ht4
o )ust ha%e a' i'terest relati'* to the propert, or tra'sactio' 1hich is the
su/6ect -atter of the a(6u(icatio'
o Dispositio' of the actio' -a, as a practical -atter i-pair or i-pe(e
a/ilit, to protect that i'terest
o I'terest is 'ot a(eIuatel, represe'te( /, the e2isti'* parties.
U.&. %. Norther' I'(ia'a Pu/lic &er%ice Co. 3OF54
#acts$ U.&. files 8Notice of Co'(e-'atio'J affecti'* la( o1'e( /, NIP&CO. A
lo'* ti-e later, the &a%e the Du'es Cou'cil file a -otio' to i'ter%e'e.
Court hol(s that the Du's cou'cil is 8esse'tiall, a pri%ate citi:e' 1ith 'o i'terest
i' the propert, sou*ht to /e co'(e-'e( to 1arra't i'ter%e'tio' as a ri*ht.J
Court co'clu(es u'(er "H/ that per-issi%e i'ter%e'tio' shoul( /e (e'ie( i' or(er
to a%oi( the li0elihoo( of u'(ue (ela, a'( pre6u(ice to the ri*hts of the ori*i'al
parties.
Interp#eader$ A -etho( of 6oi'i'* parties i' cases 1here a sta0ehol(er faces clai-s such
that it is or -a, /e e2pose( to (ou/le or -ultiple lia/ilit,. 3Ke (i('5t e%e' tal0 a/out this
i' class4
B. C#ass Actions
#RCP "F
1"!
Class Actio's$
Class certificatio' ca'5t /e 1ai%e(, /ut -ust /e (eter-i'e( su/6ect to Rule "F.
Due process co'cer's. To the e2te't it /ars u'(er res 6u(icata, court -ust e'sure
that the class -eets the "Fa criteria.
o "FA1 Nu-erosit,$ Is it i-practical to 6oi'(er that 'u-/er of peopleC
o "FA". Co--o'alit, reIuire-e't. ?uestio's of la1 or fact co--o' to the
classC
o "FAF T,picallit,. Are clai-s a'( (efe'ses of 'a-e( plai'tiffs are t,pical
of other class -e-/ers clai-s. Not as0i'* 1hether si-ilar across class,
/ut 1hether the,5re clai-s are t,pical.
o "FAH Represe'tati%e'ess. #airl, a'( a(eIuatel, represe't i'terests of the
class.
Classic e2a-ple$ As/estos 1here so-e people ha%e (e%elope( ca'cer, so-e ha%e
thic0e'i'* of lu'*s, so-e e2pose( /ut (o'5t ha%e co'(itio's. Those 1ith lu'*
ca'cer -i*ht settle Iuic0er to *et (a-a*es. <UT class is 'e%er *oi'* to /e
i(e'tical.
#our t,polo*ies of class actio's$
o I'co-pati/le sta'(ar(s$ i'(i%i(uals -i*ht /e i'cli'e( to file separate suits,
/ut ca' file "F to pre%e't i'co'siste't 6u(*-e'ts.
o "F/1 Li-ite( fu'(s.
o "F<" I'6u'cti%e relief.
@ou ca' also ha%e a h,/ri(. O'ce the court (eter-i'e 1hether to
*ra't a' i'6u'ctio', clai-a'ts ca' pursue separatel, for (a-a*es.
<" class see0i'* i'6u'cti%e relief, t6ere is no opt out ri&6t.
E'title( to less 'otice. O'l, -a0es se'se to ha%e a lot of 'otice if
,ou ca' opt out.
o "F<F, co--o' Iuestio's of la1 or fact pre(o-i'ate o%er Iuestio's
affecti'* o'l, i'(i%i(ual -e-/ersAclass actio' superior to other
a%aila/le -etho(s or the fair a'( efficie't a(6u(icatio' of co'tro%ers,.
Differe'ce /et1ee' "F<", there is the opt out ri*ht. Also 'otice
reIuire-e't. <est 'otice practica/le u'(er the circu-sta'ces.
<1a'(", 'otice is possi/le /ut 'ot reIuire(.
o Kh, the (iffere'ce for 'otice reIuire-e'tsC &ee0i'* (iffere't t,pes of
relief.
I(ea is that class -e-/ers see0i'* eIuita/le relief are li0el, to /e
-ore cohesi%e tha' i' a (a-a*es actio' 3for e2a-ple, -ass torts4.
People are *oi'* to /e positio'e( (iffere'tl, tha' i' the <1 a'( "s.
Also, i' <1 a'( <", the class -e-/ers 1oul( usuall, /e affecte(
e%e' if it (oes'5t procee( as a class.
<1 or <", less li0el, to /e special (efe'ses for i'(i%i(uals.
"Fe, court -ust appro%e a', settle-e't, %olu'tar, (is-issal. Ca' appro%e o'l,
after a heari'* a'( fi'(i'* that settle-e't is fair. 3#or /i'(i'* settle-e't4.
)ass Actio', as oppose( to class actio'. )ass actio' (oes'5t *et safe *uar(s.
Either lots of plai'tiffs i' a co'soli(ate( actio' or 6ust lots of 6oi'(er. Ke -i*ht
1"O
sa, 'ot 'ecessar, /ecause each *et to co'trol o1' case. <ut operates a lot li0e
class actio'. &ettle-e't 'e*otiatio's usuall, co'(ucte( to*ether, /ut here, court
1oul('5t ha%e to appro%e settle-e't.
'eneral "elephone v. ,alcon 3O754
#acts$ #alco- 1as hire( throu*h a special recruit-e't a'( trai'i'* pro*ra-. .e
1as pro-ote( se%eral ti-es, /ut his applicatio' for pro-otio' to fiel( i'spector
1as (e'ie( e%e' thou*ht epro-otio' 1as *ra'te( to se%eral 1hite e-plo,ees 1ith
less se'iorit,. #alco' files a clai- 1ith the EEOC that petitio'er5s pro-otio'
polic, operate( a*ai'st )e2ica' A-erica's as a class.
This is a' across the /oar( theor,. Discri-i'atio' i' o'e area i'fects the
treat-e't of )e2ica' A-erica's co-pa', 1i(e.
<UT 1e 'ee( to -a0e sure he a(eIuatel, represe'ts the class. Across the /oar(
rule eli(es aspects of Rule "Fa. Bust /ecause he suffere( a' i'6ur, i' pro-otio',
(oes'5t -ea' that his clai- is t,pical of )e2ica' A-erica's 1ho ha%e e%er
applie( to this co-pa',.
SCOTUS re!ects t6e across t6e 'oard ru#e. If 1e are *oi'* to let #aclo'5s liti*atio'
preclu(e so-eo'e else fro- /ei'* a later suit;the' 1e 'ee( to -a0e sure he a(eIuatel,
represe'ts the class the /otto- li'e is that the court ha( 'ot (o'e a sufficie't "F3a4
a'al,sis;the 8across the /oar(J rule u'(er-i'es the reIuire-e'ts of "F3a4;it (oes'5t
assure that the 'a-e( plai'tiff is sufficie't sta'(9i' for the other -e-/ers of the class.
>ol(/er*$ If ,ou 1a't to *et class actio', ,ou ha%e to plea( 1ith sufficie't
specificit,.
o <UT reIuiri'* specificit, ru's co'trar, to 'otice plea(i'*. 31e -i*ht
ar*ue the, shoul( face a tou*her sta'(ar(4. Notice plea(i'* a'( class
actio' see- to /e ru''i'* at a collisio' course.
Court$ #alco' (oes'5t 'ee( to procee( as a represe'tati%e of a class i' or(er to
pro%i(e (iscri-i'atio' of co-pa', 1i(e policies. Do'5t 'ee( a class to i'tro(uce
e%i(e'ce a/out other si-ilarl, situate( people.
<i* polic, Iuestio's 1ith respect to across the /oar( rule. &houl( there /e
(ise'ta'*le-e'tC Kho 1a'ts to sue for hiri'* (iscri-i'atio'C @ou ha%e to reall, 1a't
that 6o/. @ou ris0 if ,ou sue, are ,ou i'%ol%e( i' a', la1suits i' later 6o/ applicatio'sC
Are ,ou *oi'* to *et the 0i'( of cases ,ou 1oul( *et 1ith the across the /oar( ruleC
<n the Matter of -hone&(oulenc -orer <nc. 3O7G4
&u/sta'tial fractio' of the he-ophiliac populatio' /, the AID& %irus /ecause the
/loo( suppl, 1as co'ta-i'ate( /, the %irus /efore the 'ature of the (isease 1as
1ell u'(erstoo(. &ee0 a class actio'.
A/out FGG la1suits file(. I'%ol%i'* HGG plai'tiffs. All of the fe(eral court cases
1ere co'soli(ate( /, the -ulti9(istrict liti*atio' pa'el. Coul( o'l, co'soli(ate
fe(eral court cases, ca'5t pull i' state court cases.
Pos'er re6ects class certificatio'.
o &ta0es are Iuite e'or-ous.
o @ou (o'5t 'ee( a class actio' 3it5s 'ot 6ust pre(o-i'a'ce, it5s also
1"
superiorit,.4. @ou5re *oi'* to *et e'ou*h (a-a*es that people ha%e a'
i'ce'ti%e to sue o' their o1'. These i'(i%i(uals ha%e i'ce'ti%e to sue
/ecause there are a lot of (a-a*es if the, pre%ail.
Deric% 0ell e2cerpt 3#ro- .a'(out4
Khe' 1e reall, thi'0 a/out 1hat a 6oi't i'terest is, 'ot e%er,/o(,
a*rees a/out 1hat the pro/le- is or 1hat the re-e(, shoul( /e. Boi't i'terest is a
/it of a fictio', /ecause al1a,s a te'sio'. 3<ro1' %. <oar(, so-e 1a't
(ese*re*atio', so-e 1a't eIual resources4.
IM. 8uestionin& and Reor%in& t6e S-ste%
Re%ie1 FRCP 0) for this sectio'
Killia- K. &ch1ar:er, )a'a*i'* Ci%il Liti*atio', 5F59HG
Bu(*es shoul($
Defi'e the issues to /e liti*ate( a'( li-it pretrial acti%it, to
rele%a't -atters
Co'trol pretrial (isco%er, a'( other actit%it, to a%oi(
u''ecessar, e2pe'se a'( /ur(e'
Arri%e at a settle-e't of the co'tro%ers, as earl, as
possi/le or atte-pt to (isco%er -etho(s for resol%i'* it as e2pe(itiousl, a'(
eco'o-icall, as possi/le
I'sure that a', trial 1ill /e 1ell prepare( a'( li-ite(
strictl, to -atter that ca''ot /e other1ise (ispose( of
Bu(icial i'ter%e'tio' 'ecessar, to co'trol costs of pretrial (isco%er,
Does 'ot threate' appeara'ce of i-partialit, 1here 6u(*e acts i' a reaso'e( a'
fair -a''er after ha%i'* hear( the parties a'( ha%i'* co'si(ere( their %ie1s.
o Bustice 'ot /etter ser%e( /, passi%e 6u(*e 1ho /, i'actio' per-its
liti*atio' to /lu'(er alo'* its costl, 1a, to1ar( e2haustio' of the
liti*a'ts.
Process of I'ter%e'tio'$
o I'for-al co'fere'ce i' cha-/ers.
o Earl, i' liti*atio', ur*e cou'sel to (efi'e factual a'( le*al issues to
(e%elop a' appropriate (isco%er, pro*ra- a'( la, out a sche(ule for
-otio's, pretrial a'( trail.
o Bu(*e 'ee( 'ot 6eopar(i:e the appeara'ce of i-partialit, if he si-pl,
su**ests to the parties ho1 a' o/6ecti%e o/ser%er -i*ht react to so-e of
the e%i(e'ce a'( co'te'tio's of the parties.
o Pretrial co'fere'ce specif,i'* (ispute( le*al a'( factual issues, propose(
1it'esses, su--ari:e each 1it'ess5s testi-o',, i(e'tif, a'( e2cha'*e
each propose( e2hi/it a'( state its fou'(atio'.
o Process 1ill$
1FG
E2pose u'prepare( la1,er a'( pre%e't 1asteful chara(es 1he'
la1,ers are u'prepare(
E'a/le the 6u(*e to spot u'(ispute( issues a'( re(u'(a't or
u''ecessar, e%i(e'ce
Disclose e%i(e'ce pro/le-s 1hich ca' /e resol%e( i' a(%a'ce
rather tha' i' ti-e9co'su-i'* a'( (isrupti%e si(e9/ar co'fere'ces
Per-it resolutio' of fou'(atio' a'( authe'ticit, issues co'cer'i'*
e2hi/its, sa%i'* trial ti-e
I'(icate possi/ilit, of (eci(i'* so-e issues o' -otio'.
Bu(ith Res'ic0, )a'a*erial Bu(*es a'( Court Dela,, CP pp. 5HG9HH
Little e-pirical e%i(e'ce e2ists to support the clai- that 6u(icial -a'a*e-e't
1or0s9 either to settle cases or to pro%i(e cheaper, Iuic0er a'( fairer (ispositio's.
?uestio'a/le <e'efits$
o Dela, re(uctio'$ Difficult to (eter-i'e the a-ou't of ti-e that &.OULD
/e spe't to prepare case for trial.
o I'creasi'* the Nu-/er of Dispositio's$ Clai- of 8the -ore (ispositio's
the /etterJ raises (ifficult %aluatio' tas0s. Is 6u(icial ti-e /etter spe't
1or0i'* to settle case out of court or 1riti'* a HG pa*e opi'io' that helps
resol%e future issues.
o Re(uci'* costs$ Bu(*es5 ti-e is o'e of the -ost e2pe'si%e resources i' the
courthouse. Do'5t 0'o1 ho1 -a'a*e-e't re(uces cost.
Pote'tial ris0s$
o E2pa'(s opportu'ites for 6u(*es to use or a/use their po1ers.
Rules i' pretrial 1ith 'o 1a, parties ca' challe'*e
Nee( 'ot su/it i(eas to (iscipli'e of 1ritte' 6ustificatio' or outsi(e
scruti',
o Threat to I-partialit,
E2te'si%e i'for-atio' th at6u(*es recei%e (uri'* pretrial
co'fere'ces is 'ot filtere( /, rules of e%i(e'ce
De%elop-e't of a(-iratio', 0i'ship or a'tipath,
)a, *ai' a sta0e i' the case the, -a'a*e.
&tephe' &u/ri', A Tra(itio'alist Loo0s at )e(iatio', CP 5H59H7
Data that 6u(*es 1ho e'*a*e i' acti%e 6u(icial -a'a*e-e't (o 'ot settle -ore
cases tha' those 1ho spe'( -ost of their ti-e tr,i'* cses.
)a'a*e-e't a'( settle-e't fu'ctio' are so-e1hat (iffere't fro- a'( ca' (etract
fro- the 6u(icial fu'ctio'.
I'creasi'* 'u-/ers of capa/le -e(iators a%aila/le. Bu(*es (o'5t ha%e to fill that
role.
)artha )i'o1, Bu(*e for the &ituatio', CP pp. 5H79H
I-porta't (iffere'ces (i%i(e court9create( a(-i'istratio' s,ste-s fro-
esta/lishe( a(-i'istrati%e a*e'cies
1F1
o #act of court creatio' reather tha' le*islati%e or e2ecuti%e authori:atio'
o Their te-porar, collapsi/le structure as co-pare( to -ore e'(uri'*
/ureaucratic 'ature of tra(itio'al a(-i'istrati%e a*e'cies.
Pro/le-s 1ith separatio' of po1ers
Defe'ses$
o Bu(icial actio' actuall, -a, tri**er actio' /, the other /ra'ches, a'(
there/, pro-ote the %isio' of o%erlappi'* a'( chec0i'* /raches of
*o%er'-e't that lies /ehi'( the separatio' of po1ers.
A*e't Ora'*e settle-e't ha( this effect. Co'*ress passe( a /ill,
VA i'terprete( its -a'(ate to i'clu(e respo'(i'* to 'ee(s of
A*e't Ora'*e effecte( %etera's.
o Bu(icial actio' co'ti'uous rather tha' (isco'ti'uous 1ith other for-s of
a(6u(icatio'. No sharp li'e separati'* the tas0s of a(6u(icatio' a'( the
tas0s of i-ple-e'ti'* the la1.
o E2posure a'( (efe'se of the /ou'(aries /et1ee' the /raches are 'ecessar,
for reaso'e( (e/ate.
Te-porar, a(-i'istratio'$ .a%e %er, specific ti-e li-itatio's. )a, /e the o'l,
alter'ati%e to /i*, /lu't /ureaucracies a'( pri%ate -ar0et -echa'is-s.
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